Preparing for a public listing requires a company to bring its financial information, corporate records, governance practices and regulatory documentation into line with the applicable capital market requirements. H. S. Mehta & Associates provides professional IPO and Capital Markets Advisory Services in Ahmedabad, Gujarat, supporting businesses with IPO readiness, pre-IPO corporate compliance, listing documentation and ongoing regulatory requirements. Our approach focuses on helping companies understand the work involved before listing and the corporate obligations that continue after their securities enter the market.
IPO & Capital Markets Advisory Services
An initial public offering involves several stages, from evaluating the company’s readiness to preparing disclosures, completing approvals and meeting listing requirements. SEBI’s Issue of Capital and Disclosure Requirements (ICDR) Regulations, 2018 govern key aspects of public issues, while stock exchanges prescribe additional listing procedures and documentation.
Our Capital Markets Advisory Services can support companies with:
- IPO readiness assessment
- Pre-IPO corporate compliance
- Main Board IPO preparation
- SME IPO preparation
- IPO legal and secretarial compliance
- Corporate record review
- Due diligence coordination
- Offer document information and disclosures
- Stock exchange listing documentation
- Corporate governance review
- Post-listing compliance planning
- Coordination with merchant bankers, legal counsel, auditors and other professionals
The scope depends on the company’s existing position, proposed issue structure, listing platform and the work assigned to each professional involved in the IPO.
Pre-IPO Advisory Services
IPO preparation often begins well before a company appoints its issue intermediaries or files its draft offer document. Early preparation gives the company time to review its corporate history, address documentation gaps and organise information that may be required during due diligence.
Our Pre-IPO Advisory Services can cover:
Corporate Records Review: Reviewing incorporation documents, constitutional documents, statutory registers, Board minutes, shareholder records and previous corporate actions.
Secretarial Compliance Assessment: Identifying outstanding corporate filings, incomplete records and matters that may require attention before the IPO process progresses.
Shareholding Review: Examining share capital, share transfers, allotments, promoter holdings and relevant ownership records.
Governance Assessment: Reviewing Board composition, committee requirements, policies and governance arrangements in light of the proposed listing.
Due Diligence Coordination: Organising corporate and secretarial information for review by merchant bankers, legal counsel, auditors and other appointed professionals.
The purpose is to identify matters requiring attention early, rather than waiting until the offer document or listing application is already under preparation.
Main Board IPO Consulting Services
A Main Board IPO involves a detailed review of the issuer’s eligibility, financial information, corporate records, offer disclosures and stock exchange requirements.
Our Main Board IPO Consulting Services focus on the corporate, secretarial and compliance aspects of the listing process.
Support may include:
- Review of corporate structure and share capital
- Assessment of secretarial compliance
- Review of promoter and shareholder records
- Coordination of corporate due diligence
- Assistance with statutory information
- Review of corporate approvals and resolutions
- Coordination of information required for offer documents
- Support with stock exchange documentation
- Assistance with pre-listing compliance matters
- Planning for post-listing corporate obligations
The eligibility of an issuer must be assessed against the applicable SEBI ICDR Regulations and the requirements of the proposed stock exchange. Listing approval remains subject to the relevant authorities’ review and decisions.
SME IPO Consulting Services
For eligible growing businesses, an SME platform can provide a route to raise capital through a public issue and access the listed securities market. However, an SME IPO still involves eligibility checks, disclosures, due diligence, corporate approvals and exchange-specific procedures.
Our SME IPO Consulting Services can assist with:
- Initial IPO readiness review
- Corporate compliance assessment
- Share capital and ownership records
- Statutory documentation
- Due diligence coordination
- Offer document information
- Corporate approvals
- Stock exchange application documentation
- Listing-related compliance planning
- Post-listing requirements
NSE’s SME listing process includes draft offer document review, exchange application requirements and other steps that must be completed before listing.
SME platform eligibility and requirements differ from the Main Board framework. A company should evaluate the applicable criteria and costs before deciding which route to pursue.
IPO Legal Compliance Services
IPO preparation involves corporate and statutory matters that need to be reviewed alongside financial, commercial and regulatory disclosures. Inconsistent records or incomplete approvals can create difficulties during due diligence and the listing process.
Our IPO Legal Compliance Services can cover:
- Companies Act compliance review
- Corporate approvals and resolutions
- Share allotment and transfer records
- Promoter and shareholder documentation
- Statutory registers and corporate records
- Related-party corporate documentation
- Board and shareholder meeting records
- Historical filing review
- Regulatory correspondence
- Coordination with legal counsel
Where a matter requires a formal legal opinion, litigation support or specialised securities-law advice, the relevant advocate or legal professional should be involved.
IPO Documentation & Offer Document Support
The draft offer document and related IPO disclosures bring together information about the issuer, its business, financial position, promoters, shareholding, risk factors and proposed issue.
Our role can include coordinating the corporate and secretarial information required by the appointed merchant banker and legal counsel.
This may involve:
- Company history and corporate structure
- Capital structure and shareholding
- Details of corporate actions
- Promoter and director information
- Material corporate approvals
- Subsidiary and group information
- Related-party matters
- Litigation and regulatory information
- Statutory compliance records
- Supporting corporate documents
The appointed merchant banker and legal counsel remain responsible for their respective professional roles in preparing, reviewing and managing the offer document and associated regulatory process.
Corporate Governance & Due Diligence
Investors and issue intermediaries need a clear understanding of the company’s corporate records and governance arrangements before a public issue.
A corporate and secretarial review can help identify:
- Missing statutory records
- Incomplete filings
- Shareholding discrepancies
- Gaps in Board documentation
- Unresolved corporate actions
- Inconsistencies in company information
- Related-party documentation issues
- Pending statutory matters
Our support can help the company organise the information required for due diligence and coordinate with the appointed professionals to address matters identified during the review.
Stock Exchange Listing & Regulatory Coordination
A public issue requires coordination between the issuer, merchant banker, stock exchange, legal counsel, auditors, registrar to the issue and other relevant professionals.
Our IPO Listing Compliance Services can support the corporate and secretarial work associated with:
- Stock exchange documentation
- Corporate approvals
- Listing-related applications
- Submission of required corporate information
- Follow-up on documentation queries
- Pre-listing compliance checks
- Coordination of listing-related formalities
The precise process varies by platform and issue structure. NSE’s published listing process, for example, includes exchange review, responses to queries, in-principle approval and subsequent issue and listing steps.
Post-Listing Compliance & Corporate Governance
A company’s compliance responsibilities continue after its IPO. Listed entities are subject to ongoing disclosure, governance and reporting requirements under the applicable SEBI framework and stock exchange rules.
Our post-listing support can cover:
- Corporate governance requirements
- Board and committee documentation
- Shareholder meeting compliance
- Corporate announcements coordination
- Share capital-related corporate actions
- Statutory and regulatory records
- Compliance calendar planning
- Coordination of applicable listing disclosures
- Annual report and shareholder documentation
SEBI’s Listing Obligations and Disclosure Requirements (LODR) Regulations, 2015 establish ongoing obligations for listed entities, with the applicable requirements depending on the entity and its circumstances.
Capital Markets Advisory for Growing Businesses
An IPO is one possible route for raising capital, but it requires careful planning and an understanding of the company’s readiness for public-market scrutiny.
Our Capital Markets Advisory Services can also help businesses organise corporate matters when considering:
- Pre-IPO investment
- Capital restructuring
- Changes in shareholding
- Promoter holding arrangements
- Corporate governance improvements
- Strategic investments
- Public issue preparation
- Listing-related corporate actions
Why Choose H. S. Mehta & Associates?
Readiness Assessment: Identifying corporate and documentation matters that may need attention before an IPO.
Compliance Review: Examining statutory records, filings and corporate approvals.
Documentation Coordination: Organising information required by the appointed issue intermediaries and advisors.
Listing Support: Assisting with corporate and procedural requirements connected with the proposed listing.
Ongoing Compliance Planning: Helping companies prepare for their continuing responsibilities after listing.
Frequently Asked Questions
These services help companies assess IPO readiness, organise corporate records, review compliance requirements, coordinate listing documentation and plan for ongoing obligations under applicable securities-market regulations.
Pre-IPO Advisory Services focus on preparing a company before it begins or progresses through the formal IPO process. They may include corporate record reviews, secretarial compliance assessments, shareholding verification, governance reviews and due diligence coordination.
A Main Board IPO and an SME IPO follow different eligibility criteria and listing frameworks. The appropriate route depends on the company’s financial position, business profile, capital structure and the applicable SEBI and stock exchange requirements.
Yes. H. S. Mehta & Associates can assist with corporate and secretarial compliance matters relevant to an IPO, including statutory records, corporate approvals, share capital information and due diligence documentation. Specialised legal opinions and securities-law representation may require separate legal counsel.
IPO Listing Compliance Services can include assistance with corporate documentation, listing-related applications, statutory information, stock exchange submissions and coordination of pre-listing requirements. The exact scope depends on the issuer, listing platform and appointed intermediaries.
A company should assess its corporate records, statutory filings, shareholding information and governance arrangements before progressing through the IPO process. Identifying and addressing gaps early can help reduce avoidable delays during due diligence and regulatory review.
Yes. Listed companies must continue to meet applicable disclosure, corporate governance, shareholder communication and other requirements under SEBI LODR and relevant stock exchange rules.
The merchant banker has a distinct role in managing and coordinating the public issue under the applicable regulatory framework. H. S. Mehta & Associates can support the corporate, secretarial and compliance aspects of an IPO assignment; the engagement scope and the responsibilities of each appointed professional should be confirmed separately.
Prepare Your Company for the Public Markets
An IPO requires coordinated work across corporate compliance, shareholding records, governance, documentation and regulatory procedures. H. S. Mehta & Associates supports businesses in Ahmedabad with pre-IPO readiness, Main Board and SME IPO compliance, listing documentation and post-listing corporate requirements. A review of your company’s current records and proposed listing route can help identify the key preparation work that should be addressed before the IPO process moves forward.