Compliance Checklist and Due Dates of a Listed

Company By CS Tanuj Saxena

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a. Annual Compliances of Listed Companies

S. Regulations Timeline Brief Particulars

No.

1. 34 Within 21 working Submission of Annual Report

days of it being
approved and
adopted.

2. 44 Within 48 hours of Submission of voting results

conclusion of
general meeting

3. 24A Within 60 days of Submission of Annual Secretarial

end of financial Compliance Report w.r.t. compliances of
year SEBI Regulations, deviations and actions
taken thereof.

b. Half Yearly Compliances of Listed Companies

S. Regulations Timeline Brief Particulars

No.

1. 7(3) Within one month of Submission of compliance certificate

end of each half signed by the share transfer agent and
financial year compliance officer

2. 40(9) Within one month of Submission of certificate from practicing

end of each half company secretary
financial year

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c. Quarterly Compliances of Listed Companies

S. Regulations Timeline Brief Particulars

No.

1. 13(3) Within Submission of statement giving number of investor

21 days complaints at the beginning, received, disposed off
of end of and remaining unsolved during the quarter.
each
quarter

2. 31 Within Submission of shareholding pattern

21 days
of end of
each
quarter

3. 33 Within Submission of unaudited quarterly results along with

45 days limited review report or where audited financials are
of end of being submitted, the same has to be submitted within
each 60 days of close of financial year.
quarter

4. 27(2) Within Submission of corporate governance report

15 days
of end of Note: Applicable only to listed Companies whose paid
each up equity and net worth exceeds ten crores and
quarter twenty five crores respectively.

5. 55A of Within Submission of report for the purpose of reconciliation

reconciliation 30 days of share capital held in depositories and in physical
of share of end of form with the issued / listed capital.
capital audit each
report quarter

d. General Compliances of Listed Companies

S. Regulations Brief Particulars

No.

1. 6 Appointment of Company Secretary to ensure compliance and

reporting

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2. 7 Appointment of Share Transfer Agent (RTA)

3. 29 Giving prior intimation to exchange at least 2 working days in

advance for following matters:

· Buyback of securities;

· Voluntary delisting;

· Fund raising;

· Declaration of bonus securities;

· Declaration/recommendation of dividend, issue of

convertible securities

Provide that the prior intimation for approval of financial

statements viz. quarterly, half yearly, or annual, as the case may
be given at least 5 clear days in advance.

4. 30 Disclosure of price sensitive information specified within a

specified time period

5. 44 Providing of e-voting facility to facilitate voting at every general

meeting

6. 46 Maintain website and disseminate information. Further, the

Company shall ensure that the information is updated within two
working days.

7. 47 Publication in newspaper of following:

· Notice of meeting where financial results shall be

discussed;

· Deviations to financial statements after review by audit

committee, if any;

· Notice given to shareholders;

· Financial Results

Provided that the financial results shall be published within 48

hours of conclusion of meeting.

Note: The copy of newspaper publications shall also be submitted

to the respective stock exchange.

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8. 34(3) Every Listed Company shall annex to its annual report a
certificate of non-disqualification of Directors signed by a
Practicing Company Secretary.

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