COMPLIANCE CALENDER FOR LISTED ENTITIES
QUARTERLY COMPLIANCES
|
SR. NO |
REGULATION REFERENCE |
FREQUENCY |
PERIOD COVERED |
DATE BY WHICH TO BE |
MODE OF FILING |
||
|
1. |
27 (2) - Corporate Governance.
|
Quarterly |
April-June July- September October-December January-March |
15th July, !5th October, !5th January, 15th April |
online |
||
|
2. |
13(3) – Statement |
Quarterly |
April-June, |
21st July, |
21st |
|
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|
|
Grievance |
|
July- |
September, |
October, |
21st |
online |
|
|
Redressal |
|
October- |
January and |
21st |
|
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|
|
Mechanism. |
|
December, |
April. |
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January-March |
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3. |
31(1) – Shareholding Pattern. |
Quarterly |
April-June July- September October-December January-March |
15th July, !5th October, !5th January, 15th April |
online |
||
|
4. |
55A of Securities and |
Quarterly |
April-June, |
30th July, |
30th |
online |
|
|
|
Exchange Board of |
|
July- September, |
October, |
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India (Depositories |
|
October-December, |
January and 30th |
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|
and Participants) |
|
January-March |
April. |
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|
|
Regulations, 1996 – |
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|
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Reconciliation of |
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|
|
Share Capital Audit Report. |
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|
5. |
33(5) – Financial Results. |
Quarterly |
April-June July- September October-December January-March |
14th August, 14th November, 14th February, 30th May |
online |
||
HALF YEARLY COMPLIANCES
|
SR. NO |
REGULATION REFERENCE |
FREQUENCY |
PERIOD COVERED |
DATE BY WHICH TO BE FILED |
MODE OF FILING |
|
1. |
7(3) – Compliance Certificate to the exchange. |
Half Yearly |
April- September, October-March |
31st October and 30th April. |
Online |
|
2. |
40(10) – Compliance Certificate w.r.t Transfer or Transmission or Transposition of securities within 30 days. |
Half Yearly |
April- September, October-March |
31st October and 30th April. |
online |
ANNUALLY COMPLIANCE
|
SR. NO |
REGULATION REFERENCE |
FREQUENCY |
PERIOD COVERED |
DATE BY WHICH TO BE FILED |
MODE OF FILING |
|
1. |
14 – Listing Fees. |
Annually |
April-March |
30th April. |
Payment through RTGS/NEF |
|
2. |
34(1) – Annual Report. |
Annually |
April- March |
Not later than the day of commencement of dispatch to its shareholders and not less than 21 days before the annual general meeting. |
online |
EVENT BASED COMPLIANCE
|
SR . NO |
REGULATION REFERENCE |
FREQUENCY |
PERIOD COVERED |
DATE BY WHICH TO BE FILED |
MODE OF FILING |
|
1. |
7(5) – Intimation of appointment of Share Transfer Agent. |
Event based |
- |
Within 7 days of Agreement with RTA. |
online |
|
2. |
28(1) – In- Principle approval. |
Event based |
- |
Prior to Issuance of Security. |
online |
|
3. |
29(1) (a) –Prior Intimations of Board Meeting for financial Result. |
Event based |
- |
At least 5 clear days in advance (excluding the date of the intimation and date of the meeting). |
online) |
|
4. |
29(1)(b), 29(1) (c), 29(1)(d), 29(1) (e) and 29(1) (f) – Prior Intimations of Board Meeting for Buyback, voluntary delisting etc. |
Event based |
- |
At least 2 clear working days in advance (excluding the date of the intimation and date of the meeting). |
online |
|
5. |
29(3) –Prior Intimations of Board Meeting for alteration in nature of securities. |
Event based |
- |
At least 11 clear working days in Advance. |
online |
EVENT BASED COMPLIANCES
|
6. |
30(6) – Disclosure of events specified in Part A of Schedule III (Material events) |
Event based |
- |
Not l a t e r than twenty four hours from occurrence of event. |
online |
|
7. |
30(6) – Disclosure of events specified in sub-para 4 of Para A of Part A of Schedule III. |
Event based |
- |
Within 30 minutes of conclusion of board meeting. |
online |
|
8. |
31(1)(a) – Shareholding Pattern prior to listing of securities. |
Event based |
- |
One day prior to listing of securities. |
online |
|
9. |
31(1)(c) – Shareholding Pattern in case of capital restructuring. |
Event based |
- |
Within 10 days of any change in capital structure exceeding 2%. |
online |
|
10. |
31(A)(2) – Disclosure of class of shareholders and conditions for reclassification. |
Event based |
- |
Prior approval. |
online |
|
11. |
37(2) – Draft Scheme of arrangement & Scheme of arrangement. |
Event based |
- |
Prior approval before filing with Court. |
online |
|
12. |
42(2) – Record date or Date of closure of transfer books. |
Event based |
- |
At least 7 clear working days in advance (excluding the date of intimation and the record date). |
online |
|
13. |
42(3) – Record date for declaring dividend and / or cash bonus. |
Event based |
- |
At least 5 clear working days in advance (excluding the date of intimation and the record date). |
online |
|
14. |
44(3)-Voting results by shareholders. |
Event based |
- |
Within 48 hours of conclusion of AGM. |
online |
|
15. |
45(3) – Change in name of listed entity. |
Event based |
- |
Prior approval (before filing request for name change with ROC) |
online |
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