Annual Compliance calendar for Listed Companies for the Financial Year (FY) 2020-21

[Under the SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015]

 [Under SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011]

[Under SEBI (Depositories and Participants) Regulations, 2018

Sr. No. Compliance Regulation Regulation No. Occurrence Due Date
1.        Compliance certificate for maintaining share transfer facility SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 7(3) Half yearly Within 1 month of end of each of Financial Year (by 30th April & 30th October every year)

 

2.        Statement of Investor Complaints/ Grievance Redressal Mechanism SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 13(3) Quarterly Within 21 days from the end of each quarter   (by 21st April, 21st  July, 21st October and 21st January every year)

 

3.        Payment of listing fees & Other charges SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 14 Annual Within 1 month of end of 31st March every year (by 30th April)

 

4.        Disclosure of Related Party Transaction SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 23(9) Half yearly Within 30 days from the date of publication of standalone and consolidated financial results for the half year

 

5.        Annual Secretarial Compliance Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 24A Annual Within 60 days from the end of the financial year (by 30th May every year)

 

6.        Annual affirmations for compliance with code of conduct SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 26(3) Annual At the 1st BM in every Financial Year
7.        Corporate Governance Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 27(2) Quarterly Within 15 days from end of each quarter (by 15th April, 15th July, 15th October and 15th January every year)

 

8.        Shareholding Pattern SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 31(1)(b) Quarterly/ Half yearly § Within 21 days from the end of each quarter (by 21st April, 21st July, 21st October and 21st January every year);

 

§ In case of entities which have listed their specified securities on SME Exchange – Within 21 days from end of each half year (21st April and 21st October every year)

 

9.        Statement of deviation(s) or variation(s) SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 32(1) Quarterly On quarterly basis continued to be given till such time the issue proceeds have been fully utilized or the purpose for which these proceeds were raised has been achieved.

 

10.    Submission of Quarterly Financial Results along with Limited Review Report/ Auditors Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 33(3)(a), (b) Quarterly/ Half yearly § Within 45 days of end of each quarter (15th May, 15th August, 15th November and 15th February every year);

 

§ In case of entities which have listed their specified securities on SME Exchange – Within 45 days from end of each half year (15th May and 15th November every year)

 

11.    Submission of Annual Financial Result along with Auditor’s Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 33(3)(d) & (e) Annual Within 60 days from the end of the financial year (by 30th May every year)

 

12.    Statement of Assets and Liabilities and Cash Flow Statement SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 33(3)(f) & (g) Half yearly Within 45 days from the end of each half year along with Financial Results
13.    Annual Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 34(1)(a), 34(2)(f), 36(2) and 43(a) Annual Not later than the day of commencement of dispatch of Notice to the shareholders (Not less than 21 days before the AGM)

 

14.    Changes to Annual Report SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 34(1)(b) Annual Not later than 48 hours after the AGM

 

15.    Certificate from Practicing Company Secretary SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 40(9) and 40(10) Half yearly Within 1 month of the end of each half of the financial year (by 30th April and 30th October every year)

 

16.    Submission of Voting Results to Stock Exchange SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 44(3) Annual Within 48 hours of conclusion of General Meeting

 

17.    Newspaper Publication of Financial Results SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 47(1)(b) and 47(3) & (4) Quarterly Within 48 hours of the conclusion of the Board Meeting.

 

18.    Reconciliation of Share Capital Audit Report SEBI (Depositories and Participants) Regulations, 2018 76(1) Quarterly Within 30 days from end of each quarter (by 30th April, 30th July, 30th October and 30th January every year)

 

19.    Disclosure of aggregate shareholding and voting rights in target company SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011 30 Annual Within 7 working days from the end of each financial year

 

20.    Annual Disclosure encumbered shares by promoters SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011 31(4) Annual Within 7 working days from the end of each financial year

 

21.    Large Corporate: Initial Disclosure and Annual Disclosure SEBI Circular dated 26th November, 2018 Annual § Initial Disclosure: Within 30 days from the beginning of Financial Year;

 

§ Annual Disclosure: Within 45 days from the end of Financial Year

 

Author Bio

Qualification: CS
Company: Mohit Patel & Associates
Location: Mumbai, Maharashtra, IN
Member Since: 29 Jul 2019 | Total Posts: 18
Mr. Mohit Patel who is an Associate Member of the Institute of Company Secretaries of India, Registered Trade Mark Agent & has done his graduation in commerce from Mumbai University. He has been known for his analytical & unique thought process even in pre-qualification stage. He is known fo View Full Profile

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