Compliance Calendar for Listed Entity
`
April
to June
1st Quarter
Sr. No.
|
Compliances
|
Time period
|
1
|
Shareholding
Pattern to the
Stock Exchange [Reg. 31]
|
- one days prior to
listing
- within 21 days of end of Quarter
- within 10 days of
any capital restructuring of the listed entity resulting in a change
exceeding 2% of the total PSC.
Provided that entities which have listed their specified securities on SME,
it shall be submitted on a half yearly basis within 21 days from the end of
each half year.
|
2
|
Reconciliation Audit Certificate from CA/PCS
for Capital reconciliation of physical
share and demat shares under depository [Reg. 76 of DP Reg. 2018]
|
Within 30 days of
end of Quarter
|
3
|
Corporate Governance
Report [Reg.27(2)]
|
Within 15 days of end of Quarter
|
4.
|
Statement of Investor Complaints.
[Reg.13]
|
Within 21 days of end of quarter.
|
5.
|
Intimation of
Board Meeting
[Reg. 29(1)]
|
- In general – At least
2W.Days in advance.
- For consideration of financial results at least 5 Days in advance.
(a) any alteration in the form or nature of any of its securities that
are listed on the stock exchange or in the rights or privileges of the
holders thereof.
(b) any alteration in the date on which, the interest on debentures or bonds, or the
redemption amount of redeemable shares or of debentures or bonds, shall be
payable. At least 11 W.Days
|
6.
|
Publication
of notice of Board Meeting in English National Daily and other Vernacular
Language [Reg. 47]
|
Simultaneously with submission to the Stock Exchange(s)
|
7.
|
Closure of Trading Window
(SEBI Insider Trading Regulations)
|
From the end of every quarter and will re-open after
48 hours of declaration of financial results.
|
8.
|
Declaration of Financial Results
[Reg.33]
|
Within 45
days of end of quarter
PDF Results: within
30 mins of conclusion of meeting; (Schedule III)
|
9.
|
Publication of Result in Newspaper
(E + V)
|
Within 48
hours of conclusion of the Board Meeting
|
July
to September
2nd Quarter (HALF YEARLY)
Sr. No.
|
Compliances
|
Time period
|
1.
|
Shareholding
Pattern to the Stock Exchange [Reg. 31]
|
Within 21 days of end of Quarter
|
2.
|
Reconciliation Audit Certificate from CA/PCS
for Capital reconciliation of physical
share and Demat shares under depository [Reg. 76 of DP Reg. 2018]
|
Within 30 days of end of Quarter
|
3.
|
Corporate
Governance Report [Reg.27(2)]
|
Within 15 days of end of Quarter
|
4.
|
Statement of Investor Complaints.
[Reg.13]
|
Within 21 days of end of quarter.
|
5.
|
Intimation of Board Meeting [Reg. 29(1)]
|
- In general – At least 2W.Days in advance.
- For consideration of
financial results at least 5 Days
in advance.
- (a) any alteration in the form or nature of any of
its securities that are listed on the stock exchange or in the rights or
privileges of the holders thereof.
(b) any alteration in the date on which, the interest on debentures or
bonds, or the redemption amount of redeemable shares or of debentures or
bonds, shall be payable. At least 11
W.Days
|
6.
|
Publication
of notice of Board Meeting in English National Daily and other Vernacular Language
[Reg. 47]
|
Simultaneously with submission to the
Stock Exchange(s)
|
7.
|
Closure of Trading Window
(SEBI Insider Trading Regulations)
|
From the end of every quarter and will re-open after
48 hours of declaration of financial results.
|
8.
|
Declaration of
Financial Results
[Reg. 33]
|
Within 45 days of end of quarter
PDF
Results: within 30 mins of conclusion of meeting; (Schedule III)
|
9.
|
Publication of Result in Newspaper
(E + V)
|
Within 48 hours of conclusion of
the Board Meeting
|
10.
|
Calling of the AGM
|
In general as per
Co(s) Act, 2013
The top 100 listed entities by market
capitalization, determined as on March 31st of every financial year, shall
hold their annual general meetings within a period of 5m from the date of closing of the F.Y.
|
11.
|
Voting Results
|
The listed entity
shall submit to the stock exchange, within forty eight hours of conclusion of its General Meeting, details
regarding the voting results in the format specified by the Board.
|
Other Half-yearly compliances
1.
|
Annual report dispatch to all the stock exchange
[Reg. 34]
|
|
2.
|
Certificate from a PCS – Half yearly Compliance Certificate [Reg.
40(9)]
|
Within 1 month of end of half year
|
3.
|
Compliance Certificate certifying
maintaining physical & electronic transfer
facility [Reg.7]
|
Within one month of end of each half of the
financial year.
|
October
to December
3rd Quarter
Sr. No.
|
Compliances
|
Time period
|
1.
|
Shareholding
Pattern to the
Stock Exchange
|
Within 21 days of end of Quarter
|
2.
|
Reconciliation Audit Certificate from CA/PCS
for Capital reconciliation of physical
share and Demat shares under depository [Reg. 76 of DP Reg. 2018]
|
Within 30 days of end of Quarter
|
3.
|
Corporate
Governance Report [Reg.27(2)]
|
Within 15 days of end of Quarter
|
4.
|
Statement of Investor Complaints.
[Reg.13]
|
Within 21 days of end of quarter.
|
5.
|
Intimation of Board Meeting [Reg. 29(1)]
|
- In general – At least
2W.Days in advance.
- For consideration of financial results at least 5 Days in advance.
- (a) any alteration in
the form or nature of any of its securities that are listed on the stock
exchange or in the rights or privileges of the holders thereof.
(b) any alteration in the date on which, the interest on debentures or bonds, or the
redemption amount of redeemable shares or of debentures or bonds, shall be
payable. At least 11 W.Days
|
6.
|
Publication of notice of Board Meeting in English
National Daily and other Vernacular Language [Reg. 47]
|
Simultaneously with submission to the
Stock Exchange(s)
|
7.
|
Closure of Trading Window
(SEBI Insider Trading Regulations)
|
From the end of every quarter and will re-open after
48 hours of declaration of financial results.
|
8.
|
Declaration of Financial
Results
[Reg. 33]
|
Within 45 days of end of quarter
PDF
Results: within 30 mins of conclusion of meeting; (Schedule III)
|
9.
|
Publication of Result in Newspaper
(E + V)
|
Within 48 hours of conclusion of
the Board Meeting
|
January
to March
4th Quarter
Sr. No.
|
Compliances
|
Due Date
|
1.
|
Shareholding
Pattern to the
Stock Exchange
|
Within 21 days of end of Quarter
|
2.
|
Reconciliation Audit Certificate from CA/PCS
for Capital reconciliation of physical
share and Demat shares under depository [Reg. 76 of DP Reg. 2018]
|
Within 30 days of end of Quarter
|
3.
|
Corporate
Governance Report [Reg.27(2)]
|
Within 15 days of end of Quarter
|
4.
|
Statement of Investor Complaints.
[Reg.13]
|
Within 21 days of end of quarter.
|
5.
|
Intimation of Board Meeting [Reg. 29(1)]
|
- In general – At least 2W.Days in advance.
- For consideration of
financial results at least 5 Days
in advance.
- (a) any alteration in the form or nature of any of
its securities that are listed on the stock exchange or in the rights or
privileges of the holders thereof.
(b) any alteration in the date on which, the interest on debentures or
bonds, or the redemption amount of redeemable shares or of debentures or
bonds, shall be payable. At least 11
W.Days
|
6.
|
Publication
of notice of Board Meeting in English National Daily and other Vernacular Language
[Reg. 47]
|
Simultaneously with submission to the
Stock Exchange(s)
|
7.
|
Closure of Trading Window
(SEBI Insider Trading Regulations)
|
From the end of every quarter and will re-open after
48 hours of declaration of financial results.
|
8.
|
Declaration of
Financial Results
[Reg.33]
|
The annual audited standalone financial results for
the financial year Within 60 days from the end of financial year.
PDF
Results: within 30 mins of conclusion of meeting; (Schedule III)
|
9.
|
Publication of Result in Newspaper
(E + V)
|
Within 48 hours of conclusion of the Board Meeting
|
OTHER ANNUAL
COMPLAINCES
1. dI
|
Dividend Distribution
Policy
|
The
500 listed entities based on market capitalization (calculated as on March 31
of every financial year) shall formulate a dividend distribution policy which
shall be disclosed in their annual reports and on their websites.
|
|
2.
|
Regulation 30(1) and
30(2) - SEBI Takeover Regulations 2011.
|
1.
Every person, who together with persons
acting in concert with him, holds shares or voting rights entitling him to
exercise 25% or more of the voting
rights in a target company, shall disclose their aggregate shareholding and
voting rights as of the 31st day of March, in such target company
in such form as may be specified.
2.The
promoter
of every target company shall together with persons acting in concert with
him, disclose their aggregate shareholding and voting rights as of the
thirty-first day of March, in such target company in such form as may be
specified.
|
Within 7W. days from the end of each financial year
to;
every stock exchange where the shares of the
target company are listed and
the target company at its registered office.
|
OTHER
COMPLAINCES
1.
|
Company Website.
[Reg.46]
|
The
listed entity shall maintain a functional website containing the basic
information about the listed entity. The listed entity shall disseminate the
information as stated in Regulation 46 (2). The listed entity shall ensure
that the contents of the website are correct
|
The
listed entity shall update any change in the content of its website within 2W days from the date of such change
in content
|
ABOUT THE AUTHOR
Aakarshit Jai: Commerce Graduate and Company Secretary Aspirant.
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