Compliance
Calendar is applicable to
companies whose equity shares are listed on the Exchange. The
compliance
requirements shown above are
indicative only. Companies are requested to refer to SEBI (Listing Obligations and
Disclosure Requirements) Regulations,
2015 (Listing Regulations) for detailed
compliances.
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Regulation no.
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particular
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Time limit
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Quarterly / Half Yearly /
Annual Compliances
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Notes
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Regulation 7 (3)
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Compliance Certificate certifying
maintaining physical &
electronic transfer facility
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Within one month of end
of each half
of the
financial year.
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Half Yearly
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The listed entity shall submit a compliance
certificate to the exchange, duly signed by
both that is by the compliance officer of the listed entity and the authorized representative of the share transfer
agent, wherever applicable,
within one month of
end
of each half
of the
financial
year,
certifying
maintaining physical & electronic transfer facility either
in house or RTA as applicable.
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Regulation 13 (3)
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Statement of
Investor
complaints.
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Within
Twenty one days from the end of each quarter.
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Quarterly
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The listed
entity shall file
with
the
recognized stock exchange(s)
on a quarterly basis, within twenty one days from the end
of each quarter, a statement giving the number of investor complaints pending
at the beginning of
the quarter,
those received during the quarter,
disposed of during the quarter and
those
remaining unresolved at the
end of the quarter
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Regulation 27 (2)
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Corporate
Governance.
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Within 15
days from quarter
end.
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Quarterly
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The listed
entity shall submit a quarterly
compliance report on corporate governance
within fifteen days from close of the
quarter. Further it
may be noted that it shall
not apply, in respect
of –
(a) the
listed entity having paid up equity
share capital not exceeding rupees ten core
and net worth not exceeding rupees twenty five core,
as on the last day of the
previous financial year: Provided
that where the provisions of
the regulations specified in this regulation becomes applicable
to
a
listed
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entity at a later date, such listed entity shall
comply with
the requirements those
regulations within six months from the date on which
the provisions became applicable
to the listed entity.
(b) the
listed entity
which has listed its
specified securities
on the SME Exchange.
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Regulation 31
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Shareholding
Pattern.
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Within 21
days from quarter
end.
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Quarterly
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the listed entity
shall
submit
to
the
stock
exchange(s) a
statement showing holding of
securities and shareholding pattern separately for each class of
securities, in
the format specified by the Board from time
to time within the following timelines –
•one day prior to listing of
its securities on the stock
exchange(s);
•on a quarterly basis, within twenty one
days from the end of
each
quarter;
•within ten days of any
capital
restructuring of the listed entity
resulting in a
change exceeding
two
per
cent of the total
paid-up share capital:
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within
twenty one days from the end of each half year.
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half yearly basis
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•Provided that in
case of
listed entities which have listed their specified securities
on SME
Exchange, the
above statements shall be submitted on a half yearly basis within twenty one days from the end of
each half year.
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Regulation 33
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Financial
Results.
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Within 45
days
from quarter end
. And
in case of Annual Financial
Result, within 60 days from end of
Financial Year.
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quarterly
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The listed entity
shall submit quarterly and
year-to-date standalone financial results to the stock exchange
within forty-five
days of end
of each
quarter, (other than last quarter) along with Limited Review Report or Audit Report as applicable.
The listed entity
shall submit audited standalone financial results for the financial year, within sixty days from the end of
the financial year along with
the audit report and either Form A (for
audit report with unmodified
opinion) or Form B (for
audit report with modified
opinion):
Provided that if the
listed entity has
subsidiaries, it
shall, while submitting annual audited
standalone financial results
also submit annual
audited consolidated financial results along with the audit report and
either Form A (for audit report with
unmodified opinion) or Form
B (for audit report with modified opinion).
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half
yearly/half year"
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For the purpose of this Financial Result regulations , any reference to
"quarterly/quarter" in case of listed
entity which has listed their specified securities
on SME Exchange shall be respectively read
as "half yearly/half year"
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Regulation 34
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Annual
Report
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Within twenty one working days of it being approved
and adopted in the annual
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The listed entity shall submit the annual report to the stock exchange
within twenty one working days of it being approved
and adopted in the annual
general meeting as per the provisions of
the
Companies Act,
2013.
In case of
top hundred listed entities based
on market capitalization (calculated as on
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general
meeting.
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March 31 of every financial year), business
responsibility report is required to include in Annual Report is compulsory as per prescribed Format. However in case
of other
than top 100 listed companies based
on market capitalization
and listed entities which have listed their
specified securities on SME Exchange, may include these
business responsibility reports
on
a voluntary basis
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Regulation 40 (9)
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Certificate
from Practicing Company Secretary.
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Within one month
of the end of each half of
the financial year.
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Half yearly
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The listed entity shall ensure that the share transfer agent and/or
the in-house share transfer facility,
as the case may be, produces a
certificate from a practicing company secretary
within one month of the end of each half
of the financial year,
certifying that all certificates have been issued
within thirty days of the
date of lodgment for transfer,
sub-division, consolidation, renewal, exchange
or endorsement of calls/allotment monies.
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SEBI- DP Reg.55A
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Reconciliation
of Share
Capital
Audit
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Within 30
days from quarter
end.
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Listed entities
are required to
submit
Reconciliation of Share Capital Audit Report on
a quarterly basis to the stock exchanges
audited by a qualified chartered accountant or
a practicing
company secretary
for the purpose of reconciliation of share capital held in depositories and in physical form with the issued / listed capital.
The Reconciliation of
Share Capital Audit Report is required to be submitted to the stock Exchange within
30 days from the end of the
Quarter under regulation 55A of the SEBI
(Depositories and Participants)
Regulations, 1996
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Other Compliance Requirements under SEBI Listing Regulations
2015. (LODR)
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Regulation 7
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Appointment
of New
Share
Transfer Agent.
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within
seven days
of entering into the agreement.
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Event based
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In case
of any change or appointment
of a
new share
transfer agent, the listed entity
shall enter into a tripartite agreement between
the existing share transfer
agent, the new share transfer
agent and the listed entity, in the manner as specified by the
Board from time to time. The listed entity shall intimate such appointment, to the stock exchange(s) within seven days of entering into the agreement.
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Regulation 14
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Listing Fees &
Other charges.
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in the
manner specified by the Board
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The listed entity
shall pay all such
fees or
charges, as
applicable, to the recognised
Stock Exchange(s), in the manner specified by the Board
or the recognised Stock Exchange
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Regulation 29
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Notice
for
Board Meeting
to consider the
prescribed matters.
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an advance
notice of at
least 2/5/11 working
days
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The Company
shall give an advance notice of
at least
5 working days for Financial Result
, In case of other matters
as stated in regulation 29 1 (b) to (f) - 2 Working days in
advance (Excluding the date
of the intimation and date of the meeting)
to Stock Exchange.
The Company shall give an advance
notice of
11 working days
in case matter related to
alteration in i) Securities
;ii) date
of interest
or redemption of
Debenture/bond as per regulation 29(3) (a)
,(b).
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Regulation 30
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Disclosure of
Price-Sensitive
Information
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not
later
than twenty four
hours from the occurrence
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The Company
has to intimate to the Stock
Exchange about the
material events which
will have a bearing on the performance / operations of the company
as well as price sensitive information
both at the time of
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of event
or
information.
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occurrence of
the
event and
subsequently
after the cessation of
the event.
The listed entity shall first disclose to stock
exchange(s) of all events,
as specified in Part A of Schedule III, or information
as soon as reasonably possible
and not later than
twenty four hours from the occurrence of
event
or information.
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Regulation 30
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Outcome of
Board meeting
(Schedule III
Part A- (4))
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within 30
minutes of
the closure of the meeting.
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The listed
entity shall disclose
the
information to the Exchange(s), within
30 minutes of the closure of the meeting.
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Regulation 42
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Notice for Record Date
\
Corporate Action.
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advance
notice of at least 5/7 working
days to
the Stock Exchange
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The Company
must ensure that
there is a
gap of at least 30
days between 2 book closure and/or record date.
The Company shall
give an advance notice of at least 7 working
days
(Excluding
the date of the
intimation and record
date/book closure start date) to the Stock Exchange for corporate actions
(Book closure/Record
date) fixed for the purpose of corporate benefits like mergers, de-mergers, split , bonus,
dividend, rights etc.
The listed
entity shall recommend
or declare all dividend and/or cash bonuses at least
five working days (excluding
the date of intimation and the record
date) before the
record date fixed for
the purpose.
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Regulation 43
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Declaration
of
Dividend.
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The Company has to declare
and disclose
the dividend on per share
basis only.
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Regulation 44
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Voting
Result
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within
forty eight hours
of
conclusion
of its
General Meeting
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The listed entity
shall submit to
the stock exchange, within forty eight hours of conclusion of
its General Meeting, details
regarding the voting results in the format specified by the Board
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Regulation 46
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Company
Website.
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update any
change in the content
of its website within two working
days from the date of such change in content.
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The listed entity
shall maintain a
functional
website
containing the basic
information about
the listed entity.
The listed entity shall disseminate the
information as stated in Regulation 46 (2).
The listed
entity shall ensure that
the contents of the
website are correct & the listed entity shall update any change
in the content
of its website within
two working days from the
date of such change in content.
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Regulation 30(1)
and 30(2) -
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SEBI Takeover
Regulations
2011.
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within seven
working days from the end of each financial year
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30(1)
Every person, who
together
with
persons acting
in concert with him, holds
shares or voting rights entitling
him to exercise twenty-five per cent or more of the voting rights in a target company, shall disclose
their aggregate shareholding
and voting rights as of the
thirty-first day of
March, in such target company in such form as may be specified.
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30 (2) The promoter
of
every target
company shall together with
persons acting
in concert with him, disclose their aggregate shareholding and voting
rights as of the thirty-first day of
March,
in
such target
company in such form as may be specified.
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The disclosures
required under sub-
regulation
(1) and sub-regulation (2)
shall be made within seven
working days from the end
of each financial year to;
every stock exchange where
the shares of the target company are listed;
and the target company
at its registered
office
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Regulation 7(2)
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SEBI
(Prohibition
of
Insider Trading)
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within
two
trading days
of such
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Every
promoter, employee
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7 (2) Continual
Disclosures :
(a). Every promoter, employee
and director
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Regulations,
2015.
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transaction
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and director
of every company
shall disclose to the company
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of every
company shall disclose to
the
company the number of such securities
acquired or disposed of
within two trading
days of such transaction if the value of the securities
traded, whether in one transaction or a series of
transactions over
any calendar quarter, aggregates to a
traded value in excess of ten lakh rupees or such
other value as may be specified;
(b). Every company shall notify the particulars of
such trading to the stock
exchange on which the
securities are listed within
two trading days of receipt of the disclosure or from becoming aware of such information.
(Transaction type
include buy/sales/pledge/revoke/Invoke)
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Pursuant Regulation 10 of the Listing Regulations about the listed entity shall file the reports,
statements, documents,
filings
and
any
other information with the
recognized stock
exchange(s) on
the
electronic platform as
specified by the Board or the recognized stock exchange(s). Accordingly as per BSE Circular No. DCS/COMP/20/2015-16 dated November 30,
2015 it is mandatory for filing of various information with the exchange in electronic mode through online web portal (http://listing.bseindia.com) , Effective from December 1, 2015, those filings that are not filed with the Exchange through the Listing
Centre are liable to
be considered as non-submission and consequent non-compliance
with the Regulations. Compliance filing
for entities other than those listed on the Exchange may be done through
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