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 (in case of Audited Results) / Quarterly Results (in case of Unaudited Results) |
At least 7 clear days before the Meeting excluding the date of meeting and notice |
|
2. |
Press release for Board Meeting (Eng.+Hindi) |
Simultaneously i.e. as above |
|
3. |
Board Meeting to consider the Financial Results(Audited)
|
Within 60 days from the end of Quarter. |
|
4. |
Fax of Qtr. Result to SE |
Within 15 minutes of Board Meeting |
|
5. |
Submission of Audited Result with Auditors Report
Audited Results for the entire financial year and for the last quarter both are to be submitted along with Auditors’ Report. |
On the date of Board Meeting |
|
6. |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
7. |
Shareholding Pattern to the Stock Exchange per clause 35 |
Within 21 days of end of Quarter |
|
8. |
Reconciliation of Share Capital Audit Report 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 |
Upto 30th April |
|
12. |
Annual Custodial fees to NSDL/CDSL |
Upto 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), if any |
30th April |
Takeover Code Compliances
|
Sr. No. |
Compliances |
Time Period |
|
1. |
Disclosure of Shareholding holding by every person who together with persons acting in concert with him, holds 25% or more voting rights in a target company; and / or Disclosure of shareholding by Promoter together with persons acting in concert with him. |
Upto 7th April |
June
ROC Compliances
|
Sr. No. |
Compliance |
Time Period |
|
1. |
Return of Deposit (I) Ensure deposit of 15% of the amount of deposit maturing during the year |
Upto 30 June (I) upto 30th April |
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 (Eng.+Hindi) |
Simultaneously i.e. as above |
|
3. |
Board Meeting to consider the Qtr. Results |
Within 45 days form the end of Quarter. |
|
4. |
Fax of Qtr. Result to SE |
Within 15 minutes of Board Meeting . (Limited review report is to be submitted along with quarterly results) |
|
5. |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
6. |
Shareholding Pattern to the Stock Exchange under Clause 35 |
Within 21 days of end of Quarter |
|
7. |
Reconciliation of Share Capital Audit Report from CA/PCS for reconciliation of physical share and Demat shares |
Within30 days form the end of Quarter. |
|
8. |
Quarterly Compliance Report on Corporate Governance under Clause 49 |
Within 15 days of end of Quarter |
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 45 days form the end of Quarter. (Limited review report is to be submitted along with quarterly results) |
|
2. |
Book Closure Notice to SE, RTA, NSDL and CDSL |
Before atleast 7 working 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 (Eng.+Hindi) |
Simultaneously i.e. as above |
|
3. |
Board Meeting to consider the Qtr. Results |
Within 45 days form the end of Quarter. |
|
4. |
Fax of Qtr. Result to SE |
Within 15 minutes of Board Meeting (Limited review report is to be submitted along with quarterly results) |
|
6. |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
7. |
Shareholding Pattern to the Stock Exchange under Clause 35 |
Within 21 days of end of Quarter |
|
8. |
Reconciliation of Share Capital Audit Report 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. |
Minutes of AGM |
Within 30 days of AGM |
|
11. |
Quarterly Compliance Report on Corporate Governance under Clause 49 |
Within 15 days of end of Quarter |
November
Stock Exchange Compliances
|
Sr. No. |
Compliances |
Time Period |
|
1. |
Limited Review Report from the Statutory Auditors (in case the results are Unaudited) |
Within 45 days form the end of Quarter. (Limited review report is to be submitted along with quarterly results) |
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 (Eng.+Hindi) |
Simultaneously i.e. as above |
|
3. |
Board Meeting to consider the Qtr. Results |
Within 45 days form the end of Quarter. |
|
4. |
Fax of Qtr. Result to SE |
Within 15 minutes of Board Meeting. (Limited review report is to be submitted along with quarterly results) |
|
5. |
Publication of Qtr. Result (Eng.+Hindi) |
Within 48 hours of Board Meeting |
|
6. |
Shareholding Pattern Under Clause 35 |
Within 21 days of end of Quarter |
|
7. |
Reconciliation of Share Capital Audit Report from PCS for reconciliation of physical share and Demat shares |
Within 30 days of end of Quarter |
|
8. |
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 45 days form the end of Quarter. (Limited review report is to be submitted along with quarterly results) |
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 Soft copy of Annual Report to SE |
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 |
Immediately |
|
2. |
Intimation regarding change in Statutory Auditor or Company Secretary |
Immediately |
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