SEBI Quarterly Compliances for Listed Companies under LODR Regulations



Quick Summary
Listed companies in India must adhere to SEBI's LODR Regulations by making periodic disclosures to ensure transparency and protect investors. These compliances include timely filing of financial results, shareholding patterns, corporate governance reports, and other key information. Key quarterly filings include the closure of the trading window, PAN freezing for designated persons, RTA compliance certificates, shareholding patterns, integrated governance and financial filings, and reconciliation of share capital audit reports.

Under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 ("SEBI LODR"), every listed companies are required to make periodic disclosures - quarterly, half-yearly, and annually to promote transparency and safeguard investor interests. Applicability The SEBI (LODR) Regulati
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FAQ :

Listed companies must make periodic disclosures quarterly, half-yearly, and annually under SEBI LODR Regulations. This includes timely filing of financial results, shareholding patterns, corporate governance reports, and other key information to ensure transparency and protect investor interests.

The closure of a trading window is a regulatory measure to prevent insider trading. It prohibits designated persons and their immediate relatives from trading in a company's securities when they might have access to unpublished price-sensitive information (UPSI).

Regulation 74(5) of the SEBI (Depositories and Participants) Regulations, 2018 requires companies to submit a quarterly confirmation certificate to depositories and stock exchanges. This certificate confirms the correct processing of dematerialization of physical share certificates and their listing on stock exchanges.

Pursuant to Regulation 31b, every listed entity must submit a detailed statement to the stock exchanges showing the shareholding pattern for each class of its securities within 21 days from the end of the quarter.

Integrated Filing - Financials includes financial results with limited review/auditor's report, disclosure of related party transactions, statement of deviation & variation, and declarations related to fixed deposits and high-value debt listed entities.

This report, certified by a professional, confirms that the securities held by shareholders in NSDL, CDSL, and physical form tally with the total admitted, issued, and listed capital, as required by Regulation 76 of SEBI (Depositories and Participants) Regulations, 2018.




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