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Check List – Compliances of Listed Companies

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Check List – Compliances of Listed Companies

Quarter I : April to June April

Stock Exchange Compliances

 Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to consider the Annual Results At least 7 clear days before the Meeting excluding the date of meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end of Quarter (i.e. upto 29th )
4. Fax of Qtr. Result to SE Within 15 minutes of Board Meeting
5. Submission of Qtr. Result with photocopies of news paper cutting With 2-3 days of Board Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of Board Meeting
7. Shareholding Pattern to the Stock Exchange along with Free Float Indices under clause 35 Within 21 days of end of Quarter
8. Secretarial Audit Certificate from CA/PCS for reconciliation of physical share and demat shares Within 30 days of end of Quarter
9. Clause 47C Certificate from a PCS – Half yearly Compliance Certificate Within 1 month of end of half year and within 24 hours after signing of PCS
10. Quarterly Compliance Report on Corporate Governance under Clause 49 Within 15 days of end of Quarter
11. Annual Listing Fees Within 30 days
12. Annual Custodial fees to NSDL/CDSL Within 30 days
13. Uploading of Shareholding Pattern and Quarterly Results to SEBI EDIFAR website Immediately whenever ready for submission to Stock Exchange

Takeover Compliance

 Sr. No. Compliances Time Period
 1. Information as per Reg. 8(3) 30th April

Insider Trading Compliances

 Sr. No. Compliances Time Period
1.

 

Disclosure of Shareholding by Directors/ designated employee/ dependents under regulation 13(3) and 13(6) 30th April

May

Stock Exchange Compliances

 Sr. No. Compliances Time Period
1.

 

Limited Review Report from the Statutory Auditors (in case the results are Unaudited) Within 2 months of end of Quarter

June

ROC Compliances

 Sr. No. Compliances Time Period
1. Return of Deposit Upto 30 June

 Quarter II : July to September

                                                      July

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Notice of Board Meeting to the stock exchange to consider the Qtr. Results At least 7 clear days before the Meeting excluding the date of meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end of Quarter (i.e. upto 29th)
4. Fax of Qtr. Result to SE Within 15 minutes of Board Meeting
5. Submission of Qtr. Result with photocopies of newspaper cutting With 2-3 days of Board Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of Board Meeting
7. Shareholding Pattern to the Stock Exchange under Clause 35 Within 21 days of end of Quarter
8. Secretarial Audit Certificate from CA/PCS for reconciliation of physical share and demat shares Within 30 days of end of Quarter
9. Quarterly Compliance Report on Corporate Governance under Clause 49 Within 15 days of end of Quarter
10. Uploading of Shareholding Pattern and Quarterly Results to SEBI EDIFAR website Immediately whenever ready for submission to Stock Exchange

ROC Compliances

Sr. No. Compliances Time Period
1. Filing of B/s & P&L A/c Within 30 days AGM
2. Filing of Annual Return Within 60 days AGM

August

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in case the results are Unaudited) Within 2 months of end of Quarter
2. Book Closure Notice to SE, RTA, NSDL and CDSL Before atleast 15 days of Book Closure
3. Book Closure Publication (Hindi +English Newspaper) Before atleast 7 days of Book Closure

Quarter III: October to December
                                                         October

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to consider the Annual Results At least 7 clear days before the Meeting excluding the date of meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before the date of meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end of Quarter( i.e. upto 29th)
4. Fax of Qtr. Result to SE Within 15 minutes of Board Meeting
5. Submission of Qtr. Result with photocopies of news paper cutting With 2-3 days of Board Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of Board Meeting
7. Shareholding Pattern to the Stock Exchange under Clause 35 Within 21 days of end of Quarter
8. Secretarial Audit Certificate from CA/PCS for reconciliation of physical share and demat shares Within 30 days of end of Quarter
9. Clause 47 Certificate from a PCS – Half yearly Compliance Certificate Within 1 month of end of half year and within 24 hours after signing of PCS
10. Minutes of AGM Within 15 days of AGM
11. Quarterly Compliance Report on Corporate Governance under Clause 49 Within 15 days of end of Quarter
12. Uploading of Shareholding Pattern and Quarterly Results to SEBI EDIFAR website Immediately whenever ready for submission to Stock Exchange

 November

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in case the results are Unaudited) Within 2 months of end of Quarter

                                              Quarter IV : January to March
                                                            January

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to consider the Annual Results At least 7 clear days before the Meeting excluding the date of meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end of Quarter (i.e. upto 29th )
4. Fax of Qtr. Result to SE Within 15 minutes of Board Meeting
5. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of Board Meeting
6. Submission of Qtr. Result with photocopies of news paper cutting With 2-3 days of Board Meeting
7. Shareholding Pattern Under Clause 35 Within 21 days of end of Quarter
8. Secretarial Audit Certificate from PCS for reconciliation of physical share and demat shares Within 30 days of end of Quarter
9. Quarterly Compliance Report on Corporate Governance Under Clause 49 Within 15 days of end of Quarter

                                                February

Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in case the results are Unaudited) Within 2 months of end of Quarter

General Compliances

Sr. No. Compliances Time Period
2. Corporate Governance Compliance Certificate from Statutory Auditors/ PCS Before the date of Director’s Report
3. Submission of Annual Results Immediately
4. Six Copies of Annual Report along with Corp. Gov. Comp. Cert. By Statutory Auditors/PCS As soon as it is issued
6. Disclosure of Shareholding under Reg. 8(3) at every record date fix for declaration of dividend Within 30 days of record date
7. Minutes of every General Meeting Within 30 days of General Meeting
8. Filing of Audited Balance Sheet & Profit and Loss A/c with ROC Within 30 days of AGM
9. Filing of Annual Return with ROC Within 60 days of AGM

                                               Transitional Provisions
Stock Exchange Compliances

Sr. No. Compliances Time Period
1. Intimation regarding change in company’s directors Within 30 days in form 32
2. Intimation regarding change in Statutory Auditor Within 30 days
3. Intimation regarding change in Regd. office Within 30 days in form 18
4. Intimation regarding alteration in capital Within 30 days in form no. 5