Compliances For Listed Companies under SEBI (LODR) Regulations, 2015


Compliances-Listed-Companies-SEBI-LODR-Regulations-2015
Compliances For Listed Companies under SEBI (LODR) Regulations, 2015

Common Obligations to Listed Entity 
SI.
No.
Compliance
Regulation
Time Period
Event
1
Submission of Compliance Certificate to the Exchange
7(3)
Within  one month  of end of each half of the financial year,
Submission of Compliance Certificate to Stock Exchange certifying that all activities in relation to both physical and electronic share transfer facility are maintained either in house or by Registrar to an issue and share transfer agent registered with the Board.
2
Appointment/Alteration of Share Transfer Agent
7(5)
Intimate to the Stock Exchange               such appointment or alteration within 7 days on entering into  agreement   Shall be placed before the Board of Directors in subsequent Meeting.
Company can manage in house Share Transfer Facility. But as and when the total number of holders of securities of the listed entity exceeds one lac, the listed entity shall appoint Share Transfer Agent.
3
Grievance Redressal Mechanism
13
Within 21 days of the end of the each quarter. Same statement shall be placed before the Board of Director quarterly.
The listed entity shall file with the recognized
stock exchange(s) a statement giving
l The number of investor complaints pending at the beginning of the quarter,
l    Those received during the quarter,
l    Disposed of during the quarter and
l  Those remaining unresolved at the end of the quarter.

Obligations of listed entity which has listed its specified securities 
i.e. equity or convertible securities. 
SI.
No.
Compliance
Regulation
Time Period
Event
1.
Annual Secretarial Compliance report
24A
Within 60 days of the end of the financial year.
The annual secretarial compliance report in the prescribed format shall be submitted by the listed entity to the stock exchanges.
2
Quarterly Compliance Report on Corporate Governance
27(2)
Within 15 days from the closure of quarter.
The listed entity shall submit a quarterly compliance report on corporate governance in the format as specified by the Board.
Details of all material transactions with related parties shall be disclosed.
Report shall be sign either by compliance
officer or chief executive officer
3
Prior Intimation to SE about Board Meeting
29(1)
At least 5 (Five) days in advance excluding the date of intimation & date of board meeting.
Intimation about the Meeting in which Financial Results viz. quarterly, half yearly, or annual, as the case may be due for consideration.
4
Prior Intimation to SE about Board Meeting
29(2)
At least 2 working days in advance excluding the date of intimation & date of board meeting.
Intimation  about  the  Meeting  in which following matters are due to consideration:
  Proposal for Buyback of Securities
Proposal for voluntary delisting of Listing entity from the Stock Exchange(s)
  Fund raising by following ways
Further Public Offer, Rights Issue, American Depository Receipts/Global Depository Receipts/Foreign Currency Convertible Bonds, qualified institutions placement, debt issue, preferential issue or any other method and for determination of issue price:
  Declaration/Recommendation of Dividend
Issue of Convertible Securities including convertible debentures or of debentures carrying a right to subscribe to equity shares or the passing over of dividend
Proposal for declaration of Bonus Securities.
5
Prior Intimation to SE about Board Meeting
29(3)
At least 11 working days in advance.
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.
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.
6
General Meeting Intimation:


Intimation shall also be given in case   of any Annual General Meeting or Extraordinary General Meeting or Postal Ballot that is proposed to be held for obtaining shareholder approval for further fund raising indicating type of issuance.
7
Outcome of Board Meeting
Second Proviso to 30(6)
Made within 30 Minutes (thirty  minutes)   of the conclusion of the board meeting.
Disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III
8
Disclosure
of events or
information
30(6)
As soon as reasonably
possible and not later
than twenty four hours
from the occurrence of
event or information.
The listed entity shall first disclose to
stock exchange(s) of all events, as
specified in Part A of Schedule III, or
information
9
Holding of securities & Shareholding Pattern separately for each class of securities.
31(1) read
with Circulars
1. 1 day prior to listing
of its securities.
2.    Within    21    days
from the end of each
quarter.
3. Within 10 days of
Capital restructuring.
All listed entities which have listed their
specified securities, submit Statement of
Share Holding
10
Event of Reclassification
31A(7)(c)
Within 24 hrs of
of the occurrence event.

The event of reclassification shall be disclosed to the stock exchanges as a material event in accordance with the provisions of these regulations
11
Statement
indicating
deviation(s) or
Variation(s)
32(1)
33(3)(a)
Quarterly basis to the
stock exchange till such
time the issue proceeds
have been fully utilized
or    the    purpose   for
which these proceeds
were raised has been
achieved.
Statement indicating deviation in use of proceeds from the objects stated in the offer document or explanatory statement to the notice for the general meeting (ofmpublic issue, rights issue, preferential
issue).
12
Quarterly Financial Result

Within 45 days of end
of each quarter, other than the last quarter.
The listed entity shall submit quarterly and year-to-date standalone financial results to the stock exchange
13
Annual Financial Result
33(3)(d) & (e)
Within 60 days from the end of the financial year.
The listed entity shall submit audited standalone financial results for the financial year,
14
Half Yearly Financial Result
33(3)(f)
Half yearly submission.
submit as part of its standalone or consolidated financial results for the half year, by way of a note, a statement of assets and liabilities
15
Annual Report
34(1)
Within 21 working days of it’s being approved & adopted in AGM.
Annual Report to RSE containing Audited Financial Statement, director’s report, MDAR.
16
Annual Information Memorandum
35

The listed entity shall submit to the stock exchange(s) an Annual Information Memorandum in the manner specified by the Board from time to time.
17
Draft scheme of Arrangement & Scheme of Arrangement
37(1) read with Circulars
Before filling with Tribunal/ court as the case may be.
listed entity desirous of undertaking a scheme of arrangement or involved in  a scheme of arrangement, shall file the draft scheme of arrangement,
18
Issue of Share Certificates
39(3)
Within     2    days    of getting its information.
Information regarding loss of share certificates and issue of duplicate certificates.
19
Certificate from Practicing Company
Secretary (PCS)
40(9)/(10)
Within 1  month  of  the end of each half financial year.
Certifying that all certificates have been issued within thirty days  of  the  date  of lodgment for transfer, subdivision, consolidation, renewal, exchange or endorsement of calls/allotment monies.
20
Record Date
42(2)
At least 7 working days before the record date excluding the date of intimation & record date.
Notice to Stock Exchange for the record date and specifying the purpose of record date.
21
Intimation to Stock Exchange regarding result of General Meeting
44(3)
Within 48 hours of the conclusion of General Meeting
Details regarding the voting results in the format specified by the Board.




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