Your Merchant Banking
Compliance Partner
End-to-end compliance support and outsourcing for SEBI-registered Merchant Bankers and listed companies from offer drafting to post-listing obligations.
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Overview
Merchant banking compliance is multi-layered. Your support should match.
SEBI's ICDR, LODR, AIBI guidelines and the Companies Act place comprehensive obligations on Merchant Bankers and listed companies at every transaction stage. SecMark serves as your dedicated back office partner managing compliance review, document drafting and exchange coordination while your team focuses on business development.
Five Specialised Service Areas. One Integrated Practice.
We cover every compliance and operational requirement-from pre-transaction regulatory review through to post-listing issuer obligations.
Compliance Review of Merchant Bankers Regulation
A comprehensive compliance review framework aligned with SEBI's Merchant Banker Regulations-covering KMP qualification and certification, capital adequacy requirements, Enhanced Supervision reporting and books and records maintenance obligations.
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Qualification and Certificate of KMP and Capital Adequacy review.
Review of periodical reports and information submitted to SEBI.
Enhanced Supervision report preparation and submission to SEBI.
Books and records compliance management.
Support, Assistance and Outsourcing
Full back-office support for Merchant Bankers-acting as a complete operational extension of your team. From offer document drafting through to exchange and SEBI coordination, SecMark manages the entire support infrastructure so your front office can remain focused on transactions.
Drafting of offer documents in full compliance with SEBI regulations.
Application and coordination with Exchanges and SEBI.
Compilation of information from company, promoters and other parties.
Acting as full back office of a Merchant Banker.
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Post-Transaction Due Diligence
Rigorous post-transaction due diligence review-ensuring that all information submitted in the offer document is accurate, complete and aligned with AIBI guidelines and SEBI's LODR, ICDR and Companies Act requirements. All documentation is compiled and maintained in a form atreadily accessible for SEBI inspection.
Offer document review with comprehensive supporting documentation.
Review of offer document details against AIBI guidelines.
Compliance review per SEBI LODR, ICDR, Companies Act and AIBI.
Document compilation for internal use and SEBI inspection readiness.
Verification of Allotment Process in SME IPOs
Independent verification of the allotment process for SME IPOs-ensuringfull compliance with SEBI ICDR regulations, correctness of applications received, appropriate category identification and alignment with the basis of allotment as determined by the Registrar to the Issue.
Review of allotment applications for correctness and category.
Assessment of basis of allotment as determined by RTA.
Compliance review as per SEBI ICDR Regulations.
Due diligence certificate support for DRHP filing.
Services to Listed Companies and Issuers
Ongoing compliance support for companies listed on the SME Exchange or Main Board, covering SEBI LODR obligations, board-level governance requirements, exchange migration processes and ESOP plan administration.
SEBI LODR compliance management.
Migration to other Exchanges.
Migration from SME Board to Main Board.
ESOP plan design and administration.
A Structured Engagement Model - from Mandate to Compliance
From mandate scoping to post-transaction review-a four-step engagement model built for precision, compliance and zero regulatory gaps.
Mandate Scoping
We assess the specific transaction type, regulatory category and compliance requirements applicable to your entity-defining a precise scope of engagement aligned with your operational and regulatory needs.
Document Review and Drafting
Our team undertakes a detailed review of all relevant documents-offer documents, periodical SEBI reports, compliance policies and transaction records-and prepares or reviews drafts in full compliance with SEBI, ICDR, LODR and AIBI guidelines.
Exchange and SEBI Co-ordination
We manage all applications, submissions and coordination with NSE, BSE and SEBI-ensuring responses are timely, accurate and in the format prescribed by the relevant regulatory body.
Post-Transaction Review and Ongoing Support
After transaction completion, we conduct due diligence review and maintain ongoing compliance support-keeping your regulatory record inspection-ready and your post-listing obligations fully managed.
Why SecMark
Deep transaction experience. Unmatched regulatory precision.
We have supported SEBI-registered Merchant Bankers across hundreds of capital market transactions-combining hands-on regulatory experience with direct accountability to the same compliance standards we help our clients navigate.
Full Transaction Lifecycle Coverage
From pre-transaction compliance review through to post-listing obligations-SecMark provides uninterrupted support across the full capital market transaction lifecycle, without handoffs or knowledge gaps.
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SEBI Inspection-Ready Documentation
All documents compiled, reviewed and maintained in formats aligned with SEBI inspection requirements-so your entity is never caught unprepared during a regulatory review.
Trusted Back Office Partner
SecMark functions as a seamless extension of your Merchant Banking operation-managing the compliance and documentation infrastructure while your team focuses on advisory and business development.
