Event-based Compliance Checklist for Listed Companies under LODR & PIT Regulations

Particulars

PDF Format

XBRL Format

Regu-lation

Fre-quency

Apr

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Change in Directors/ KMP/ Auditor / Compliance Officer

Yes

Yes

Reg 30 –

Clause 7 (Sch III)

Event based

Within 12 hours *

(except in case resignation); Within 24 hours (in case of resignation)

Appointment of Director

Yes

Reg 30 –

Clause 7 (Sch III)

Event based

Within 12 Hrs of event (appointment)

Cessation of Director (Term completion)

Yes

Reg 30 –

Clause 7 (Sch III)

Event based

Within 12 Hrs of event (on term completion)

Resignation of KMP, senior management, Compliance  Officer or director and independent director

Yes

Reg 30 – Clause 7A (Sch III)

Event based

Within 7 days from date of resignation with letter & detailed reason for such event

Resignation of auditor

Yes

Reg 30 – Clause 7A (Sch III)

Event based

Within 24 Hrs of event alongwith Detailed reasons for resignation of auditor, as given by the said auditor

New Rating or Revision in Rating

Yes

Reg 30 –

Clause 3 (Sch III)

Event based

Within 24 Hrs of event (revision in rating)

Initiation of Forensic Audit

Yes

Reg 30 –

Clause 3 (Sch III)

Event based

Within 24 Hrs (if initiated by external agency) or Within 12 hours (if initiated by the listed entity)

Intimation of Loss of Share  Certificate/ Issue of Duplicate  Share Certificate

Yes

Yes

 Reg 39(3)

Event based

Within 2 working days of receiving intimation of approved cases from RTA and XBRL within 24 Hrs of upload of PDF

Amendments to MOA and AOA of listed entity

Yes

 Reg 30

Event based

Within 12 Hours

Schedule of analysts or institutional investors meet and presentations made by the listed entity to analysts

Yes

Reg 30

Event based

Intimation at least two working days in advance (excluding the date of the intimation and the date of the meet) * meet” shall mean group meetings or group conference calls conducted physically or through digital means.

Audio or video recordings and transcripts of post earnings / quarterly calls, by whatever name called, conducted physically (investors meet) or through digital means

Yes

Reg 30

Event based

Presentation and the audio/video recordings (investors meet) shall be promptly made available on the website and stock exchange (by mentioning link of website in pdf disclosure), before the next trading day or within twenty-four hours from the conclusion of such calls, whichever is earlier;

Transcripts of such calls shall be made available on the website and stock exchange (by attaching PDF with cover letter) within five working days of the conclusion of such calls

Press Release in relation to any event or information which is  material for the listed entity

Yes

Reg 30

Event based

Within 24 hours or 12 hours based upon the materiality

Action(s) taken or orders  passed by any regulatory  authority or judicial body  against the listed entity in  respect of the following:

(a) suspension;

(b) Imposition of fine

(c) settlement of proceedings;

(d) debarment;

(e) disqualification;

(f) closure of operations

Yes

Reg 30

Event based

Within 24 Hours of receiving the intimation

Awarding, bagging / receiving,  amendment or termination of  awarded / bagged orders/  contracts not in the normal course of business

Yes

Reg 30

Event based

Within 24 hours

1) Adoption of new line(s) of business

2) Capacity addition or product launch

 Yes

 Reg 30

Event based

Within 12 hours

Issuance of notices, call letters,  resolutions and circulars sent  to shareholders

Yes

Reg 30

Event based

Within 12 hours

Newspaper Advertisement- Financials / issuance of notice

(AGM & postal ballot)

Yes

Reg 30 & 47

Event based

Within 48 hours of conclusion of the meeting of board of directors in case of financials and within 48 hours of dispatch of notice to shareholders

Prior Intimations- Meeting of the board of directors

1. Financial results viz. quarterly, half yearly, or annual

2. Buyback of securities

3.Voluntary delisting

4. Fund raising by way of FPO, rights issue, preferential issue

5. declaration/ recommendation of dividend

Yes

Yes

Reg 29

Event based

It shall be given at least 2 working days in advance, excluding the date of the intimation and date of the meeting and date of meeting needs to be mentioned in intimation(*amendment in May 2024)

Any cancellation or termination of proposal for issuance of securities including reasons thereof

Yes

Yes

 Reg 30 Para A Part A of Sch III

Event based

Within 12 hours

Outcome of Board Meeting for Dividend/ cancellation of dividend, financial results, Buyback, Bonus Issue and decision on voluntary delisting by the listed entity

Yes

Yes

Reg 30 Para A Part A of Sch III

Event based

Within half hour of BM

Notice of Shareholders Meeting (AGM & postal ballot)

Yes

Yes

 Reg 30

Event based

Not later than the day of commencement of dispatch to its shareholders.