Compliance Calendar for Listed Companies Month Wise By CS Gopal Vairagi

Dear Professional Colleagues,

Find the Listed Companies Compliance Calendar for your ready reference.

MONTH

PARTICULARS

April

1)     Compliance Certificate Regulation 7 (3) – 30th April

2)     Regulation 30(1) and 30(2) - SEBI Takeover Regulations 2011;- 7th April

3)     Certificate from PCS 40(9) – 30th April

4)     Statement of Investor Complaints 13(3) – 20th April

5)     Corporate Governance 27(2) – 14th April

6)     Shareholding Patterns 31 – 20th April

7)     Reconciliation of Share capital 55A – 30th April

May

1)     Audited Financial Result 33 – 30th May

2)     Send intimation to the Board meeting at least 7 days before- 22nd May

3)     Held Board Meeting and Audit Committee meeting -30th May

June

 

July

1)     Statement of Investor Complaints 13(3) – 20th July

2)     Corporate Governance 27(2) – 14th July

3)     Shareholding Patterns 31 – 20th July

4)     Reconciliation of Share capital 55A – 30th July

August

1)     Financial Result 33 – 14th August

2)     Send intimation for the Board meeting at least 7 days before- 06th August

3)     Held Board Meeting and Audit Committee meeting – 14th August

September

1)     E-voting EVSN generation as per Section 108 of Companies act 2013

2)     Secretarial audit Section 204 Companies act 2013

3)     Held Board Meeting for Director report approval – Intimate Stock Exchange

4)     Notice of Intimation for book closure, AGM Notice, E-voting at least 7 days before.

5)     News Papers Advertisement for Book Closure and E-voting procedure

6)     E-voting Reporting within 48hours from the end of AGM

7)     Notice & Director Report

8)     Held AGM last date 30th September

9)     Submit with BSE audit report within 21 days of AGM.

October

1)     Certificate from PCS 40(9) – 30th October

2)     Statement of Investor Complaints 13(3) – 20th October

3)     Corporate Governance 27(2) – 14th October

4)     Shareholding Patterns 31 – 20th October

5)     Reconciliation of Share capital 55A – 30th October

6)     Compliance Certificate 7(3)- 30th October

November

1)     Financial Result 33 – 14th November

2)     Send intimation to the Board meeting at least 7 days before- 06th November

3)     Held Board Meeting and Audit Committee meeting – 14th November

 

December

 

January

1)     Statement of Investor Complaints 13(3) – 20th January

2)     Corporate Governance 27(2) – 14th January

3)     Shareholding Patterns 31 – 20th January

4)     Reconciliation of Share capital 55A – 30th January

 

February

1)     Financial Result 33 – 14th February

2)     Send intimation for a Board meeting at least 7 days before- 06th February

3)     Held Board Meeting and Audit Committee meeting – 14th February

 

March

 

 

  • Regulation-29 Notice of Board Meeting the Company shall give advance notice at least 5 working days for a financial result in other cases 2 working days.

  • 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).

  • Regulation -30 Board Meeting Outcome shall submit with the stock exchange within 30 Minutes

  • Regulation-42 Notice for 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

  • Regulation-44 Voting Result Reporting within 48hours from the end of AGM

  • Regulation 7 (2) Continual Disclosures :

(a) Every promoter, employee and director 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.

  • Regulation 46 Company website- The listed entity shall maintain a functional website.

  • Regulation 30 Disclosure of price sensitive information - 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 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.

  • Regulation 7 Appointment of New share transfer agent


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.

Note: That All Submission in BSE through XBRL Filling or Readable PDF File. 

LISTED COMPANIES MONTH WISE COMPLIANCE CALENDAR- ROC (Company Law)

MONTH

PARTICULARS

April

Get accounts to be Finalization

May

1)     Get MBP-1 & DIR-8 from Directors of the company

2)     Approve Audited Accounts

3)     File Form MGT-14 for Accounts Approval within 30 days

June

1)     Secretarial Audit & MGT-8 Audit

July

 

August

1)     Hold Board Meeting for Approval of Director report and Unaudited Financial Result

September

1)     Prepare Notice & Director report, Secretarial Audit, MGT-8

2)     Generate EVSN NO.

3)     Held AGM

4)     File Annual Return-MGT-7, XBRL- AOC-4 and AGM Report MGT-15 for F.Y

5)     Prepare Evoting result report and submitted with the stock exchange within 48 hours

October

 

November

1)     Held Board Meeting for Approval of Financial Result and Intimate Stock exchange before 7 days.

December

 

January

 

February

1)     Held Board Meeting for Approval of Financial Result and Intimate Stock exchange before 7 days.

March

 

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