Surbhi Solanki

Qualified Company Secretary with 2 + years of PQE in primary market issues. Pre-IPO compliances, including Due diligence, Corporate restructuring, Regulatory filings, and intermediary coordination. End-to-end execution of Rights issues totalling ~₹76 Cr, Preferential issue, Stock Consolidation, Reclassification, Interstate Shifting of Registered office of Listed entity/ies. Drafting of Offer documents, review of chapters, compliance with SEBI and Stock Exchange requirements.

Company Secretary/ Manager – IPO operations at Valmiki Leela Capital Private Limited (2024-04 – 2026-04)

SEBI-Registered CAT-I Merchant Bankers

Asst. Company Secretary at Valmiki Leela Capital Private Limited (2023-09 – 2024-04)

Secretarial Executive at Gaudana & Gaudana (2022-08 – 2023-08)

Secretarial Executive at Kashyap Mehta and Associates (2021-04 – 2022-04)

Internship at Kashyap Mehta and Associates (2019-01 – 2021-04)

Pre-IPO & Primary market operations at Multiple Organizations

• Due Diligence assignments, Corporate restructuring, background checks and regulatory readiness of Company
• Conversion of Private to Public Company, Increase in Capital, Bonus issue, Change in MoA/ AoA etc
• Corporate Actions for ISIN activation, Dematerialisation of securities, coordination with NSDL/CDSL and RTAs
• Coordinated with intermediaries Merchant Bankers, Legal Advisors, RTAs, Auditors, Stock Exchanges, Depositories, Directors, Promoters, PCS' for transaction execution and compliance closure
• Assisted in Merchant Banking Compliances, led Secretarial, Regulatory and ROC filings for Company/ies

SEBI & Listing Compliances at Multiple Organizations

• Led Rights issues, Preferential issue, Stock Consolidation, Inter-state Registered office shifting, Reclassification, Waiver application for SOP fines, Defreezing Securities of promoters of Listed entity
• Drafting of offer documents (DLOF), Review of Object, Capital, Business and Risk Chapters, Regulatory filings, application to Stock exchanges and compliance with SEBI and stock exchange requirements
• Conducted BM/ GMs with physical venue and e-AGM with e-Voting process
• Periodic submission of Quarterly/ Annual compliances with Stock exchange/s for under LODR, ICDR, PIT, SAST
• Assisted in SEBI Exemption application for BSE Listed Company
• Drafted and submitted replies to SEBI and Stock exchange/s queries

Independent Assignments at Multiple Organizations

• Incorporation, Change of Name and Object, Shifting of Registered office, Striking off, Creation / Modification / Satisfaction of Charges of Companies / LLPs, Revival of dormant Companies
• Drafting of Legal Documents and Agreements including MoUs, Business Takeover, Share Purchase, Gift deed, MoA – AoA, Share Subscription, Initial/ partnership agreements
• Drafting of Agenda, Notices, Minutes, Board Report and filing of Annual report including XBRL statement
• Secretarial Compliance/ Audit report of Listed/ Unlisted/ Private Entities
• MSME/ IEC/ NeSL/ Start-up/ eAuction/ Bank Guarantees/ FD releases/ Banking/ Icegate/ LC/ IEC/ Legal DD
• Regulatory filings and intimations to IBBI/ ICSI IIP, Preparation and filing of Application before NCLT, Statutory filings under IBC, 2016

Company Secretary in Company Secretaryship – The Institute of Company Secretaries of India (2024)

MBA in Finance – Gujarat Technological University (2020)

Bachelor Of Commerce in Commerce – Saurashtra University (2017)