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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:

1 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.

Disclaimer: This article is written merely for informational purposes, and it should not be taken as a piece of legal advice.

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