Under SEBI (Listing
Obligations and Disclosure Requirements) Regulations 2015
S. No.
|
Regulation
Reference
|
Period Covered
|
Last date of
filing
|
Mode of filing
at NSE
|
Mode of filing
at BSE
|
1.
|
Reg. 27(2)(a):Corporate Governance Report- Quarterly
Compliance Report on Corporate Governance in prescribed format (applicable on
the listed companies having paid up capital of more than 10 cr. And more than
25 cr. Of networth)
(Within 15 days
of close of the quarter)
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
15th July
ii)
15th Oct
iii)
15th Jan
iv)
15th April
|
NEAPS
|
BSE LISTING CENTRE
|
2.
|
Reg. 13(3):Statement Grievance Redressal Mechanism- A statement
giving number of investor
i)
Complaints pending at the beginning
of the quarter
ii)
Complaints received during the quarter
iii)
Complaints disposed during the quarter
iv)
Complaints remaining unresolved at the end of quarter
(Within 21 days
of close of the quarter)
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
21st July
ii)
21st Oct
iii)
21st Jan
iv)
21st April
|
NEAPS
|
BSE LISTING CENTRE
|
3.
|
Reg. 31(1)(b):Shareholding Pattern- Shareholding
Pattern
(Within 21 days
of close of the quarter)
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
21st July
ii)
21st Oct
iii)
21st Jan
iv)
21st April
|
NEAPS
|
BSE LISTING CENTRE
|
4.
|
Reg. 32(1):Statement of deviation and variation- Statement of
deviation and variation on quarterly basis for public issue, right issue,
preferential issue indicating deviation as per regulation 32(1)
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
31st July
ii)
31st Oct
iii)
31st Jan
iv)
30thApril
|
NEAPS
|
BSE LISTING CENTRE
|
5.
|
Reg. 29(1)(a)
& Proviso of Sub-Reg. (2):Prior
intimation of Board Meeting for financial results-Prior intimation
of Board Meeting in which financial results is proposed to be considered and
such intimation shall include the date of such meeting of Board of Director
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
At
list five days in advance
(excluding the date of intimation to stock exchange and date of Board
Meeting.
(5
Clear days)
|
NEAPS
|
BSE LISTING CENTRE
|
6.
|
Reg. 33(3)(a):Financial Results- Quarterly financial results
with Limited Review Report.
Reg. 33(3)(d):Annual Financial Results- Audited
standalone and consolidated financial results for the financial year along
with audit report and either form A (unmodified report) or Form B (modified
report)
(Within 45 days
of close of the 1st, 2nd and 3rd quarter and
Within 60 days of close of the 4th quarter)
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
14th Aug.
ii)
14th Nov.
iii)
14th Feb
iv)
30th May
|
NEAPS
|
BSE LISTING CENTRE
|
7.
|
Reg. 7(3):Compliance Certificate related to share transfer- Compliance
certificate duly signed by both the Compliance Officer and Authorised
Representative of Transfer Agent
(Within one
Month of end of each half year)
|
i)
April to Sep.- H1
ii)
Oct. to March- H2
|
i)
31st Oct
ii)
30th April
|
NEAPS
|
|
8.
|
Reg. 40(9) and
40(10):Compliance
Certificate related to transfer or transmission or transposition of
securities-
Share Transfer Agent produce a certificate from Practicing CS certifying that
all the certificate within one month of the end of each of half financial
year have been issued within 30 days of that lodgement for transfer,
sub-division, consolidation, renewal, exchange, or endorsement of calls/
allotments monies
(Within one
Month of end of each half year)
|
i)
April to Sep.- H1
ii)
Oct. to March- H2
|
i)
31st Oct
ii)
30th April
|
NEAPS
|
BSE LISTING CENTRE
|
9.
|
Reg. 14:Payment of listing fees- payment of
listing fee or charges as applicable to the stock exchanges in the manner
specified by SEBI
|
i)
April to March
|
30th
April
|
NEAPS
|
BSE LISTING CENTRE
|
10.
|
Reg. 34(1):Annual Report- Annual Report to stock exchange within
21 working days of it being approved and adopted in the Annual General
Meeting as per provision of Companies Act, 2013
|
i)
April to March
|
Within
21 working days from the AGM
|
NEAPS
|
BSE LISTING CENTRE
|
11.
|
Reg. 44(3):Voting Result- The listed entity shall submit to
stock exchange, within 48 hours of conclusion of general meeting, details
regarding the voting results in specified format.
|
Voting
at General Meeting
|
Within
48 hour form the conclusion of general meeting
|
NEAPS
|
BSE LISTING CENTRE
|
12.
|
Reg. 7(5):Appointment of Share Transfer Agent-
|
-
|
Within
7 days of agreement with RTA
|
NEAPS
|
BSE LISTING CENTRE
|
13.
|
Reg. 28(1):Obtaining of ‘in-principle approval’ before issue of
securities
|
-
|
Prior
to issuance of securities
|
-
|
-
|
14.
|
Reg. 29:Prior intimation of Board Meeting- Prior
intimations of Board meeting for proposal to buy back of securities,
voluntarily delisting, fund raising by public offer, right issue, ADR,GDR,
FCCB, QIP, Debt issue, preferential issue, declaration of dividend, bonus
issue
|
-
|
At
least 2 clear working days in
advance excluding the date of intimation and date of meeting
|
NEAPS
|
BSE LISTING CENTRE
|
15.
|
Reg. 29(3):Prior intimation of Board Meeting- Prior
intimations of Board meeting for proposal to
a)
Any alteration in the form or nature of any of its securities that are listed
or in the right or privileges of holders thereof
b)
Any alteration in the date on which, the interest on debentures or bonds or
the redemption amount of redeemable shares or debentures or bonds shall be
payable
-
|
At
least 11 clear working days in
advance
|
NEAPS
|
BSE LISTING CENTRE
|
|
16.
|
Reg. 30:Disclosure of price sensitive information- Listed entity
shall first disclose to stock exchange(s) of all events, as specified in part
A of the Schedule III, or information as soon as reasonably possible and not
later than 24 hour from the occurrence of event or information.
Provided
that in case the disclosure is made after 24 hours of occurrence of the event
or information the listed entity shall, along with such disclosures provide
explanation for delay.
|
Not
later than 24 hours from the occurrence of the event or information as per
Part A Schedule III
|
NEAPS
|
BSE LISTING CENTRE
|
|
Event-
1.
Acquisitions including agreement to acquire, Scheme of
Arrangement(Merger/Demerger), sale or disposal of any unit, division
subsidiary or other restructuring,
2.
issue or forfeiture of securities, split consolidation, buy back, any
restriction on transferability of securities, alteration in term or structure
of securities
3.
Revision in rating (debt/deposit)
4.
Shareholder Agreement, joint venture agreement, family settlement agreement (
to the extent that it impacts the
management and control of the listed Company, agreement contract with media
company,
5.
fraud/default by promoter/ KMP/ listed entity or arrest of KMP/Promoter
6.
Change in director/KMP (MD/CEO/CFO/CS)
7.
Appointment or discontinuation of Share Transfer Agent
8.
Corporate Debt Restricting
9.
One time settlement with Bank
10.
Reference to BIFR and winding-up petition filed by any party/creditors
11.
issuance of notice to securities holder or media
12. proceeding
of annual and extraordinary general meeting
13. Amendment to
MOA and AOA
14 Schedule of
Analyst or institutional investor meet and presentations of financial results
made by listed company to analysts or institutional investors
15. Commencement
or any postponement in the date of commencement of commercial production or
commercial operations of any unit/division.
16. Change in
the general character or nature of business
17. capacity
addition of product launch
18. Awarding,
bagging /receiving amendment or termination of awarded bagged
orders/contracts not in the normal course of business
19. Agreement
(viz. Loan Agreement (as borrower) or any other agreement which are binding
and not in normal course of business) and revision or amendment or
termination thereof.
20. Disruption
of operations of any one or more units or division of the listed entity due
to natural calamity (earthquake, flood, fire etc.) force majeure or events
such as strikes, lockouts etc.
21. Effects
arising out of change in regulatory framework applicable to listed entity
22. litigation/dispute/regulatory
actions with impact
23. Giving of guarantee or indemnity or
becoming a surety for any 3rd party
24. Granting, withdrawal, surrender,
cancellation or suspension of key licenses or regulatory approvals.
|
|||||
17.
|
Reg. 30:Outcome of Meeting of Board of Directors
Within
30 minutes of closure of meeting
a)
Dividends and/or cash bonuses recommended or declared or the decision to pass
any dividend and the date on which dividend shall be paid/dispatched.
b)
any cancellation of dividend with reasons thereof
c)
the decision of buy back
d)
the decision with respect of fund raising proposed to be undertaken
e)
increase in capital by issue of bonus share through capitalization including
the date on which such bonus shares shall be credited / dispatched
f)
re-issue of forfeited shares or securities or the issue of shares or
securities held in reserve for future issue or the creation in any form or
manner of new shares or securities or other rights, privileges or benefits to
subscribes to
g)
alteration in capital
e)
financial result
f)
decision on voluntary delisting by listed entity
|
Within
30 minutes of the closure of meeting
The
intimation of outcome of the meeting shall also contain the time of
commencement and conclusion of the meeting
|
NEAPS
|
BSE LISTING CENTRE
|
|
18.
|
Reg. 42(2):Intimation regarding fixing of Record date or Date
of closure of transfer books-
Intimation
of record date for following purpose;
a.
declaration of dividend
b.
Issue of right or bonus shares
c.
issue of shares for conversion of debentures or any other convertible
securities
d.
share arising out of right attached to debentures or any other convertible
security
e.
corporate action like merger, demergers, splits and bonus shares
f.
such other purpose as may be specified by the stock exchange
|
The
intimation shall be given in advance of at least 7 working days excluding the
date of intimation and record dare to the stock exchange of record dare
specifying the purpose of the record date.
|
NEAPS
|
BSE LISTING CENTRE
|
|
19.
|
Reg. 42(3): the listed
entity shall recommend or declare all dividend and/or cash bonuses at least 5
working days (excluding the date of intimation and the record date fixed for
the purpose)
|
AT
least 5 clear working days in advance
|
NEAPS
|
BSE LISTING CENTRE
|
|
20.
|
Reg. 45(3):Change of name-On receipt of confirmation
regarding name availability from ROC, before filing the request for change of
name with the ROC in terms of provisions of Companies Act, 2013 and rules
made thereunder the listed entity shall seek approval from stock exchange by
submitting a certificate from chartered accountant stating compliance with
the conditions at sub-regulation 45(1)
|
Prior
Approval
|
NEAPS
|
BSE LISTING CENTRE
|
|
21.
|
Reg. 46 (2): Any
change/updation in the content of its website
|
2
working days from the date of such change
|
|||
COMPLIANCE
CALENDAR FOR LISTED EQUITIES
Under SEBI (Prohibition
of Insider Trading) Regulations 2015
S. No.
|
Regulation
Reference
|
Period Covered
|
Last date of
filing
|
Mode of filing
at NSE
|
Mode of filing
at BSE
|
1.
|
Reg. 7(1)(a)- Initial Disclosures
Every
promoter, KMP and Directors of every listed company shall disclose his
holding of securities of the company as on the date of these regulations
taking effect to the company.
|
One
time
|
Within
30 days of these regulations taking effect
|
||
2.
|
Reg. 7 (1)(b)- Initial Disclosures
Every
person on appointment as KMP or a director of the company or upon becoming a
promoter shall disclose his holding of securities of the company as on the
date of appointment or becoming promoter to Company.
|
One
Time
|
Within
7 days of such appointment or becoming promoter
|
||
3.
|
Reg. 7 (2)(a)-Continual Disclosure
Every
promoter, employee and Directors of every listed company shall discloseto the listed company the number of
such securities acquired or disposed, if the value of the securities traded,
whether in one transaction or series of transaction over any calendar
quarter, aggregates to a traded value in excess of Rs. ten lakh or such other
value as may be specified
|
Event
Base
|
Within
2trading days of such transaction
|
||
4.
|
Reg. 7 (2)(b)-Continual Disclosure
Every
company shall notify the particulars of such trading to the stock exchange
|
Event
Base
|
Within
2 trading days of receipt of the disclosure or from becoming aware of such
information
|
||
5.
|
Reg. 7 (3)-Continual Disclosure
Every
listed company may, at its discretion require any other connected persons or
class of connected persons to make disclosures of holdings and trading in
securities of the company in such form and at such frequency as may be
determined by the Company in order to monitor compliance with these
regulations
|
COMPLIANCE
CALENDAR FOR LISTED EQUITIES
Under SEBI (Depositories
Paticipants) Regulations 2015
S. No.
|
Regulation
Reference
|
Period Covered
|
Last date of
filing
|
Mode of filing
at NSE
|
Mode of filing
at BSE
|
1.
|
Reg. 55A- Reconciliation of Share Capital Audit Report
|
i)
April to June-Q1
ii)
July to Sep.- Q2
iii)
Oct. to Dec.-Q3
iv)
Jan to March- Q4
|
i)
31st July
ii)
31st Oct
iii)
31st Jan
iv)
30thApril
|
NEAPS
|
BSE LISTING CENTRE
|
COMPLIANCE
CALENDAR FOR LISTED EQUITIES
Under SEBI (Acquisition
of Shares & Takeovers) Regulations 2011
S. No.
|
Regulation
Reference
|
Period Covered
|
Last date of
filing
|
Mode of filing
at NSE
|
Mode of filing
at BSE
|
1.
|
Reg. 29 (1)-Disclosure
of acquisition or disposal-Any acquirer who acquires (including
encumbrance) shares or voting right in target company which taken together
with shares or voting rights, if any held by him and by PAC with him in
target company aggregating of 5% or more of the shares of such target
company, shall disclose their aggregate shareholding and voting rights in
such target company in such form as may be specified
|
Event
base
|
Within
2 working days of receipt of intimation of allotment of shares, or
acquisition of shares of shares or voting right in the target company to-
a)
stock exchanges
b)
the target company at its registered office
|
||
2.
|
Reg. 29 (2)-Disclosure
of acquisition or disposal-Any person, who together with PAC holds
shares or voting rights entitling them to 5% or more of the shares or voting
rights in a target company shall disclose number of shares or voting rights
held and change in the shareholding and voting right, even if such change
results in shareholding falling below 5%, if there has been change in such
holding from the last disclosure made under regulation 29(1): and such change
exceeds 2% of the total shareholding or voting rights in the target company,
in such form as may be specified.
|
Event
base
|
Within
2 working days of receipt of intimation of allotment of shares, or
acquisition of shares of shares or voting right in the target company to-
a)
stock exchanges
b)
the target company at its registered office
|
||
3.
|
Reg. 30
(1)-Continual Disclosures
Any
person, who together with PAC holds shares or voting rights exercise 25% or
more of voting rights in the target company, shall disclose their aggregate
shareholding and voting rights as of the 31st March, in such
target company in such form as may be specified.
|
Yearly
|
Within
2 working days of receipt of intimation of allotment of shares, or
acquisition of shares of shares or voting right in the target company to-
a)
stock exchanges
b)
the target company
|
||
4.
|
Reg. 30
(2)-Continual Disclosures
Promoter
of every the target company, shall together with PAC disclose their aggregate
shareholding and voting rights as of the 31st March, in such
target company in such form as may be specified.
|
Yearly
|
Within
7 working days from the closure of financial year-
a)
stock exchanges
b)
the target company
|
||
5.
|
Reg.
31(1)-Disclosures of encumbered
The
promoter of every target company shall disclose details of shares in such
target company encumbered by him or PAC with him in such form as may be
specified
|
Event
base
|
Within
7 working days from the date of creation of such encumbrance-
a)
stock exchanges
b)
the target company
|
||
6.
|
Reg. 31(2)-Disclosures
of encumbered
The
promoter of every target company shall disclose details of any invocation of
such encumbered by him or PAC with him in such form as may be specified
|
Event
base
|
Within
7 working days from the date of invocation of such encumbrance-
a)
stock exchanges
b)
the target company at its registered office
|