GUIDANCE CHECK LIST – LISTED COMPLIANCES
Under SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015
Date of Applicability: W.e.f. 30th November, 2015
Quarter I : April to June
Compliance to be done in the Month of April to June:
|
Sr. No. |
Compliances |
Time Period |
|
1 |
Statement of Investor complaint This report shall also be placed before the board of directors on quarterly basis. |
Within 21 days of the end of quarter |
|
2 |
Compliance report on corporate governance |
Within 21 days of the end of quarter |
|
3 |
Shareholding Pattern for each class of securities and Statement of holding of securities |
Within 21 days of the end of quarter |
|
4 |
Compliance certificate to the stock exchange duly signed by compliance officer of the listed company and authorized representative of the share transfer agent |
Within one month of the end of each half financial year |
|
5 |
Certificate to the stock exchange from the Practicing Company Secretary certifying that all share certificates have been issued within 30 days from the date of its lodgment for transfer, sub divisions, consolidation, renewal, endorsement or exchange |
Within one month of the end of each half financial year |
|
6 |
Notice of Board Meeting to the Stock Exchange to consider the Annual Audited Financial Results |
At least 5 clear days before the Meeting excluding the date of meeting and notice |
|
7 |
Press release for Board Meeting (Eng.+Hindi) |
Simultaneously i.e. as above |
|
8 |
Board Meeting to consider the Audited Financial Results for the financial year |
Within 60 days form the end of Financial Year. Audited Financial results of last quarter along with the result of entire financial year along with a note that the figures of last quarter are the balancing figures in respect of the full financial year and the published year to date figures upto the third quarter of the current financial year. As a part of the financial results for every half year a statement of assets and liabilities shall be given by way of note. |
|
9 |
Disclosure of Qtr. Result to SE along with Audit Report |
Within 30 minutes of Board Meeting |
|
10 |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
11 |
Every member of board of directors and senior management shall affirm compliance with the code of conduct. |
Within 30 days from the end of financial year |
|
12 |
CEO/ CFO compliance certificate |
To the Board of Director at the time of approval of Annual Results. |
|
13 |
Audit Report |
Within 60 days Along with the results and Form A/B |
Quarter II : July to September
Compliance to be done in the Month of July to September:
|
Sr. No. |
Compliances |
Time Period |
|
1 |
Statement of Investor complaint This report shall also be placed before the board of directors on quarterly basis. |
Within 21 days of the end of quarter |
|
2 |
Compliance report on corporate governance |
Within 21 days of the end of quarter |
|
3 |
Shareholding Pattern for each class of securities and Statement of holding of securities |
Within 21 days of the end of quarter |
|
4 |
Notice of Board Meeting to the Stock Exchange to consider the Quarterly Results |
At least 5 clear days before the Meeting excluding the date of meeting and notice |
|
5 |
Press release for Board Meeting (Eng.+Hindi) |
Simultaneously i.e. as above |
|
6 |
Board Meeting to consider the Qtr. Results Audited). |
Within 45 days form the end of quarter. |
|
7 |
Disclosure of Qtr. Result to SE along with Audit Report |
Within 30 minutes of Board Meeting |
|
8 |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
9 |
CEO/ CFO compliance certificate |
To the Board of Director at the time of approval of Results. |
|
10 |
Limited Review Report Duly approved by the Board of directors in which the financial results have been approved |
Within 45 days from the end of quarter along with the results. |
Quarter III: October to December
Compliance to be done in the Month of October to December:
|
Sr. No. |
Compliances |
Time Period |
|
1 |
Statement of Investor complaint This report shall also be placed before the board of directors on quarterly basis. |
Within 21 days of the end of quarter |
|
2 |
Compliance report on corporate governance |
Within 21 days of the end of quarter |
|
3 |
Shareholding Pattern for each class of securities and Statement of holding of securities |
Within 21 days of the end of quarter |
|
4 |
Compliance certificate to the stock exchange duly signed by compliance officer of the listed company and authorized representative of the share transfer agent |
Within one month of the end of each half financial year |
|
5 |
Certificate to the stock exchange from the Practicing Company Secretary certifying that all share certificates have been issued within 30 days from the date of its lodgment for transfer, sub divisions, consolidation, renewal, endorsement or exchange |
Within one month of the end of each half financial year |
|
6 |
Notice of Board Meeting to the Stock Exchange to consider the Quarterly Results |
At least 5 clear days before the Meeting excluding the date of meeting and notice |
|
7 |
Press release for Board Meeting (Eng.+Hindi) |
Simultaneously i.e. as above |
|
8 |
Board Meeting to consider the Qtr. Results |
Within 45 days form the end of quarter. As a part of the financial results for every half year a statement of assets and liabilities shall be given by way of note. |
|
9 |
Disclosure of Qtr. Result to SE along with Audit Report |
Within 30 minutes of Board Meeting |
|
10 |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
11 |
CEO/ CFO compliance certificate |
To the Board of Director at the time of approval of Results. |
|
12 |
Limited Review Report Duly approved by the Board of directors in which the financial results have been approved |
Within 45 days from the end of quarter along with the results |
Quarter IV : January to March
Compliance to be done in the Month of January to March:
|
Sr. No. |
Compliances |
Time Period |
|
1 |
Statement of Investor complaint This report shall also be placed before the board of directors on quarterly basis. |
Within 21 days of the end of quarter |
|
2 |
Compliance report on corporate governance |
Within 21 days of the end of quarter |
|
3 |
Shareholding Pattern for each class of securities and Statement of holding of securities |
Within 21 days of the end of quarter |
|
4 |
Notice of Board Meeting to the Stock Exchange to consider the Quarterly Results |
At least 5 clear days before the Meeting excluding the date of meeting and notice |
|
5 |
Press release for Board Meeting (Eng.+Hindi) |
Simultaneously i.e. as above |
|
6 |
Board Meeting to consider the Qtr. Results Audited). |
Within 45 days form the end of quarter. |
|
7 |
Disclosure of Qtr. Result to SE along with Audit Report |
Within 30 minutes of Board Meeting |
|
8 |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
9 |
CEO/ CFO compliance certificate |
To the Board of Director at the time of approval of Results. |
|
10 |
Limited Review Report Duly approved by the Board of directors in which the financial results have been approved |
Within 45 days from the end of quarter along with the results |
Common Obligation for Listed Entity:
- Appointment of qualified company secretary as the compliance officer.
- Establishment of the email id of the grievance redressal division. CS Shall monitor the same to resolve the grievances of the investors.
- In case of any change or appointment of share transfer agent, an agreement is to be executed. The listed entity shall intimate such appointment, within 7 days of entering into such agreement.
Regular Compliances
- Approval of all related party transactions from the audit committee.
- Record date or book closure shall be atleast 5 workding days (excluding the date of intimation and the record date) after the recommendation or declaration of dividend or cash bonuses. An advance intimation of atleast 7 days (excluding the date of intimation and record date) shall be given to the stock exchange.
- Remote e voting facility in respect of all shareholders resolution.
- Voting result within 48 hours of the conclusion of the general meeting.
- Listed entity shall maintain a functional and updated website containing minimum information as specified.
- Disclosure of events as per the policy and Schedule III
Policies
- The listed entity shall have a policy for preservation of documents, approved by the Board of Directors, classifying them in at least two categories as permanent or for only 8 years.
- Policy to determine the material subsidiary company.
- The board of directors shall lay down the code of conduct for all members of the board and senior management of the listed entity. Including the duties of the independent directors.
- Policy to determine the materiality of related party transactions and to determine the procedure to deal with the related party transactions.
- Criteria for granting omnibus approval by the audit committee in line with policy of Related Party Transactions.
- Policy to determine the materiality of the event or information duly approved by the Board of Directors and uploaded on the website of the listed entity.
Committees:
- Audit Committee
- Stakeholders’ Relationship Committee
- Nomination and Remuneration Committee
- Risk Management Committee (Only for top 100 listed companies)
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