Periodic Compliance for a Listed Company for Equity Shares By Kajal Govani


PERIODIC COMPLIANCES FOR A LISTED COMPANY FOR EQUITY SHARES

The Listed entity shall comply with the following compliance under SEBI Listing Regulations 2015:-

  • Quarterly Compliances
  • Half Yearly Compliances
  • Yearly Compliances
  • Event-Based Compliances

Quarterly Compliances

When to Comply

Regulation reference

Timeline

For the quarter ended June

For the quarter ended September

For the quarter ended December

For the quarter ended March

Regulation 31 (1) (b)-Shareholding Pattern

Within 21 days from the end of the quarter

By 21-July

By 21-October

By 21-January

By 21-April

27 (2) (a): Corporate Governance Report

Within 15 days from the end of the quarter

By 15-July

By 15-October

By 25-January

By 15-April

Regulation 33 (3) (a)-Financial Results along with Limited Review Report

Within 45 days from the end of the quarter

By 14- August

By 14- November

By 14- February

-

Reconciliation of Share Capital Audit report

Within 30 days from the end of the quarter

By 30- July

By 30- October

By-30 January

By 30- April

Regulation 13 (3) – Statement of Grievances Redressal Mechanism

Within 21 days from the end of the quarter

By 21- July

By 21- October

By 21- January

By 21- April

Regulation 32 (1)- Statement of deviations or Variations

-

-

-

-

-


Half Yearly Compliances

When to comply

Regulation reference

Timeline

Regulation 7(3)- Share Transfer Agent

Within 01 month of the end of each half of the financial year

Regulation 40 (10)- Transfer or Transmission of Security

Within 01 month of the end of each half of the financial year


Annual Compliances

When to comply

Regulation reference

Timeline

For the quarter ended June

For the quarter ended September

For the quarter ended December

For the quarter ended March

Regulation 14- Fees and other charges to be paid to the recognized Stock Exchange

Within one month of the end of March 31

By 30-April

-

-

-

Regulation 33 (3) (d)- Financial Results along with Auditors Report

Within 60 days from the end of the financial year

By 29- August

By 29- November

By 29- February

By 29- May

Regulation 34 (1)- Annual Report

On the day of commencement of dispatch to its shareholders


Event-based Compliances

Regulation 07 (5) – Intimation of appointment of Share Transfer Agent

Within 07 days of Agreement with RTA

Regulation 28 (1)- In- Principle approval of recognized Stock Exchange

Before issuing securities

Regulation 29 (2) (b) to (f)- Prior Intimation of the Board meeting for Buyback, Dividend, Raising Funds, Voluntary De-listing

At least two working days in advance, excluding the date of the Intimation and date of the meeting

Regulation 29 (2) (a)- Prior Intimation of the Board meeting for financial results

At least five days in advance excluding the date of the Intimation and date of the meeting

Regulation 29 (3)- Prior Intimation of the Board meeting for alteration in nature of securities etc.

At least eleven working days in advance

Regulation 30 (6)- Disclosure of events or information

Disclose to stock exchange 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 30 (6)- Disclosure of events or information

Disclosure with respect to events specified in sub-para 4 of Para A of schedule III shall be made within thirty minutes of the conclusion of the board meeting

Regulation 31 (1) (a)- Shareholding pattern prior to the listing of securities

One day prior to the listing of securities

Regulation 31 (1) (c)- Shareholding pattern in case of capital restructuring

Within 10 days of any changes in capital+/- 2%

Regulation 37 (2)- Draft Scheme of arrangements

Obtain observation letter or No objection letter from the stock exchange before filing the scheme with any court or tribunal

Regulation 39 (3)- Loss of Share certificates and issue of the duplicate certificate

Within two days of getting information

Regulation 44 (3)- Voting Results

Within 48 hours of the conclusion of the general meeting

Regulation 45 (3)- Change in name

Prior approval from stock exchange before filing an application with Registrar of Companies

Regulation 46- Website

The Listed entity shall maintain a functional website containing the basic information about the Listed entity

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