Listed entities compliances at a shot -Due Date Based

Securities and Exchange Board of India

Listed entities compliances at a shot -Due Date Based

Act	Compliance Name	Section	Compliance Description	Frequency	Due Date
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Share Transfer Agent	Regulation 7(3)	Compliance certificate is to be submitted to stock exchange, duly signed by the compliance officer of the listed entity and the authorised representative of the share transfer agent, wherever applicable, certifying compliance with the requirements of sub- regulation (2)	Annual	30-Apr
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Statement of Grievance Redressal Mechanism	Regulation 13(3)	The listed entity shall file with the recognised stock exchange(s) on a quarterly basis, within twenty one days from the end of each quarter, a statement giving the number of investor complaints pending at the beginning of the quarter, those received during the quarter, disposed of during the quarter and those remaining unresolved at the end of the quarter.	Quarterly	21 July 21 Oct 21 Jan 21 April
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Listing Fees	Regulation 14	Payment of applicable Listing fees and other charges	Annual	30-Apr
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Secretarial Audit and Secretarial Compliance Report	Regulation 24A	Every listed entity and its material unlisted subsidiaries incorporated in India shall undertake secretarial audit and shall annex a secretarial audit report given by a company secretary in practice, in such form as specified, with the annual report of the listed entity. Every listed entity shall submit a secretarial compliance report in such form as specified, to stock exchanges, within sixty days from end of each financial year	Annual	30-May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Corporate Governance Report	Regulation 27(2)(a)	Quarterly Compliance Report on Corporate Governance is to be submitted in the format as specified by the Board from time to time to the recognised stock exchange within 21 days from the end of each quarter.	Quarterly	21 Jul 21 Oct 21 Jan 21 Apr
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Disclosure of Shareholding Pattern	Regulation 31 (1) (b)	Statement showing holding of securities and shareholding pattern for each class of securities is to be submitted to stock exchange within 21 days of end of quarter	Quarterly	21 July 21 Oct 21 Jan 21 April
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Disclosure of Shareholding Pattern	Regulation 31 (1) (b)	Statement showing holding of securities and shareholding pattern for each class of securities is to be submitted to stock exchange within 21 days of end of half year	Half-Yearly	21 Oct 21 April
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Statement of deviation(s) or variation(s)	Regulation 32(1)	Statement indicating deviations, if any, in the use of proceeds of public issue, rights issue, preferential issue, from the objects stated in the offer document or explanatory statement to the notice for the general meeting within 45 days from end of quarter	Quarterly	14 Aug 14 Nov 14 Feb 30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Statement of deviation(s) or variation(s)	Regulation 32(1)	Statement indicating deviations, if any, in the use of proceeds of public issue, rights issue, preferential issue, from the objects stated in the offer document or explanatory statement to the notice for the general meeting within 45 days from end of half year	Half-Yearly	14 Nov 15 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Financial Results along with Limited review report/Auditor’s report	Regulation 33(3)(a)	Financial Results along with Limited review report/Auditor’s report is to be submitted to stock exchange.	Quarterly	14 Aug 14 Nov 14 Feb 30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Financial Results alongwith Limited review report/Auditor’s report	Regulation 33(3)(a)	Financial Results alongwith Limited review report/Auditor’s report is to be submitted to stock exchange.	Half-Yearly	14 Nov 30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Financial Results alongwith Limited review report/Auditor’s report	Regulation 33(3)(b)	In case the listed entity has subsidiaries, in addition to the requirement at clause (a) of sub-regulation (3), the listed entity shall also submit quarterly/year-to-date consolidated financial results	Quarterly	14 Aug 14 Nov 14 Feb 30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Financial Results alongwith Limited review report/Auditor’s report	Regulation 33(3)(b)	In case the listed entity has subsidiaries, in addition to the requirement at clause (a) of sub-regulation (3), the listed entity shall also submit half yearly/year-to-date consolidated financial results	Half-Yearly	14 Nov 30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Financial Results along with Auditor’s Report	Regulation 33(3)(d)	The listed entity shall submit [annual] audited standalone financial results for the financial year, within sixty days from the end of the financial year along with the audit report and [Statement on Impact of Audit Qualifications (applicable only] for audit report with modified opinion).If listed company has subsidiaries, in addition annual audited consolidated financial results along with the audit report and [Statement on Impact of Audit Qualifications (applicable only] for audit report with modified opinion) are to be submitted. In case of Audit Reports with unmodified opinion, a Declaration to be furnished to the Stock Exchange while publishing annual audited results.	Yearly	30 May
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015	Transfer or transmission or transposition of securities	Regulation 40(10)	Share transfer agent and / or in-house share transfer facility is required to produce a certificate from the practicing Company Secretary certifying that all certificates have been issued within thirty days of the date of lodgement for transfer, sub-division, consolidation, renewal, exchange or endorsement. Certificate from PCS also required to be filed with the stock exchange simultaneously.	Yearly	30 April
SEBI (Depositories and Participants) Regulations, 2018	Reconciliation of share capital audit report	Regulation 76(1)	An audit report is to be submitted on quarterly basis for the purpose of reconciliation of total issued capital, listed capital and capital held by depositories in dematerialized form, the details of changes in share capital during the quarter.	Quarterly	30 July 30 Oct 30 Jan 30 April
SEBI Circular No. SEBI/HO/DDHS/CIR/P/2018/144 dated November 26, 2018	Initial Disclosure requirements for large entities	-	Initial Disclosure requirements for large entities identified as LC(Large Corporate) within 30days from the beginning of financial year	Annual	30-Apr
SEBI Circular No. SEBI/HO/DDHS/CIR/P/2018/144 dated November 26, 2018	Annual Disclosure requirements for large entities	-	Annual Disclosure requirements for large entities within 45 days of end of financial year	Annual	15-May
SEBI (SAST) Regulations, 2011	Disclosure under Regulation 30(1)	Regulation 30(1)	Every person with persons acting in concert with him, holds shares or voting rights of twenty-five per cent or more of the voting rights in a target company, shall 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. The disclosures required under sub-regulation (1) shall be made within seven working days from the end of each financial year to stock exchange and the target company.	Annual	Within seven working days from the end of each financial year
SEBI (SAST) Regulations, 2011	Disclosure under Regulation 30(2)	Regulation 30(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 seven working days from the end of each financial year to stock exchange and target company	Annual	Within seven working days from the end of each financial year
SEBI (SAST) Regulations, 2011	Disclosure under Regulation 31(4)	Regulation 31(4)	Promoter to declare on an yearly basis with persons acting in concert that he has not made any encumbrance, directly or indirectly, other than those already disclosed during the financial year	Annual	Within seven working days from the end of each financial year to Stock Exchange and Audit Committee

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