1. QUARTERLY COMPLIANCE UNDER THE SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 FOR QUARTER JULY TO SEPTEMBER
| S. No. | REGULATIONS | PARTICULARS | TIMELINES (DUE DATE) |
| 1 | Regulation13(3) | Statement of Investor Complaints.
A statement giving the number of investors complaint pending at the beginning of the quarter, those received during the quarter, disposed of during the quarter and those remaining unresolved at the end of the quarter. |
Within 21 days from the end of the quarter.
(By 21st July,) |
| 2 | Regulation 31 (1) (b) | Disclosure of Shareholding Pattern | Within 21st day from the end of the quarter
(By 21st July,) |
| 3 | Regulation 27(2)(a) | Corporate Governance Report | Within 21st day from the end of the quarter
(By 21st July) |
| 4 | Regulation 33 (3) (a)/(d) | Financial Results along with Limited review report/Auditor’s report | Within 45 days from the end of the quarter/ (By 15th August) |
| 5 | Regulation 32 (1) | Statement of deviation(s) or variation(s) | Within 45 days from the end of the quarter
(By 15th August) |
| 6 | Regulation 76 | Reconciliation of share capital audit report | Within 30 days from the end of the quarter.
(By 30 July) |
| 7 | Regulation 74(5) of SEBI (DP) Regulations 2018 | Manner of surrender of certificate of security (Certificate from RTA) | Within 15 days from the end of each quarter (By 15 July) |
| 8 | Schedule B of PIT Regulations | Intimation of Trading Window Closure | From the end of closure of quarter
(30th June) Trading window shall be closed till 48 hours after the declaration of financial results. |
| 9 | Regulation 33(2)(a) | CEO/CFO Certificate – that the financial results do not contain any false or misleading statement or figures and do not omit any material fact which may make the statements or figures contained therein misleading | Quarterly (while placing the financial results before the board of directors) |
| 10 | Regulation 24 (3) | The minutes of the meetings of the BOD of the unlisted subsidiary shall be placed at the meeting of the BOD of the listed Co. The audit committee of the listed entity shall also review the financial statements, in particular, the investments made by the unlisted subsidiary. | Quarterly |
| 11 | Regulation 26(3) & (5) | All members of the BOD and senior management personnel shall affirm compliance with the code of conduct. Senior management shall make disclosures to the board of directors relating to all material, financial and commercial transactions, where they have personal interest that may have a potential conflict with the interest of the listed entity at large. | Quarterly |
| 12 | Regulation 42 of SEBI (LODR) | The register of members and Share transfer transfer books of the company will remain closed. The company shall issue Seven days previous notice of closing the registers to its security holders. | Shall be made prior to convening AGM, i.e., before 30th September.
Estimate closure date will be 24th September, to 30th September. |
2. APPLICABLE COMPLIANCE UNDER THECOMPANIES ACT 2013 FOR QUARTER JULY TO SEPTEMBER
| S. No. | SECTIONS | PARTICULARS | TENTATIVE DATE |
| 1 | Companies (Appointment and Qualification of Directors) Rules, 2014 | DIR 3 KYC | By 30th September, |
| 2 | Section 117 of the Companies Act 2013 | Form MGT 14 | Within 30 days of passing resolution for approval of Board’s Report for applicable Financial Years. |
| 3 | Section 173 of Companies Act 2013 | Convening of Board Meeting for the following:
1. Appointment of agency (NDSL or CDSL or any other entity approved by MCA) for conducting e-voting and providing video conferencing (‘VC’) facility; 2. To fix the cut-off date for e-voting; 3. To fix record date for declaration of dividend; 4. To fix period of book closure; 5. Approval of various matters for inclusion in AGM notice; 6. Approval of the draft notice, fixing of date, time and venue of the Annual General Meeting (‘AGM’ or ‘Meeting’) 7. To approve the financial statements for the financial year along with Auditors report thereon; 8. To authorize Company Secretary or any other officer to issue notice of AGM to every member or to every person entitled to receive such notice |
By 31st July |
| 4 | Section 108 of the Companies Act, 2013 and rules made thereunder | Appointment of Scrutinizer for scrutinizing the e-voting process | By 15th August |
| 5 | Section 96 of the Act | Convening of AGM | By 30th September, |
| 6 | Section 108 of the Companies Act, 2013 read with Rule 20 of MGT Rules | Opening and Closing of e-voting facility. Remote e-voting shall remain open for not less than three (3) days and shall close at 5:00 p.m. on the date preceding the date of the general meeting. | Open from 27th September (9:00 a.m.) to 29th September (5:00 p.m.) |
| 7. | Section 108 of the Companies Act, 2013 read with Rule 20 of MGT Rules | A date not earlier than Seven days before the date of AGM for determining the eligibility to vote by electronic means, to be determined. | 24th September |
Note: All tentative due dates for compliance relating to AGM has been mentioned assuming AGM convening date to be held on 30th September.
3. RBI COMPLIANCE
| 1 | FEMA ACT 1999 | FLA Return means Foreign Liabilities and Assets Annual Return to be filed with the Reserve Bank of India (RBI) every year | 15th July |
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