CHECKLIST & COMPLIANCE CALENDAR for Listed Entity under SEBI (Prohibition of Insider Trading) Regulations,2015

COMPLIANCE CALENDAR FOR LISTED COMPANIES

Under SEBI (Prohibition of Insider Trading) Regulations 2015

S. No.Regulation ReferencePeriod CoveredLast date of filingMode of filing at NSEMode of filing at BSE
1.Reg. 7(1)(a)- Initial Disclosures

Every promoter, KMP and Directors of every listed company shall disclose his holding of securities of the company as on the date of these regulations taking effect to the company.

One timeWithin 30 days of these regulations taking effect
2.Reg. 7 (1)(b)- Initial Disclosures

Every person on appointment as KMP or a director of the company or upon becoming a promoter shall disclose his holding of securities of the company as on the date of appointment or becoming promoter to Company.

One TimeWithin 7 days of such appointment or becoming promoter
3.Reg. 7 (2)(a)-Continual Disclosure

Every promoter, employee and Directors of every listed company shall discloseto the listed company the number of such securities acquired or disposed, if the value of the securities traded, whether in one transaction or series of transaction over any calendar quarter, aggregates to a traded value in excess of Rs. ten lakh or such other value as may be specified

Event BaseWithin 2trading days of such transaction
4.Reg. 7 (2)(b)-Continual Disclosure

Every company shall notify the particulars of such trading to the stock exchange

Event BaseWithin 2 trading days of receipt of the disclosure or from becoming aware of such information
5.Reg. 7 (3)-Continual Disclosure

Every listed company may, at its discretion require any other connected persons or class of connected persons to make disclosures of holdings and trading in securities of the company in such form and at such frequency as may be determined by the Company in order to monitor compliance with these regulations

 

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