Compliance no 1: Generating Awareness on Availability of Dispute resolution mechanism at Stock Exchanges against Listed Companies/RTAs
Applicability : Listed Entities.
Action required by Listed Entities : Listed Companies are required to send the intimation in coordination with the RTA’s to all shareholders holding shares in physical form through SMS /Emails, informing them that they can resolve their disputes against RTA/ Company by filling for arbitration with the stock exchange. The draft of the intimation is provided in the SEBI letter dated January 27th 2023.
Due Date : The intimation must be sent by Listed Entities by February 20, 2023.
Action required by RTA: RTA’s are required to submit an Action Taken Report to SEBI in the format as provided in the SEBI letter dated January 27th 2023.
Due Date to submit the Report : February 27, 2023.
Link : https://static.nseindia.com//s3fs-public/inline-files/SEBI_Letter_27012023.pdf
Compliance no 2: Filing of information required under Regulation 46 & 62 of SEBI (LODR) Regulations, 2015 on BSE Listing Center.
Applicability : Listed Entities.
Action required by Listed Entities: BSE has released a new module on the listing center wherein all the listed entities are required to provide the URLs of the information published on their website in compliance under REGS 46 & 62 of LODR.The path of filling the URLS is separately mentioned for equity listed entities & debt listed entities in the circular issued by BSE on February 9th 2023 .
Link : https://taxguru.in/sebi/release-module-filing-information-bse-lodr-regulations.html
The above mentioned compliances have to be completed by February 20th 2023.
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