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Checklist - Periodic Compliances
Checklist - Periodic Compliances
File with SEs Certificate obtained by STA from a 30th September 31-October
PCS certifying that all transfers/ consolidation etc.
are completed within 30 days of lodgement.
[Regulation 29(1) of SEBI (SAST) Regulations, Within 2 working days of receipt of intimation of
2011] allotment of shares / acquisition of shares or
Every Acquirer/ PAC acquiring Shares/ Voting Voting Rights to :-
rights aggregating to 5% or more of the total a. Every Stock Exchange
shareholding of the target company to disclose in b. Target Company
prescribed format
[Regulation 29(2) of SEBI (SAST) Regulations, Within 2 working days of receipt of intimation of
2011] allotment of shares / acquisition of shares or
Every Acquirer/ PAC holding Shares/ Voting rights Voting Rights to :-
aggregating to 5% or more of the total a. Every Stock Exchange
shareholding of the target company to disclose b. Target Company
such holding & every change therein (even if the
total holding falls below 5%) if the change exceeds
2% of total shareholding in prescribed format
[Regulation 30(1) of SEBI (SAST) Regulations, Within 7 working days of end of FY :-
2011] a. Every Stock Exchange
Every person with PAC holding shares exceeding b. Target Company
25% to disclose aggregate shareholding as of 31-
March- in prescribed format
[Regulation 30(2) of SEBI (SAST) Regulations, Within 7 working days of end of FY :-
2011] a. Every Stock Exchange
Promoter with PAC to disclose aggregate b. Target Company
shareholding as of 31-March - in prescribed format
[Regulation 31(2) of SEBI (SAST) Regulations, Within 7 working days of invocation/ release of
2011] encumbrance :-
Promoter to disclose details of shares invoked/ a. Every Stock Exchange
released from encumbrance by him / PAC - in b. Target Company
prescribed format
In case of any public issue, rights issue, preferential issue etc.
[Reg. 32(1) : SEBI LODR : Statement of Deviations- 31st March 30-April
Qtly]
Place before the Audit Committee for Review &
File with SEs for each quarter A statement 30th June 31-July
Additionally :
- Frame a Policy for materiality of events/
information
- Authorise one or more KMP to determine
materiality & and for making disclosures to
Stock Exchanges and on Cos website
http://lawmansection.com/2016/01/21/checklist-compliance-calendar-for-listed-company-under-
sebi-lodr-regulations2015/