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Article explains all the Mandatory and event-based compliance under the SEBI (LODR) Regulation, 2015, SEBI (DP) Regulation, 2018, SEBI (PIT) Regulation, 2016 & SEBI (SAST) Regulation, 2011.
Article further explains all the above Compliance and their due dates.
| REGULATION | PURPOSE | TIME PERIOD |
|
||
| Regulation 7 (3) | Compliance Certificate certifying maintaining physical & electronic transfer facility |
Within one month of end of each half of the financial year. | |||
| Regulation 7 (5) | Appointment of New Share Transfer Agent. (Event based) | Within seven days of entering into the agreement. | |||
| Regulation 13 (3) | Statement of Investor complaints | Within Twenty-one days from the end of each quarter. | |||
| Regulation 14 | Fees and other charges to be paid to the recognized stock exchange | Within one month of end of 31st March of every year. | |||
| Regulation 27 (2) | Corporate Governance | Within 21 days from quarter end (Amendment by SEBI Board Meeting held on 25-03-2021) | |||
| Regulation 23(9) | Related Party Transactions | within 30 days from the date of publication of its standalone and consolidated financial results for the half year | |||
| Regulation 24(A) | Secretarial Compliance Report | within 60 days of the end of the financial year | |||
Regulation 29 |
Notice for Board Meeting to consider the prescribed matters. | Advance notice of at least 5 days for Financial Result | |||
| Regulation 30 | Outcome of Board Meeting | Disclose the information to the Exchange within 30 minutes of the closure of the meeting | |||
| Regulation 31 | Shareholding Pattern. | Within 21 days from quarter end | |||
| Regulation 33 | Financial Results | Within 45 days from quarter end. And in case of Annual Financial Result, within 60 days from end of Financial Year. | |||
| Regulation 34 | Annual Report | 21 Days Prior to AGM | |||
| Regulation 40 (9) | Certificate from Practicing Company Secretary. |
Within one month of the end of the financial year. (Amendment by SEBI Board Meeting held on 25-03-2021) | |||
| Regulation 42 | Record Date for dividend, bonus, rights etc., & Book Closure (Event based) | Notice in advance of Book Closure atleast seven working days before Closure | |||
| Regulation 44 | Voting Result (Event based) | within forty-eight hours of conclusion of its General Meeting. | |||
| Regulation 74(5) | Confirmation certificated from RTA | Within 15 days from quarter end. | Regulation 76(1) | Reconciliation of Share Capital Audit. | Within 30 days from quarter end. |
SEBI (PIT) Regulation, 2016
| Regul ation 8 | Closure of Trading Window | Closure of Trading Window for 48 hours from the declaration by the Company of its Financial Results |
| Regula tion 7(1)(b) | appointment as key managerial personnel or a director of the company or upon becoming a member of the promoter | within seven days of such appointment or becoming a member of the promoter group |
| Regul ation 7(2)(b) | acquired or disposed of within two trading days of such transaction 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 | within two trading days of receipt of the disclosure or from becoming aware of such information |
| Regulation 29(1) & 29(2) | Disclosure of acquisition and disposal | Within two working days from transaction |
| Regulation 30(1) & 30(2) | Continual Disclosures. | within seven working days from the end of each financial year |
| Regulation 31 (1), (2) & (3) | Disclosure of encumbered shares | within seven working days from the creation or invocation or release of encumbrance |
| Regulation 31 (4) & (5) | Not made any encumbrance on target company shares | within seven working days from the end of each financial year. |
Note: – Time Period may be change by SEBI or Stock Exchange.
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