CHECKLIST & COMPLIANCE CALENDAR for Listed Company under SEBI (LODR) Regulations,2015

COMPLIANCE CALENDAR FOR LISTED COMPANIES

Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015

S. No.Regulation ReferencePeriod CoveredLast date of filingMode of filing at NSEMode of filing at BSE
1.Reg. 27(2)(a):Corporate Governance Report– Quarterly Compliance Report on Corporate Governance in prescribed format (applicable on the listed companies having paid up capital of more than 10 cr. And more than 25 cr. Of networth)

 

(Within 15 days of close of the quarter)

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

i) 15th July

ii) 15th Oct

iii) 15th Jan

iv) 15th April

NEAPSBSE LISTING CENTRE
2.Reg. 13(3):Statement Grievance Redressal Mechanism– A statement giving number of investor

i) Complaints pending at the     beginning of the quarter

ii) Complaints received during the quarter

iii) Complaints disposed during the quarter

iv) Complaints remaining unresolved at the end of quarter

(Within 21 days of close of the quarter)

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

i) 21st July

ii) 21st Oct

iii) 21st Jan

iv) 21st April

NEAPSBSE LISTING CENTRE
3.Reg. 31(1)(b):Shareholding Pattern– Shareholding Pattern

 

(Within 21 days of close of the quarter)

 

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

i) 21st July

ii) 21st Oct

iii) 21st Jan

iv) 21st April

NEAPSBSE LISTING CENTRE
4.Reg. 32(1):Statement of deviation and variation– Statement of deviation and variation on quarterly basis for public issue, right issue, preferential issue indicating deviation as per regulation 32(1)

 

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

i) 31st July

ii) 31st Oct

iii) 31st Jan

iv) 30thApril

NEAPSBSE LISTING CENTRE
5.Reg. 29(1)(a) & Proviso of Sub-Reg. (2):Prior intimation of Board Meeting for financial results-Prior intimation of Board Meeting in which financial results is proposed to be considered and such intimation shall include the date of such meeting of Board of Director

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

At list five days in advance (excluding the date of intimation to stock exchange and date of Board Meeting.

(5 Clear days)

NEAPSBSE LISTING CENTRE
6.Reg. 33(3)(a):Financial Results– Quarterly financial results with Limited Review Report.

Reg. 33(3)(d):Annual Financial Results– Audited standalone and consolidated financial results for the financial year along with audit report and either form A (unmodified report) or Form B (modified report)

(Within 45 days of close of the 1st, 2nd and 3rd quarter and Within 60 days of close of the 4th quarter)

 

i) April to June-Q1

ii) July to Sep.- Q2

iii) Oct. to Dec.-Q3

iv) Jan to March- Q4

i) 14th Aug.

ii) 14th Nov.

iii) 14th Feb

iv) 30th May

 

 

NEAPSBSE LISTING CENTRE
7.Reg. 7(3):Compliance Certificate related to share transfer– Compliance certificate duly signed by both the Compliance Officer and Authorised Representative of Transfer Agent

 

(Within one Month of end of each half year)

 

i) April to Sep.- H1

ii) Oct. to March- H2

i) 31st Oct

ii) 30th April

NEAPSBSE LISTING CENTRE
8.Reg. 40(9) and 40(10):Compliance Certificate related to transfer or transmission or transposition of securities– Share Transfer Agent produce a certificate from Practicing CS certifying that all the certificate within one month of the end of each of half financial year have been issued within 30 days of that lodgement for transfer, sub-division, consolidation, renewal, exchange, or endorsement of calls/ allotments monies

(Within one Month of end of each half year)

i) April to Sep.- H1

ii) Oct. to March- H2

i) 31st Oct

ii) 30th April

NEAPSBSE LISTING CENTRE
9.Reg. 14:Payment of listing fees– payment of listing fee or charges as applicable to the stock exchanges in the manner specified by SEBIi) April to March30th AprilNEAPSBSE LISTING CENTRE
10.Reg. 34(1):Annual Report– Annual Report to stock exchange within 21 working days of it being approved and adopted in the Annual General Meeting as per provision of Companies Act, 2013i) April to MarchWithin 21 working days from the AGMNEAPSBSE LISTING CENTRE
11.Reg. 44(3):Voting Result– The listed entity shall submit to stock exchange, within 48 hours of conclusion of general meeting, details regarding the voting results in specified format.Voting at General MeetingWithin 48 hour form the conclusion of general meetingNEAPSBSE LISTING CENTRE
 
12.Reg. 7(5):Appointment of Share Transfer Agent

 

Within 7 days of agreement with RTANEAPSBSE LISTING CENTRE
13.Reg. 28(1):Obtaining of ‘in-principle approval’ before issue of securities

 

Prior to issuance of securities
14.Reg. 29:Prior intimation of Board Meeting– Prior intimations of Board meeting for proposal to buy back of securities, voluntarily delisting, fund raising by public offer, right issue, ADR,GDR, FCCB, QIP, Debt issue, preferential issue, declaration of dividend, bonus issue

 

At least 2 clear working days in advance excluding the date of intimation and date of meetingNEAPSBSE LISTING CENTRE
15.Reg. 29(3):Prior intimation of Board Meeting– Prior intimations of Board meeting for proposal to

a) Any alteration in the form or nature of any of its securities that are listed or in the right or privileges of holders thereof

b) Any alteration in the date on which, the interest on debentures or bonds or the redemption amount of redeemable shares or debentures or bonds shall be payable

At least 11 clear working days in advanceNEAPSBSE LISTING CENTRE
16.Reg. 30:Disclosure of price sensitive information– Listed entity shall first disclose to stock exchange(s) of all events, as specified in part A of the Schedule III, or information as soon as reasonably possible and not later than 24 hour from the occurrence of event or information.

 

Provided that in case the disclosure is made after 24 hours of occurrence of the event or information the listed entity shall, along with such disclosures provide explanation for delay.

 

Not later than 24 hours from the occurrence of the event or information as per Part A Schedule IIINEAPSBSE LISTING CENTRE
Event-

1. Acquisitions including agreement to acquire, Scheme of Arrangement(Merger/Demerger), sale or disposal of any unit, division subsidiary or other restructuring,

2. issue or forfeiture of securities, split consolidation, buy back, any restriction on transferability of securities, alteration in term or structure of securities

3. Revision in rating (debt/deposit)

4. Shareholder Agreement, joint venture agreement, family settlement agreement ( to the extent that it  impacts the management and control of the listed Company, agreement contract with media company,

5. fraud/default by promoter/ KMP/ listed entity or arrest of KMP/Promoter

6. Change in director/KMP (MD/CEO/CFO/CS)

7. Appointment or discontinuation of Share Transfer Agent

8. Corporate Debt Restricting

9. One time settlement with Bank

10. Reference to BIFR and winding-up petition filed by any party/creditors

11. issuance of notice to securities holder or media

12. proceeding of annual and extraordinary general meeting

13. Amendment to MOA and AOA

14 Schedule of Analyst or institutional investor meet and presentations of financial results made by listed company to analysts or institutional investors

15. Commencement or any postponement in the date of commencement of commercial production or commercial operations of any unit/division.

16. Change in the general character or nature of business

17. capacity addition of product launch

18. Awarding, bagging /receiving amendment or termination of awarded bagged orders/contracts not in the normal course of business

19. Agreement (viz. Loan Agreement (as borrower) or any other agreement which are binding and not in normal course of business) and revision or amendment or termination thereof.

20. Disruption of operations of any one or more units or division of the listed entity due to natural calamity (earthquake, flood, fire etc.) force majeure or events such as strikes, lockouts etc.

21. Effects arising out of change in regulatory framework applicable to listed entity

22. litigation/dispute/regulatory actions with impact

23. Giving of guarantee or indemnity or becoming a surety for any 3rd party

24. Granting, withdrawal, surrender, cancellation or suspension of key licenses or regulatory approvals.

17.Reg. 30:Outcome of Meeting of Board of Directors

Within 30 minutes of closure of meeting

a) Dividends and/or cash bonuses recommended or declared or the decision to pass any dividend and the date on which dividend shall be paid/dispatched.

b) any cancellation of dividend with reasons thereof

c) the decision of buy back

d) the decision with respect of fund raising proposed to be undertaken

e) increase in capital by issue of bonus share through capitalization including the date on which such bonus shares shall be credited / dispatched

f) re-issue of forfeited shares or securities or the issue of shares or securities held in reserve for future issue or the creation in any form or manner of new shares or securities or other rights, privileges or benefits to subscribes to

g) alteration in capital

e) financial result

f) decision on voluntary delisting by listed entity

Within 30 minutes of the closure of meeting

The intimation of outcome of the meeting shall also contain the time of commencement and conclusion of the meeting

NEAPSBSE LISTING CENTRE
18.Reg. 42(2):Intimation regarding fixing of Record date or Date of closure of transfer books-

Intimation of record date for following purpose;

a. declaration of dividend

b. Issue of right or bonus shares

c. issue of shares for conversion of debentures or any other convertible securities

d. share arising out of right attached to debentures or any other convertible security

e. corporate action like merger, demergers, splits and bonus shares

f. such other purpose as may be specified by the stock exchange

The intimation shall be given in advance of at least 7 working days excluding the date of intimation and record dare to the stock exchange of record dare specifying the purpose of the record date.NEAPSBSE LISTING CENTRE
19.Reg. 42(3): the listed entity shall recommend or declare all dividend and/or cash bonuses at least 5 working days (excluding the date of intimation and the record date fixed for the purpose)AT least 5 clear working days in advanceNEAPSBSE LISTING CENTRE
20.Reg. 45(3):Change of name-On receipt of confirmation regarding name availability from ROC, before filing the request for change of name with the ROC in terms of provisions of Companies Act, 2013 and rules made thereunder the listed entity shall seek approval from stock exchange by submitting a certificate from chartered accountant stating compliance with the conditions at sub-regulation 45(1)

 

Prior ApprovalNEAPSBSE LISTING CENTRE
21.Reg. 46 (2): Any change/updation in the content of its website2 working days from the date of such change

 

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