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Page Contents
- 1. Compliance Calendar for SME & SME – ITP Listed Companies under SEBI (Listing Obligations and Disclosure Requirement) (Amendment) Regulations (LODR)
- 2. Compliance Calendar for SME and SME – ITP Listed Companies under (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 i.e. SEBI (SAST) Regulations, 2011
- 3. Compliance Calendar for SME and SME – ITP Listed Companies under SEBI (Prohibition of Insider Trading) Regulations, 2015
- 4. Compliance Calendar for SME and SME – ITP Listed Companies under Companies Act 2013
1. Compliance Calendar for SME & SME – ITP Listed Companies under SEBI (Listing Obligations and Disclosure Requirement) (Amendment) Regulations (LODR)
| QUARTERLY COMPLIANCE | |||||
| SR.NO | REGULATION REFERENCE | FREQUENCY | PERIOD COVERED | DATE BY WHICH TO BE FILED | MODE OF FILING |
| 1. | 13(3) – Statement Grievance Redressal Mechanism | Quarterly | April-June, July- September, October-December, January-March | 21st July, 21st October, 21st January and 21st April | Electronic (NEAPS) |
| HALF YEARLY COMPLIANCE | |||||
| SR.NO | REGULATION REFERENCE | FREQUENCY | PERIOD COVERED | DATE BY WHICH TO BE FILED | MODE OF FILING |
| 1. | 31(1) – Shareholding Pattern | Half Yearly | April-September, October-March | 21st
October and 21st April |
Electronic (NEAPS) |
| 2. | 32(8) – Statement of deviation or variation | Half Yearly | April-September, October-March | 31st October and 30th April | Electronic (NEAPS) |
| 3. | 33(5) – Financial Results | Half Yearly | April-September, October-March | 14th November and 30th May | Electronic (NEAPS) |
| 4. | 7(3) – Compliance Certificate to the exchange | Half Yearly | April-September, October-March | 31st October and
30th April |
Electronic (NEAPS) |
| 5. | 40(10) – Compliance Certificate w.r.t Transfer or transmission or transposition of securities within 30 days | Half Yearly | April-September, October-March | 31st October and
30th April |
Electronic (NEAPS |
| ANNUALLY COMPLIANCE | |||||
| SR.NO | REGULATION REFERENCE | FREQUENCY | PERIOD COVERED | DATE BY WHICH TO BE FILED | MODE OF FILING |
| 1. | 14 – Listing Fees | Annually | April-March | 30th April | Payment through RTGS/NEFT |
| 2. | 34(1) – Annual Report | Annually | April- March | Within 21 working days from AGM | Electronic (NEAPS) |
| EVENT BASED COMPLIANCE | |||||
| SR.NO | REGULATION REFERENCE | FREQUENCY | PERIOD COVERED | DATE BY WHICH TO BE FILED | MODE OF FILING |
| 1. | 7(5) – Intimation of appointment of Share Transfer Agent | Event based | – | Within 7 days of Agreement with RTA | Electronic (NEAPS) |
| 2. | 28(1) – In-principle approval | Event based | – | Prior to issuance of Security | Electronic (NEAPS) |
| 3. | 29(1)(a) –Prior Intimations of Board Meeting for financial Result | Event based | – | At least 5 clear days in advance | Electronic (NEAPS) |
| 4. | 29(1)(b), 29(1) (c), 29(1)(d), 29(1) (e) and 29(1) (f) – Prior Intimations of Board Meeting for Buyback, voluntary delisting etc | Event based | – | At least 2 clear working days in advance | Electronic (NEAPS) |
| 5. | 29(3) –Prior Intimations of Board Meeting for alteration in nature of securities | Event based | – | At least 11 clear working days in advance | Electronic (NEAPS) |
| 6. | 30(6) – Disclosure of Price Sensitive Information | Event based | – | Not later than twenty four hours as | Electronic (NEAPS) |
| 7. | 30(6) – Disclosure of Disclosure of Price Sensitive Information | Event based | – | Within 30 minutes as per Part A of Schedule III | Electronic (NEAPS) |
| 8. | 31(1)(a) – Shareholding Pattern prior to listing of securities | Event based | – | One day prior to listing of securities | Electronic (NEAPS) |
| 9. | 31(1)(c) – Shareholding Pattern in case of capital restructuring | Event based | – | Within 10 days of any change in capital structure exceeding 2% | Electronic (NEAPS) |
| 10. | 31(A)(2) – Disclosure of class of shareholders and conditions for reclassification | Event based | – | Prior approval | |
| 11. | 37(2) – Draft Scheme of arrangement | Event based | – | Prior approval before filing with Court | Electronic (NEAPS) |
| 12. | 42(2) – Record date or Date of closure of transfer books | Event based | – | At least 7 clear working days in advance | Electronic (NEAPS) |
| 13. | 42(3) – Record date for declaring dividend and / or cash bonus | Event based | – | At least 5 clear working days in advance | Electronic (NEAPS) |
| 14. | 44(3)-Voting results by shareholders | Event based | – | Within 48 hours | Electronic (NEAPS) |
| 15. | 45(3) – Change in name of listed entity | Event based | – | Prior approval | Electronic (NEAPS |
| Sr. No. | Regulation | Compliances | Time Period |
| Event based | |||
| 1. | 29(1) | Every Acquirer/ PAC acquiring Shares/ Voting rights aggregating to 5% or more of the total shareholding of the target company | Within 2 working days of receipt of intimation of allotment of shares / acquisition of shares or Voting Rights to :-
a. Every Stock Exchange b. Target Company |
| 2. | 29(2) | Every Acquirer/ PAC holding Shares/ Voting rights aggregating to 5% or more of the total shareholding of the target company – to disclose such holding & every change therein (even if the total holding falls below 5%) if the change exceeds 2% of total shareholding | Within 2 working days of receipt of intimation of allotment of shares / acquisition of shares or Voting Rights to :-
a. Every Stock Exchange b. Target Company |
| Continual Disclosure | |||
| 1. | 30(1) | Every person, who together with persons acting in concert with him, holds shares or voting rights entitling him to exercise twenty-five per cent or more of the voting rights in a target company, shall disclose their aggregate shareholding and voting rights as of the thirty-first day of March | within 7 working days from the end of each financial year to:
i. every stock exchange where the shares of the target company are listed; and ii. the target company at its registered office. |
| 2. | 30 (2) | The promoter of every target company shall together with persons acting in concert with him, disclose their aggregate shareholding and voting rights as of the thirty-first day of March | |
3. Compliance Calendar for SME and SME – ITP Listed Companies under SEBI (Prohibition of Insider Trading) Regulations, 2015
| Sr. No. | Regulation | Compliances | Time Period |
| 7(1) Continual Disclosures | |||
| (b) | Every person on appointment as a key managerial personnel 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 a promoter to the company | within 7 days of such appointment or becoming a promoter. | |
| 7(2) Event based | |||
| • (a) | Every promoter, employee and director of every company shall disclose to the company the number of such securities acquired or disposed , 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; | within 2 trading days of such transaction | |
| • (b) | Every company shall notify the particulars of such trading to the stock exchange on which the securities are listed . | within 2 trading days of receipt of the disclosure or from becoming aware of such information. | |
4. Compliance Calendar for SME and SME – ITP Listed Companies under Companies Act 2013
| Sr. No. | Section | Compliances | Time |
| 1. | 92(2) | Form MGT-8 | After AGM |
| 2. | 92 | E Form MGT-7 | |
| 3. | 137 | E form AOC-4 XBRL | |
| 4. | 121 | E form MGT-15 | |
| 5. | 177 & Reg 18 of LODR |
Audit Committee
§ Min 3 Director out of which atleast 1/2 is Independent Director (2/3rd is ID as per LODR) § Chairman must be ID |
– |
| 6. | 178 |
Nomination and Remuneration Committee § Min 3 Non Executive Director out of which atleast 1/2 is Independent Director |
– |
| 7. | 204 |
Secretarial audit Form MR-3 |
Annexured with Board Report |
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Author Bio
How about SEBI (PIT) regulations compliance?
Is all these requirements are mentioned seperately for SMEs in SEBI (LODR) ?
Share Capital Reconciliation is also required