If you need opinions and advisory on SEBI LODR we will help you out in the same drop a whats app on 9990694230 DO remember we charge for our services Look Below Look Below Look Below Look Below SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 – At a glance |
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| Sl | Description | Regulation | Compliance Requirements | Due date | |
| 1 | Principles governing disclosures and obligations | 4(2)(f(ii) | Key functions of the board of directors | yearly review | |
| 2 | Share transfer Agent – Half yearly certificate | 7(3) | The Compliance officer and authorised representative of RTA signed certificate to be submitted with SE within one month from the end of the each half year | 30-Oct, 30-Apr | |
| 3 | Investors Complaints status report | 13(3) | The listed entity shall file with the recognised stock exchange(s) on a quarterly basis, within twenty one days from the end of each quarter | On or before 21st of Apr, July, Oct, Jan | |
| 4 | Listing Fees | 14 | as per the Intimation | yearly | |
| 5 | Board of directors | 17(8) | CEO & CFO certificate to the Board as per Sch.II of Part B – every year | 31st March | |
| 6 | Related party Transaction | 23(4) | All material related party transactions shall require approval of shareholders by ordinary resolution and the related parties shall abstain from voting. | quarterly review | |
| 7 | Corporate Governance | 27(2)(a) | Within 15 days from the end of the quarter the CG to be submitted to the SE | On or before 15th of Apr, July, Oct, Jan | |
| 8 | Corporate Governance | 27(2)(b) | Details of all material transactions with related parties shall be disclosed along with the report mentioned in clause (a) of sub-regulation (2). | On or before 15th of Apr, July, Oct, Jan | |
| 9 | Prior Intimation and Advertisement | 29(1)(a) | Intimation to SE - 5 days in advance to the meeting excluding DOM & DOI for consideration of financial results and simultaneously publish the notice in the newspaper as per Regulation 47(1) | quarterly | |
| 10 | Prior intimation | 29(1) | Intimation to SE 2 working days prior to the meeting excluding DOM & DOI for the matters stated in 29(1) other than 29(1)(a) | quarterly | |
| 11 | Prior intimation | 29(3) | iv. Intimation to SE 11 working days prior to the meeting excluding DOM & DOI for the matters relating to alternation in any form security / payment of interest/redemption of securities. | quarterly | |
| 12 | Disclosure of events/information | 30(4) | The board shall frame/approved Material events policy and posted on the web site | yearly review | |
| 13 | Disclosure of events/information | 30(5) | Board of Directors to authorise one or more KMPs for determining materiality of an event/information for disclosure to Stock exchanges and the contact details of such personnel shall be disclosed | on occurrence | |
| 14 | Disclosure of events/information | 30(6) | i. 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 24 hours from the occurrence of event or information. | on occurrence | |
| 15 | Disclosure of events/information | 30(6) | ii. The listed entity shall disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III shall be made within 30 minutes of the conclusion of the board meeting | quarterly | |
| 16 | Disclosure of events/information | 30(7) | i. All events or information which has been disclosed to stock exchange(s) under this regulation , and such disclosures shall be hosted on the website. | quarterly | |
| 17 | Website update | 30(8) | ii. The aforesaid data to be maintained in the website for a minimum period of 5 years and thereafter as per the archival policy of the company. | ||
| 18 | Subsidiary | 30(9) | iii. Listed entity shall disclose all events or information with respect to subsidiaries which are material for the listed entity. | ||
| 19 | Shareholding pattern | 31(1) | Within 21 days from the end of the each quarter the Share holding pattern shall be submitted to the SE | On or before 21st of Apr, July, Oct, Jan | |
| 20 | Shareholding pattern | 31(2) | 100% of shareholding of promoter(s) and promoter group is in dematerialized form | yearly | |
| 21 | Utilisation of funds raised through issues | 32(6) | Monitoring agency to be appointed and report to be submitted with SE | ||
| 22 | Utilisation of funds raised through issues | 32(1) | Statement of utilisation of proceed to be filed with SE on a quarterly basis till the complete utilisation | ||
| 23 | Utilisation of funds raised through issues | 32(7) | Annual utilisation statement to be certified by the statutory auditors and placed before the audit committee | ||
| 24 | Utilisation of funds raised through issues | 32(5) | Annual statement on Utilisation of proceeds with audit certificate to be placed before the audit committee. | ||
| 25 | Financial Results | 33(2) | Authentication of quarterly financial results – CEO & CFO as per the Regulation 33(2(a)) | quarterly | |
| 26 | Financial Results | Signed quarter/annual financial results to be submitted with the SE along with the Limited Review/Audit report within 48 hours of the conclusion of the meeting and simultaneously published in the newspaper as per the Regulation 47(3) | quarterly | ||
| 27 | Financial Results | 33(3)(a) | Within 45 days from the end of each quarter the financial results to be submitted to the SE | On or before 15th of Aug, Nov, Feb | |
| 28 | Financial Results | 33(3)(d) | Within 60 days from the end of financial year the audited financial results to be submitted to the SE | on or before 30th May | |
| 29 | Financial Results | 33(3)(f) | submit as part of its standalone or consolidated financial results for the half year, by way of a note, a statement of assets and liabilities as at the end of the half-year | on or before 15th Nov, 30th May | |
| 30 | Financial Results | 33(4) | The standalone/consolidated annual audited financial results shall submit along with auditors report and Form A | ||
| 31 | Annual Report | 34(1) | The Annual Report should be submitted 21 days before the scheduled date of the meeting | 21 days before the date of AGM | |
| 32 | Annual Report and Notice | 47(1)(d) | as per Regulation 47(1)(d) the notices given to shareholders by advertisement in the newspaper | ||
| 33 | Annual Report | 34(2) | The top hundred listed entities based on market capitalization (calculated as on March 31 of every financial year), business responsibility report (BRR) should be attached | ||
| 34 | Annual Information Memorandum | 35 | Yet to be published (precisely top 100 companies) | ||
| 35 | Information to shareholders | 36 | 21 days before the scheduled date of the general meeting the Report should be sent to the shareholders. | ||
| 36 | Issuance of certificates | 39(2) | Within 30 days from the date of such lodgement the new certificate to be issued to the shareholders (subdivision, split, consolidation, renewal, exchanges, endorsements, issuance of duplicates) | 30 days from the date of lodgement | |
| 37 | Intimation of duplicate share certificate | 39(3) | The listed entity shall submit information regarding loss of share certificates and issue of the duplicate certificates, to the stock exchange within two days of its getting information. | With 2 days on receipt of the information | |
| 38 | Unclaimed shares | 39(4) | Unclaimed shares to be dealt in the manner provided in Schedule VI of SEBI (LODR) Regulations | ||
| 39 | Transfer/ Transmission/ Transposition of securities | 40(2) | The memorandum of share transfer report shall place before to the board of directors in each meeting. | Every quarter BOM | |
| 40 | Transfer/ Transmission/ Transposition of securities | 40(7) | The company shall comply with all procedural requirements as specified in Schedule VII with respect to transfer of securities. | ||
| 41 | Transfer of securities | 40(8) | In case the listed entity has not effected transfer of securities within fifteen days or where the listed entity has failed to communicate to the transferee(s) any valid objection to the transfer, within the stipulated time period of fifteen days, the listed entity shall compensate the aggrieved party for the opportunity losses caused during the period of the delay: | Penalty for non-compliance | |
| 42 | Transfer and Transmission of shares | 40(10) | As per the Regulation 40(9) – confirmation certificate to be obtained from the PCS and should be submitted to the SE within one month of the end of each half year. | 30th October / 30th April | |
| 43 | Record Date or Date of closure of transfer books | 42(2) | The notice shall give in advance of atleast 7 working days (excluding the date of intimation and the record date) to SE and specify the purpose of the record date. | ||
| 44 | Record Date | 42(3) | 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. | ||
| 45 | |||||
| 46 | Voting by shareholders | 44(3) | Within 48 hours of conclusion of its General Meeting, details regarding the voting results to the SEs. | ||
| 47 | Website | 46 | The information to be hosted on the company’s website, which are disclosed to the SE | ||
| 48 | Details of familiarization programs imparted to independent directors shall be disclosed on Company’s website. | ||||
| 49 | Any change in the website content should be updated within 2 working days | ||||
| 50 | Advertisement | 47 | i.
Notice of the meeting of the board of directors ii. Notices given to shareholders by advertisement iii. The company’s/SE Web link shall give a reference in the newspaper publication iv. Financial Results shall be published within 48 hours of conclusion of the meeting of board of directors |
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| 51 | SEBI Takeover Regulation 30 | 30(1) & (2) | Promoters/PAC holding >25% holding shares to be intimated to SE within 7 days from the end of the financial year | ||
| 52 | SEBI Insider Trading Regulation | ||||
| 53 | Trading window closure to directors | SEBI | 10 prior to the meeting - excluding date of meeting and intimation. | ||
| 54 | Trading window closure to employees | SEBI | 10 prior to the meeting - excluding date of meeting and intimation. | ||
| 55 | Trading window - Open | SEBI | 2 days after the meeting | ||
| 56 | Intimation to directors - BM | CA | Sec.173(3)-At least 7 days' Notice for the Board Meeting, excluding date of meeting and intimation. | ||
| 57 | NEPS updation | LA | All Intimations and updates are to be uploaded in the designated wibsite (NSE-NEPS) | ||
| 58 | Agenda and notes to directors | SS1 | At least 7 days before the date of the Meeting either in physical mode or electronic mode. If physical an additional two days shall be added for the service. | ||
| 59 | Attendance Register | On the date of meeting | |||
| 60 | Sitting fees | Through NEFT - on the date of meeting | |||
| 61 | Draft minutes to all director | SS1 | SS1-7(4) - within 15 days from the date of meeting | ||
| 62 | Confirmation of minutes by directors | SS1 | SS1-7(4) - within 7 days from the date of receipt of the minutes | ||
| 63 | Conclusion of minutes | Sec.118 | Sec.118,
u/r.1(b) Management and Admn Rules, within 30 days of the conclusion of the meeting SS1- Minutes shall be entered in the Minutes Book within thirty days from the date of conclusion of the Meeting |
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| 64 | Signing of minutes - | Sec.118 | Sec.118 and SS1 - 7.6 - Minutes of the Meeting of the Board shall be signed and dated by the Chairman of the Meeting or by the Chairman of the next Meeting. | ||
| 65 | Filing of with MCA | CA | within 30 days form the date of the meeting | ||
| 66 | Filing of Form MGT-14 | within 30 days form the date of the meeting | |||
| 67 | U/s.93 CA 2013 MGT-10 | within 15 days form the date of occurrence | |||
| 68 | Related Party Register - Quarterly | Sec.188 | Related party transaction to be placed before the Board for review | Quarterly | |
| 69 | Legal case status report | Board has to review the Legal case status report on a quarterly basis - material events | |||
| 70 | Risk Management Committee | Reg.21 | constitution of Risk Management Committee - top 100 companies, determined onn the basis of the market capitalisation | ||
| 71 | Familliarisatiion Program | Sec.149 & Reg.25(7) | Entity shall familiarise the ID through various programmes. | ||
| 72 | CSR Review | Sec.135 | Review of budget and performance | ||
| 73 | NR Committee | Sec.178 | Review of performance | ||
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