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Compliance Calendar


Old listing agreement(.Zip)

SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (.zip)

Format of Uniform Listing Agreement (.pdf)

IMPORTANT :
 
  • Companies are requested to refer to Listing Regulations, 2015 for detailed compliances.
  • Financial Year is considered as April-March
QUARTERLY COMPLIANCE When to comply MODE OF FILING
Regulation reference Timeline For the quarter ended June For the quarter ended September For the quarter ended December For the quarter ended March
Regulation 31 (1) (b)- Shareholding Pattern : Download Regulation Within 21 days from the end of the quarter By 21-July By 21-October By 21-January By 21-April NEAPS>COMPLIANCE>SHAREHOLDING PATTERN NEW
27(2)(a) – Corporate Governance Report : Download Regulation Within 15 days from the end of the quarter. By 15-July By 15-October By 15-January By 15-April NEAPS>COMPLIANCE>CORPORATE GOVERNANCE
Regulation 33 (3) (a) - Financial Results alongwith Limited review report/Auditor’s report : Download Regulation Within 45 days from the end of the quarter. By 14-August By 14-November By 14-February

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NEAPS>COMPLIANCE>QUICK RESULTS & NEAPS>COMPLIANCE>FULL RESULTS (Non Banking/Banking/Alternative)
Reconciliation of share capital audit report : Download Regulation Within 30 days from the end of the quarter. By 30-July By 30-October By 30-January By 30-April NEAPS>COMPLIANCE>RECONCILIATION OF SHARE CAPITAL AUDIT REPORT
Regulation 13 (3) - Statement of Grievance Redressal Mechanism Within 21 days from the end of the quarter. By 21-July By 21-October By 21-January By 21-April NEAPS>COMPLIANCE>REG.13-INVESTOR GRIEVANCE
Regulation 32 (1) - Statement of deviation(s) or variation(s).

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NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
HALF YEARLY COMPLIANCE When to comply MODE OF FILING
Regulation reference Timeline For the half year ended June For the half year ended September For the half year ended December For the half year ended March
Regulation 7 (3) - Share Transfer Agent Within 1 month of end of each half of the financial year

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NEAPS>COMPLIANCE>REG.7(3) AND REG.40(10)
Regulation 40 (10) - Transfer or transmission or transposition of securities Within 1 month of end of each half of the financial year

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NEAPS>COMPLIANCE>REG.7(3) AND REG.40(10)
ANNUAL COMPLIANCE When to comply MODE OF FILING
Regulation reference Timeline For the year ended June For the year ended September For the year ended December For the year ended March
Regulation 14 - Fees and other charges to be paid to the recognized stock exchange(s) Within one month of end of March 31 By 30-April Payment through RTGS/NEFT
Regulation 24A - Secretarial Compliance Report within 60 days of the end of the financial year By 30-May NEAPS>COMPLIANCE>PERIODIC COMPLIANCE>SECRETARIAL COMPLIANCE REPORT
Regulation 33 (3) (d) - Financial Results alongwith Auditor’s Report: Download Regulation Within 60 days from the end of the financial year By 29-August By 29-November By 29-February By 30-May NEAPS>COMPLIANCE>QUICK RESULTS & NEAPS>COMPLIANCE>FULL RESULTS (Non Banking/Banking/Alternative)
Regulation 34(1) & 36(2) – Annual Report Not later than the day of commencement of dispatch to its shareholders and not less than 21 days before the annual general meeting NEAPS>COMPLIANCE>ANNUAL REPORT

CheckCHECK NOTICE PERIOD

EVENT BASED COMPLIANCE MODE OF FILING
Regulation reference When to comply
Regulation 7(5) – Intimation of appointment of Share Transfer Agent Within 7 days of Agreement with RTA
 
NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 28 (1) - In-principle approval of recognized stock exchange(s) Before issuing securities
 
NEAPS>ISSUE
Regulation 29 (2) (b) to (f) - Prior intimation of Board meeting for Buyback, Dividend, Raising of Funds, Voluntary Delisting etc., Atleast two working days in advance, excluding the date of the intimation and date of the meeting NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 29 (2) (a) - Prior intimation of Board meeting for Financial Results Atleast five days in advance (excluding the date of the intimation and date of the meeting) NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 29(3) –Prior intimation of
Board Meeting for alteration in nature of securities etc.
Atleast eleven working days in advance NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 30 (6) – Disclosure of events or information Disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty four hours from the occurrence of event or information NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 30 (6) – Disclosure of events or information Disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III shall be made within thirty minutes of the conclusion of the board meeting NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 31(1)(a) – Shareholding Pattern prior to listing of securities One day prior to listing of securities NEAPS>COMPLIANCE>SHAREHOLDING PATTERN NEW
Regulation 31(1)(c) – Shareholding Pattern in case of capital restructuring Within 10 days of any change in capital +/- 2% NEAPS>COMPLIANCE>SHAREHOLDING PATTERN NEW
Regulation 37(2) – Draft Scheme of arrangement Obtain observation letter or No-objection letter from the stock exchange(s) before filing the scheme with any court or tribunal NEAPS>ISSUE>SCHEME OF ARRANGEMENT
Regulation 39(3) - Loss of share certificates and and issue of the duplicate certificates Within two days of getting information NEAPS>Reg.39(3) Certificate
Regulation 44(3) - Voting Results Within 48 hours of conclusion of General Meeting NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 45(3) – Change in name Prior approval from Stock Exchange before filing application with Registrar of Companies NEAPS>COMPLIANCE>COMPANY NAME CHANGE
Regulation 46 - Website The listed entity shall maintain a functional website containing the basic information about the listed entity NEAPS>COMPLIANCE>MASTER>ADDRESS DETAILS

CheckCHECK NOTICE PERIOD

CORPORATE ACTIONS MODE OF FILING
Regulation 42 (2) - Record Date for dividend, bonus, rights etc., The listed entity shall give notice in advance of atleast seven working days (excluding the date of intimation and the record date) to stock exchange(s) of record date specifying the purpose of the record date NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 42 (3) - Record Date The listed entity shall recommend or declare all dividend and/or cash bonuses at least five working days (excluding the date of intimation and the record date) before the record date fixed for the purpose. NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 42 (4) - Record Date The listed entity shall ensure the time gap of at least thirty days between two record dates NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
Regulation 42 (5) - Book Closure For securities held in physical form, the listed entity may, announce dates of closure of its transfer books in place of record date. The listed entity shall ensure that there is a time gap of atleast thirty days between two dates of closure of its transfer books. NEAPS>COMPLIANCE>ANNOUNCEMENTS/BM/CA
  • 30(1) Every person, who together with persons acting in concert with him, holds shares or voting rights entitling him to exercise twenty-five per cent or more of the voting rights in a target company, shall disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified.
  • 30 (2) The promoter of every target company shall together with persons acting in concert with him, disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified.
  • The disclosures required under sub-regulation (1) and sub-regulation (2) shall be made within seven working days from the end of each financial year to;
    1. every stock exchange where the shares of the target company are listed; and
    2. the target company at its registered office.

Disclosure of Details of Shareholding – Revised Format (.pdf)

Disclosure of acquisition and disposal.

  • 29(1) Any acquirer who acquires shares or voting rights in a target company which taken together with shares or voting rights, if any, held by him and by persons acting in concert with him in such target company, aggregating to five per cent 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.
  • 29(2)Any acquirer, who together with persons acting in concert with him, holds shares or voting rights entitling them to five per cent or more of the shares or voting rights in a target company, shall disclose every acquisition or disposal of shares of such target company representing two per cent or more of the shares or voting rights in such target company in such form as may be specified.
  • 29(3)The disclosures required under sub-regulation (1) and sub-regulation (2) shall be made within two working days of the receipt of intimation of allotment of shares, or the acquisition of shares or voting rights in the target company to,—
    1. every stock exchange where the shares of the target company are listed; and
    2. the target company at its registered office.

Disclosure of encumbered shares.

  • 31(1) The promoter of every target company shall disclose details of shares in such target company encumbered by him or by persons acting in concert with him in such form as may be specified.
  • 31(2) The promoter of every target company shall disclose details of any invocation of such encumbrance or release of such encumbrance of shares in such form as may be specified.
  • 31(3)The disclosures required under sub-regulation (1) and sub-regulation (2) shall be made within seven working days from the creation or invocation or release of encumbrance, as the case may be to,—
    1. every stock exchange where the shares of the target company are listed; and
    2. the target company at its registered office.

Download Regulation 29 (.pdf)

Download Regulation 31 (.pdf)

IMPORTANT :
 
  • The compliance requirements shown above are indicative only.
  • Companies are requested to refer to Listing Regulations, 2015 for detailed compliances.
  • Financial Year is considered as April-March
Updated on: 04/02/2020 12:00
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