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

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

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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