Compliances by Listed Companies as per SEBI (Listing Obligations & Disclosure Requirements) Regulations, 2015

Ritu Agarwal 24 Jun 2022 2,400 Views 0 comment Print SEBI | Articles

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Today, We will read the Quarterly, Half Yearly, Yearly & Event based Compliances required to be made by the Listed Companies as per SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 !! Hope it will help you out!!

QUARTERLY COMPLIANCES:

Sr. No.	Applicable Regulation	Particulars	Frequency	To be filed within
1	Regulation 13 (3)	Statement of Investor complaints.	Quarterly	Within 21 days from quarter end
2	Regulation 27 (2)	Compliance Report on Corporate Governance	Quarterly	Within 21 days from quarter end
3	Regulation 31	Statement of Shareholding Pattern	Quarterly	Within 21 days from quarter end
4	Regulation 33	Standalone Financial Results	Quarterly	Within 45 days from the end of each quarter

HALF YEARLY COMPLIANCES:

Regulation 23(9)

Related Party Transactions

Half yearly

Within 15 days from the date of publication of its standalone and consolidated financial results.

W.e.f: 1st April 2023; Disclosure shall be given on the date of publication of its standalone and consolidated financial results.

YEARLY/ANNUAL COMPLIANCES:

Sr. No.	Applicable Regulation	Particulars	Frequency	To be filed within
1	Regulation 33	Standalone Financial Results	Yearly	within 60 days from end of Financial Year
2	Regulation 40 (9)	Certificate from Practicing Company Secretary certifying that all certificates have been issued within thirty days of the date of lodgement for transfer, sub-division, consolidation, renewal, exchange or endorsement of calls/allotment monies	Yearly	Within 30 days from the end of the financial year.
3	Regulation 34	Copy of the annual report shall be sent to the shareholders of the Company along with the notice of the annual general meeting.	Yearly	Not later than the day of commencement of dispatch to its shareholders
4	Regulation 7 (3)	Compliance Certificate certifying maintaining physical & electronic transfer facility.	Yearly	Within 30 days from the end of each half of the financial year.

EVENT BASED COMPLIANCES:

Sr. No.	Applicable Regulation	Particulars	Frequency	To be filed within
1	Regulation 7	Appointment of New Share Transfer Agent.	Event Based	within seven days of entering into the agreement
2	Regulation 29	Notice for Board Meeting to consider the prescribed matters.	Event Based	1.Notice of at least 5 advance days: For Financial Result as per regulation 29 1 (a). 2.Notice of atleast advance 2 working days( excluding the date of intimation & date of the meeting): For the matters as stated in regulation 29 1 (b) to (f) – 3.Notice of atleast 11 working days: for the matters related to alteration in i) Securities ;ii) date of interest or redemption of Debenture/bond as per regulation 29(3) (a) ,(b).
3	Regulation 30	Disclosure of Price-Sensitive Information.	Event Based	not later than twenty four hours from the occurrence of event or information.
4	Regulation 30	Outcome of Board Meeting	Event Based	within 30 minutes of the closure of the meeting, in case of board meetings being held for more than one day, the financial results shall be disclosed within 30 minutes of end of the meeting for the day on which it has been considered.
5	Regulation 42	Notice of the Corporate Action or Record Date.	Event Based	advance notice of at least 7 working days (Excluding the date of the intimation and record date/book closure start date)
6	Regulation 43	Declaration of Dividend.	Event Based	Declare all dividend and/or cash bonuses at least five working days (excluding the date of intimation and the record date) before the record date
7	Regulation 43A	Dividend Distribution Policy.(Applicable to top 1000 listed entities on the basis of market capitalization)	Event Based	shall be disclosed on the website of the listed entity and a web-link shall also be provided in their annual reports.
8	Regulation 44	Voting Result	Event Based	within two working days of conclusion of its General Meeting
9	Regulation 46	Company Website	Event Based	Update any change in the content of its website within 2 working days from the date of such change in content.