QUARTERLY COMPLIANCE:
Sr .No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Date by which to be filed |
1 | 13(3) | Statement of Investor complaints. | Quarterly | Within 21 days from the end of each quarter. | 21st July |
21st October | |||||
21st January | |||||
21st April | |||||
2 | 27(2) | Corporate Governance. | Quarterly | Within 15 days from end of each quarter. | 15th July |
15th October | |||||
15th January | |||||
15th April | |||||
3 | 31 | Shareholding Pattern. | Quarterly | Within 21 days from the end of each quarter. | 21st July |
21st October | |||||
21st January | |||||
21st April | |||||
4 | 32(1) | Statement of deviation or variation | Quarterly | After placing before the audit committee | Not applicable |
5 | 33(3) | Financial Results. | Quarterly | Within 45 days from quarter end . And in case of Annual Financial Result, within 60 days from end of Financial Year | 14th August |
14th November | |||||
14th February | |||||
30th May |
HALF YEARLY COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Due Date |
1 | 7(3) | Compliance Certificate certifying maintaining physical & electronic transfer facility | Half Yearly | Within one month of end of each half of the financial year. | 31st October |
30th April | |||||
2 | 40(9) | Certificate from Practicing Company Secretary. | Half Yearly | Within one month of the end of each half of the financial year. | 31st October |
30th April |
ANNUAL COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Due Date |
1 | 14 | Listing Fees | Annually | Within 30 days of the end of financial year | 30th April |
2 | 33(3) | Financial Results. | Annually | Within 60 days of the end of financial year | 30th May |
3 | 34 | Annual Report | Annually | Submission to SE on commencement of dispatch to shareholders,
In case of any changes, the revised copy along with explanation within 48 hours after AGM. |
Immediate on dispatch to shareholders |
EVENT BASED COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period |
1 | 7(5) | Intimation of appointment of Share Transfer Agent | Event Based | Within 7 days of Agreement with RTA |
2 | 28(1) | In-Principal Approval | Event Based | Prior to issuance of Security |
3 | 29 | Prior Intimations of Board Meeting for financial Result | Event Based | At least 2 clear working days in advance |
4 | 29 | Prior Intimations of Board Meeting for Buyback, voluntary delisting etc | Event Based | At least 2 clear working days in advance |
5 | 29 | Prior Intimations of Board Meeting for alteration in nature of securities | Event Based | At least 11 clear working days in advance |
6 | 30 | Acquisition, scheme of arrangement, issuance of securities, revision in ratings, shareholders agreement, change in Directors, KMP, resignation of auditors, proceedings of AGM, EGMs and others | Event Based | within 24 hours |
7 | 30 | Board meeting on dividend, cancellation of dividend, approval of financials, change in Directors, KMP, Agreements, Frauds by Promoters, Directors | Event Based | Within 30 minutes of conclusion of meeting |
8 | 31 | Shareholding Pattern prior to listing of securities | Event Based | One day prior to listing of securities |
9 | 31A | Request for reclassification of Promoter/Promoter Group, Minutes of Board meeting for reclassification, | Event based | 24 hrs from occurrence of event |
8 | 42 | Record date or Date of closure of transfer books | Event Based | At least 7 clear working days in advance |
9 | 42 | Record date for declaring dividend and / or cash bonus | Event Based | At least 5 clear working days in advance |
10 | 44 | Voting results by shareholders | Event Based | Within 48 hours |