Common Obligations of Listed Entities as Per SEBI (LODR) Regulations, 2015

• Applicable on Key Managerial Personnel, Directors, Promotors or any other person who delas with listed entity
• Complies with these regulations

• Appoint qualified Company Secretary as Compliance Officer
• Vacancy: filled at the earliest not later than 3 months
• Compliance officer shall ensure –

i. Conformity with regulatory provisions

ii. Co-ordination with and reporting to the Board, Stock exchange and depositories

iii. Correct provisions have been followed

iv. Monitoring email address of grievance redressal division

• Not Applicable: units issued by mutual funds which are listed on recognised stock exchange(s) but shall be governed by the provisions of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996.

• Listed Entity: In house Share Transfer Agent (If no of holders exceed 1 Lakh Share Transfer Agent to be registered as Category II with Board)
• Submit Compliance Certificate to the exchange within 30 days from end of the financial year
• Intimate stock exchange (Within 7 days of entering into an agreement)
• Agreement to be placed in the subsequent meeting of Board of Directors

• Co-operate and submit correct and adequate information to intermediaries registered with Board
• Not Applicable on Units issued by mutual funds listed on recognized Stock Exchange for which the provisions of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 shall be applicable

• Two categories of policies approved by the Board of Directors

i. documents whose preservation shall be permanent in nature;

ii. documents with preservation period of not less than eight years after completion of the relevant transactions:

• file the reports, statements, documents, filings and any other information with exchange

• Any scheme of arrangement /amalgamation /merger /reconstruction /reduction of capital etc. to be presented to any Court or Tribunal does not in any way violate, override or limit the provisions of securities laws or requirements of the stock exchange(s):
• Not applicable: units issued by Mutual Fund which are listed on a recognised stock exchange(s)

• Use any electronic mode for payment as specified in schedule I for payment of –
• If not electronic mode: “Payable at par” warrants or cheques
• If the amount of dividend excess Rs. 1500- “Payable at par” warrants or cheques shall be sent by speed post

• Redress not later than 21 calendar days from the date of receipt of grievance
• Ensure it is registered on SCORES platform
• File a statement on quarterly basis with Stock exchange within 21 days from end of each quarter
• Place the statement before the board of directors

• Listed entity to pay all such fees and charges