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.

SEBI (LODR) Regulation, 2015




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.

SEBI (DP)Regulation, 2018

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

SEBI (SAST) Regulation, 2011

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.

Author Bio

Qualification: CS
Company: N/A
Location: Burhanpur, Madhya Pradesh, India
Member Since: 05 Apr 2021 | Total Posts: 3
Mr. Vijay Shah is Associate member of The Institute of Company Secretaries of India (ICSI) and having good experience in Companies Act, SEBI Regulation, Stock Exchange compliances. He currently working in Bangalore with one of the Listing Company. View Full Profile

My Published Posts

More Under SEBI

Leave a Comment

Your email address will not be published. Required fields are marked *

Search Posts by Date

May 2021