Clarification on the position of Compliance Officer [Reg.6- SEBI(LODR) 2015]
SEBI has clarified that the term ‘level’ used in regulation 6(1) refers to the position of the Compliance Officer in the organization structure of the listed entity
SEBI (Prohibition of Fraudulent and UTP relating to Securities Market) (Amendment) Regulations, 2024
SEBI has issued the circular SEBI (Prohibition of Fraudulent and UTP relating to Securities Market) (Amendment) Regulations, 2024
Compliances under SEBI (Prohibition of Insider Trading) Regulations, 2015
Regulation 7(1) & 7(2) of SEBI (Prohibition of Insider Trading) Regulations talks about disclosures by certain persons which can be initial & continual.
Holding of specified securities and shareholding pattern
Shareholding pattern shows the total number of equity share of the company divided into various owners like promoters, non-promoters, individuals and institutions.
Regulation regarding financial results
A listed company must publish financial information on a regular basis so that stakeholders, shareholders, and the general public can view its business and financial performance and make appropriate decisions in light of that review
Regulation regarding Corporate Governance Report
A listed company is required to submit a quarterly compliance corporate governance report to the recognized Stock Exchange(s).
Statement of deviation(s) or variation(s)
Listed entity shall submit to stock exchange the following statement(s) on a quarterly basis for public issue, rights issue, etc
Transfer or transmission or transposition of securities
Listed entity should comply with the Regulation 40 of Listing Agreement for effecting Transfer or transmission or transposition of securities
Reconciliation of share capital audit report
Every issuer shall submit audit report on quarterly basis, starting from Sep 30′ 2003, to the concerned stock exchanges audited by qualified CA or practicing CS
Statement of Grievance Redressal Mechanism
The listed entity shall ensure that adequate steps are taken for expeditious redressal of investor complaint.