GUIDANCE CHECK LIST – LISTED COMPLIANCES
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 (
|
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 (
|
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.
|
Compliance
|
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 (
|
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 (
|
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 (
|
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 (
|
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 (
|
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 (
|
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
|
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