{"id":627,"date":"2022-05-04T11:55:33","date_gmt":"2022-05-04T11:55:33","guid":{"rendered":"https:\/\/udyogmentor.com\/?p=627"},"modified":"2022-05-04T11:55:33","modified_gmt":"2022-05-04T11:55:33","slug":"sebi-compliance","status":"publish","type":"post","link":"https:\/\/udyogmentor.com\/community\/sebi-compliance\/","title":{"rendered":"SEBI Compliance"},"content":{"rendered":"
    \n
  1. Quarterly Compliance under the\u00a0<\/strong>SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><\/li>\n<\/ol>\n\n\n\n\n\n\n\n\n\n\n
    Regulation<\/strong><\/td>\nCompliance\/Disclosures\/Report<\/strong><\/td>\nTimeline<\/strong><\/td>\nDue Date<\/strong><\/td>\n <\/td>\n<\/tr>\n
    Q1 Ending June<\/strong><\/td>\nQ2 Ending\u00a0September<\/strong><\/td>\nQ3 Ending December<\/strong><\/td>\nQ4 Ending March<\/strong><\/td>\n<\/tr>\n
    Regulation\u00a031 (1) (b)<\/u><\/strong><\/td>\nDisclosure of Shareholding Pattern<\/td>\nWithin 21st<\/sup>\u00a0day from the end of the quarter<\/td>\nBy 21st<\/sup>\u00a0July<\/td>\nBy 21st<\/sup>\u00a0October<\/td>\nBy 21st<\/sup>\u00a0January<\/td>\nBy 21st<\/sup>\u00a0April<\/td>\n<\/tr>\n
    27(2)(a)<\/u><\/strong>\u00a0Corporate Governance Report<\/td>\nCorporate Governance Report<\/td>\nWithin 21 days from the end of the quarter.<\/td>\nBy 21st<\/sup>\u00a0July<\/td>\nBy 21st<\/sup><\/p>\n

    October<\/td>\n

    		By 21st<\/sup><\/p>\n

    January\u00a0\u00a0\u00a0<\/sup><\/td>\n

    		By 21st<\/sup><\/p>\n

    April<\/td>\n<\/tr>\n

    Regulation\u00a033 (3) (a)<\/u><\/strong><\/td>\nFinancial Results along with Limited review report\/Auditor\u2019s report<\/td>\nWithin 45 days from the end of the quarter<\/td>\nBy 14th<\/sup>\u00a0August<\/td>\nBy 14th<\/sup>\u00a0November<\/td>\nBy 14th<\/sup>\u00a0February<\/td>\nBy 15th<\/sup>\u00a0May<\/td>\n<\/tr>\n
    Regulation\u00a013 (3)<\/u><\/strong><\/td>\nStatement of Grievance Redressal Mechanism<\/p>\n

     <\/td>\n

    		Within 21 days from the end of the quarter.<\/td>\nBy 21st<\/sup>\u00a0July<\/td>\nBy 21st<\/sup><\/p>\n

    October<\/td>\n

    		By 21st<\/sup><\/p>\n

    January\u00a0\u00a0\u00a0<\/sup><\/td>\n

    		By 21st<\/sup><\/p>\n

    April<\/td>\n<\/tr>\n

    Regulation\u00a032 (1)<\/u><\/strong><\/td>\nStatement of deviation(s) or variation(s)<\/p>\n

     <\/td>\n

    		Within 45 days from the end of the quarter<\/td>\nBy 14th<\/sup>\u00a0August<\/td>\nBy 14th<\/sup>\u00a0November<\/td>\nBy 14th<\/sup>\u00a0February<\/td>\nBy 15th<\/sup>\u00a0May<\/td>\n<\/tr>\n
    Reconciliation of share capital audit report<\/p>\n

     <\/td>\n

    		Within 30 days from the end of the quarter.<\/td>\nBy 30th<\/sup>\u00a0July<\/td>\nBy 30th<\/sup><\/p>\n

    October<\/p>\n

     <\/td>\n

    		By 30th<\/sup><\/p>\n

    January<\/td>\n

    		By 30th<\/sup><\/p>\n

    April<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

    \u00a0<\/strong><\/p>\n

      \n
    1. Half Yearly Compliance under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><\/li>\n<\/ol>\n

      \u00a0<\/strong><\/p>\n\n\n\n\n\n
      Regulation<\/strong><\/td>\nCompliance\/Disclosures\/Report<\/strong><\/td>\nTimeline<\/strong><\/td>\nDue Date<\/strong><\/td>\n<\/tr>\n
      Half-yearly Ending September<\/strong><\/td>\nHalf-yearly Ending March<\/strong><\/p>\n

       <\/td>\n<\/tr>\n

      Regulation\u00a023 (9)<\/u><\/strong><\/td>\nDisclosures of related party transactions<\/td>\n30 days from the date of publication of its standalone and consolidated financial results.<\/td>\nBy 14th<\/sup>\u00a0December<\/td>\nBy 29th<\/sup>\u00a0June<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

      \u00a0<\/strong><\/p>\n

        \n
      1. Annual Compliance under the\u00a0<\/strong>SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><\/li>\n<\/ol>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
        Regulation<\/strong><\/p>\n

         <\/td>\n

        		Compliance\/Disclosures\/Report<\/strong><\/td>\nTimeline<\/strong><\/td>\nDue Date<\/strong><\/td>\n<\/tr>\n
        Regulation\u00a024A<\/u><\/strong><\/p>\n

         <\/td>\n

        		Secretarial Compliance Report<\/p>\n

         <\/td>\n

        		within 60 days of the end of the financial year<\/td>\nBy 30th<\/sup>\u00a0May every year<\/td>\n<\/tr>\n
        Regulation\u00a026 (3)<\/u><\/strong><\/p>\n

         <\/td>\n

        		Annual affirmations for compliance with code of conduct<\/td>\nAt the 1st<\/sup>\u00a0BM in every Financial Year<\/td>\nAt the 1st<\/sup>\u00a0Board Meeting in every Financial Year<\/td>\n<\/tr>\n
        Regulation\u00a07 (3)<\/u><\/strong><\/p>\n

         <\/td>\n

        		Share Transfer Agent<\/td>\nWithin 30 days from the end of the financial year.<\/td>\nBy 30th<\/sup>\u00a0April<\/td>\n<\/tr>\n
        Regulation\u00a014<\/u><\/strong><\/td>\nPayment of listing fees & Other charges<\/p>\n

         <\/td>\n

        		Within 1 month of the end of 31st<\/sup>\u00a0March every year<\/td>\nBy 30th<\/sup>\u00a0April<\/td>\n<\/tr>\n
        Regulation\u00a033 (3) (d)<\/u><\/strong><\/td>\nFinancial Results along with Auditor\u2019s Report<\/p>\n

         <\/td>\n

        		Within 60 days from the end of the financial year<\/td>\nBy 30th<\/sup>\u00a0May every year<\/td>\n<\/tr>\n
        Regulation\u00a034(1)<\/u><\/strong><\/td>\nAnnual Report<\/td>\nNot later than the day of commencement of dispatch to its shareholders.<\/td>\nNot less than 21 days before the AGM<\/td>\n<\/tr>\n
        Regulation\u00a040 (10)<\/u><\/strong><\/td>\nTransfer or transmission or transposition of securities<\/td>\nWithin 30 days from the end of the financial year<\/td>\nBy 30th<\/sup>\u00a0April<\/td>\n<\/tr>\n
        Circular No. SEBI\/HO\/DDHS\/CIR\/P\/2018\/144<\/u><\/strong><\/td>\nInitial Disclosure requirements for large entities<\/td>\nWithin 30 days from the beginning of the FY<\/td>\nBy 30th<\/sup>\u00a0April<\/td>\n<\/tr>\n
        Circular No. SEBI\/HO\/DDHS\/CIR\/P\/2018\/144<\/u><\/strong><\/td>\nAnnual Disclosure requirements for large entities<\/p>\n

         <\/td>\n

        		Within 45 days of the end of the FY<\/td>\nBy 15th<\/sup>\u00a0May<\/td>\n<\/tr>\n
        Regulation\u00a040 (9)<\/u><\/strong><\/td>\nCertificate from
        \nPracticing Company Secretary.<\/td>\n        		Within one month of the end of the financial year.<\/td>\nBy 30th<\/sup>\u00a0April<\/td>\n<\/tr>\n
        Regulation\u00a044 (3)<\/u><\/strong><\/td>\nSubmission of Voting Results to Stock Exchange<\/p>\n

         <\/td>\n

        		Within two working days of the conclusion of General Meeting<\/p>\n

         <\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

        \u00a0<\/strong><\/p>\n

          \n
        1. Event Based Compliance under the\u00a0<\/strong>SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><\/li>\n<\/ol>\n

          \u00a0<\/strong><\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
          Regulation<\/strong><\/p>\n

           <\/td>\n

          		Compliance\/Disclosures\/Report<\/strong><\/td>\nTimeline<\/strong><\/td>\n<\/tr>\n
          Regulation\u00a07(5)<\/u><\/strong><\/p>\n

           <\/td>\n

          		Intimation of appointment of Share Transfer Agent<\/p>\n

           <\/td>\n

          		Within 7 days of Agreement with RTA<\/td>\n<\/tr>\n
          Regulation\u00a028 (1)<\/u><\/strong><\/td>\nIn-principal approval of recognized stock exchange(s)<\/p>\n

           <\/td>\n

          		Before issuing securities<\/td>\n<\/tr>\n
          Regulation\u00a029 (1) (b) to (f)<\/u><\/strong><\/p>\n

          \u00a0<\/u><\/p>\n

          and Regulation\u00a029(2)<\/u><\/strong><\/p>\n

          \u00a0<\/u><\/p>\n

           <\/td>\n

          		Prior intimation of Board meeting for Buyback, Dividend, Raising of Funds, Voluntary Delisting, Bonus, etc.<\/td>\nAt least two working days in advance, excluding the date of the intimation and date of the meeting<\/td>\n<\/tr>\n
          Regulation\u00a029 (1) (a)<\/u><\/strong><\/p>\n

          and Regulation\u00a029(2)<\/u><\/strong><\/p>\n

           <\/td>\n

          		Prior intimation of Board meeting for Financial Results viz. quarterly, half yearly, or annual<\/p>\n

           <\/td>\n

          		At least five days in advance (excluding the date of the intimation and date of the meeting)<\/p>\n

           <\/td>\n<\/tr>\n

          Regulation\u00a029(3)<\/u><\/strong><\/td>\nPrior intimation of
          \nBoard Meeting for alteration in nature of securities etc.<\/td>\n          		At least eleven working days in advance<\/td>\n<\/tr>\n
          Regulation\u00a030 (6)<\/u><\/strong><\/td>\nDisclosure of events or information<\/p>\n

           <\/td>\n

          		Disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty-four hours from the occurrence of event or information<\/p>\n

           <\/td>\n<\/tr>\n

          Regulation\u00a030<\/u><\/strong>(6)<\/u><\/td>\nDisclosure of events or information<\/p>\n

           <\/td>\n

          		Disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III shall be made within thirty minutes of the conclusion of the board meeting.<\/p>\n

           <\/td>\n<\/tr>\n

          Regulation\u00a031(1)(a)<\/u><\/strong><\/td>\nShareholding Pattern prior to listing of securities<\/p>\n

           <\/td>\n

          		One day prior to listing of securities<\/td>\n<\/tr>\n
          Regulation\u00a031(1)(c)<\/u><\/strong><\/td>\nShareholding Pattern in case of capital restructuring<\/p>\n

           <\/td>\n

          		Within 10 days of any change in capital +\/- 2%<\/td>\n<\/tr>\n
          Regulation\u00a037(2)<\/u><\/strong><\/td>\nDraft Scheme of arrangement<\/p>\n

           <\/td>\n

          		Obtain observation letter or No-objection letter from the stock exchange(s) before filing the scheme with any court or tribunal<\/p>\n

           <\/td>\n<\/tr>\n

          Regulation\u00a039(3)<\/u><\/strong><\/td>\nLoss of share certificates and issue of the duplicate certificates<\/p>\n

           <\/td>\n

          		Within two days of getting information<\/td>\n<\/tr>\n
          Regulation\u00a044(3)<\/u><\/strong><\/td>\nVoting Results<\/td>\nWithin two working days of conclusion of Meeting<\/p>\n

           <\/td>\n<\/tr>\n

          Regulation\u00a045(3)<\/u><\/strong><\/td>\nChange in name<\/td>\nPrior approval from Stock Exchange before filing application with Registrar of Companies<\/td>\n<\/tr>\n
          Regulation\u00a046<\/u><\/strong><\/td>\nWebsite<\/td>\nThe listed entity shall maintain a functional website containing the basic information about the listed entity.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

           <\/p>\n","protected":false},"excerpt":{"rendered":"

          Quarterly Compliance under the\u00a0SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 Regulation Compliance\/Disclosures\/Report Timeline Due Date   Q1 Ending June Q2 Ending\u00a0September Q3 Ending December Q4 Ending March Regulation\u00a031 (1) (b) Disclosure of Shareholding Pattern Within 21st\u00a0day from the end of the quarter By 21st\u00a0July By 21st\u00a0October By 21st\u00a0January By 21st\u00a0April 27(2)(a)\u00a0Corporate Governance Report Corporate… <\/p>\n

          Read More SEBI Compliance<\/span><\/a><\/div>\n","protected":false},"author":1,"featured_media":628,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[107,73],"tags":[],"class_list":["post-627","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-compliance-sebi","category-sebi","entry"],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/posts\/627","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/comments?post=627"}],"version-history":[{"count":0,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/posts\/627\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/media\/628"}],"wp:attachment":[{"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/media?parent=627"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/categories?post=627"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/udyogmentor.com\/community\/wp-json\/wp\/v2\/tags?post=627"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}