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SEBI regulates everything from your SME IPO to how your listed company handles insider trading policy — and the compliance bar keeps rising with every circular
Take your SME public on the BSE/NSE Emerge platform with end-to-end IPO advisory, from eligibility to listing day.
Register your Alternative Investment Fund with SEBI across Category I, II, or III fund structures.
Execute a SEBI-compliant rights issue for your listed company, from board approval to allotment.
Execute a SEBI-compliant share buyback for your listed company through the tender or open market route.
Navigate voluntary delisting from stock exchanges through SEBI's reverse book-building process.
Register your non-profit or social enterprise on India's Social Stock Exchange to access impact capital.
Readiness and secretarial support for a main board IPO, working alongside the company's merchant banker.
Eligibility check and secretarial support for moving from the SME platform to the main board.
Preferential allotments and QIPs by listed companies: pricing, approvals, in-principle and listing steps.
Get your SEBI Registered Investment Advisor licence to legally offer investment advice to clients.
Obtain your SEBI Portfolio Management Services licence to manage discretionary or non-discretionary client portfolios.
Secure SEBI stock broker registration along with NSE/BSE trading membership for your brokerage.
Register as a Foreign Portfolio Investor with SEBI to invest in Indian securities markets.
Register as a mutual fund distributor with AMFI and obtain your ARN to start earning commissions.
Get SEBI Research Analyst registration to legally publish and distribute investment research.
Meet your listed company's ongoing SEBI LODR disclosure, governance, and reporting obligations.
Set up SEBI-compliant insider trading policies, UPSI controls, and trading window procedures.
Get SEBI-registered merchant banker valuations for M&A, ESOP, or other regulatory purposes.
Resolve SEBI violations through the compounding or consent settlement route and avoid prolonged proceedings.
Disclosures and open offer compliance under the SEBI Takeover Regulations, 2011.
The Securities and Exchange Board of India (SEBI) regulates the securities market under the Securities and Exchange Board of India Act, 1992, alongside the Securities Contracts (Regulation) Act, 1956 and the Depositories Act, 1996. SEBI’s work falls into two broad areas that this section covers.
The first is capital raising and listed company conduct. The SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 govern main board and SME IPOs, rights issues, preferential issues and qualified institutions placements, and the framework for the Social Stock Exchange. Once listed, companies follow the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and the SEBI (Prohibition of Insider Trading) Regulations, 2015. Acquisitions of listed companies follow the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, and exits follow separate regulations on buy-back and delisting.
The second is registration of market intermediaries. Stock brokers, portfolio managers, investment advisers, research analysts, alternative investment funds, foreign portfolio investors and merchant bankers each need SEBI registration under their own regulations; stock brokers are now governed by the SEBI (Stock Brokers) Regulations, 2026. Mutual fund distributors register with AMFI and obtain an ARN. Registered entities then carry ongoing obligations such as net worth, qualified staff, reporting and audits.
Offer documents are filed through SEBI-registered merchant bankers, and SEBI and the stock exchanges decide on every application. Expertvuw assists with documentation and coordination.
Both are governed by the SEBI (ICDR) Regulations, 2018, but an SME IPO lists on the SME platform of a stock exchange with separate eligibility conditions, disclosure requirements and minimum application sizes. Main board issues have stricter eligibility and are reviewed by SEBI in more detail. Eligibility norms are revised from time to time, so check the current regulations and exchange criteria.
Under the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, an acquirer generally has to make an open offer on acquiring 25 per cent or more of the voting rights in a listed company, on certain creeping acquisitions above that level, or on acquiring control. Exemptions exist for specific transactions, and disclosure obligations also apply at lower thresholds.
Generally yes. A person who gives investment advice for consideration usually needs registration as an investment adviser under the SEBI (Investment Advisers) Regulations, 2013, while those issuing research reports or recommendations need registration as research analysts. The regulations set qualification, certification and conduct requirements. Some limited exemptions apply, so the specific activity should be reviewed.
Under the SEBI (Portfolio Managers) Regulations, 2020, the minimum investment by a client in a portfolio management service is generally ₹50 lakh, subject to exceptions for accredited investors and certain categories. The portfolio manager itself must meet net worth, key personnel and reporting requirements. These limits are revised by SEBI from time to time.