Compliance Calendar of Listed Companies – Quarterly, Half Yearly, Annually & General Compliances

The Companies which are listed on stock exchanges has to mandatorily comply with the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2018 or SEBI (LODR).

In this article, we shall discuss about the quarterly / half yearly / annual and general compliances under SEBI Listing Regulations (LODR): 

 QUARTERLY COMPLIANCES

S.

No.

REGULATIONS PARTICULARS TIMELINE
1. Regulation13(3) Statement of Investor Complaints Within 21 days from the end of each quarter
2. Regulation 27(2) Corporate Governance Within 15 days from the end of each quarter
3. Regulation 31 Shareholding Pattern Within 21 days from the end of each quarter
4. Regulation 33(3)(a) Financial Results Within 45 days from quarter end and in case of Annual Financial Result, within 60 days from end of Financial Year
5. Regulation 74(5) of SEBI (DP) Regulations 2018 Manner of surrender of certificate of security Within 15 days from the end of each quarter
6. Regulation 76 of SEBI (DP) Regulations, 2018 Reconciliation of Share Capital Audit Report Within 30 days from the end of each quarter

HALF YEARLY COMPLIANCES

S.

No.

REGULATIONS PARTUCULARS TIMELINE
1. Regulation 7(3) Compliance Certificate certify maintaining physical & electronic transfer facility Within 1 month of end of each half of the financial year
2. Regulation 40(10) Certification from Practicing Company Secretary relating transfer or transmission or transposition of securities Within 1 month of end of each half of the financial year

ANNUAL COMPLIANCES

S.

No.

REGULATIONS PARTICULARS TIMELINE
1. Regulation 24A Annual Secretarial Compliance Report Within 60 days of end of financial year
2. Regulation 34 Annual Report Not later than the day of commencement of dispatch to its shareholders and not less than 21 days before the annual general meeting
3. Regulation 44 Submission of Voting Results Within 48 hours of conclusion of General Meeting

GENERAL COMPLIANCES

S.

No.

REGULATIONS PARTICULARS TIMELINE
1. Regulation 7 Intimation of appointment of New Share Transfer Agent Within 7 days of entering into the agreement with RTA
2. Regulation 14 Listing fees & Others charges Within due dates in the manner specified by the Boards of SEBI
3. Regulation 29 Notice for Board Meeting to consider the prescribed matters Giving prior intimation at least 2 working days in advance for Buyback of securities, Voluntary delisting, Fund raising, Declaration of bonus securities, Declaration / recommendation of dividend, issue of convertible securities

And in case approval of financial statements intimation may be given at least 5 clear days in advance

4. Regulation 30 Outcome of Board Meeting Within 30 minutes of closure of the meeting
5. Regulation 39(3) Loss of share certificates and issue of the duplicate share certificates Within 2 days of getting the information
6. Regulation 42 Notice for Record Date / Corporate Action In advance of at least seven working days (excluding the date of intimation and the record date) before the record date fixed, in case of specified corporate actions and at least five working days in case the listed entity recommend / declare all dividend and / or cash bonuses.
7. Regulation 46 Maintain Website of the company To be updated within 2 working days

Author of the article: Natasha Kapoor, Company Secretary (CS)

For any queries pertaining to the matter above the author can be reached at natashakapoor0701@gmail.com

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Qualification: CS
Company: N/A
Location: Ghaziabad, Uttar Pradesh, IN
Member Since: 12 Jul 2020 | Total Posts: 3

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