Compliances For Listed Companies
- Ensuring due compliance of all clauses of the Listing Agreement in respect of listed companies, ensuring adequate corporate governance norms for listed companies.
- Ensuring due compliance of the provisions of Insider Trading & SEBI Takeover Regulations, Depositories Act, other SEBI regulations etc. for listed companies.
- Liaisoning with SEBI and stock exchanges, RBI, ROC, NSDL/CDSL, other regulatory authorities for varied legal issues.
- Handling of matters pertaining to voluntary and compulsory delisting of securities from Indian stock exchanges, both national as well as regional.
- Issuing certificates as an Independent Company Secretary in Practice.
Regular Compliance checklist and their respective compliance deadline, as per Listing Guidelines, are summarized hereinbelow :-
| Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Due Date |
|---|---|---|---|---|---|
| 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 | Within 21 days from the end of each quarter. | 21st July |
| deviation or variation | end of each quarter | 21st October | |||
| 21st January | |||||
| 21st April | |||||
| 5 | 32(1) | 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 | |||||
| 6 | 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 | |||||
| 7 | 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 | |||||
| 8 | 55 A | Reconciliation of Share Capital Audit Report | Quarterly | Within 30 days from quarter end . | 31st July |
| 31st October | |||||
| 31st January | |||||
| 30th April |