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Compliance Calendar - SME


Sr. No Regulation Reference Frequency Period Covered Date By Which To Be Mode Of Filing
1 13(3) – Statement Grievance Redressal Mechanism. Quarterly April-June, July- September, October- December, January-March 21st July, 21st October, 21st January and 21st April. Electronic (NEAPS)
2 55A of Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996 – Reconciliation of Share Capital Audit Report. Quarterly April-June, July- September, October-December, January-March 30th July, 30th October, 30th January and 30th April. Electronic (NEAPS)
SR. NO REGULATION REFERENCE FREQUENCY PERIOD COVERED DATE BY WHICH TO BE FILED MODE OF FILING
1. 31(1) – Shareholding Pattern. Half Yearly April- September, October-March 21st October and 21st April. Electronic (NEAPS)
2. 32(8) – Statement of deviation or variation. Half Yearly April- September, October-March   Electronic (NEAPS)
3. 33(5) – Financial Results. Half Yearly April- September, October-March 14th November and 30th May. Electronic (NEAPS)
4. 7(3) – Compliance Certificate to the exchange. Half Yearly April- September, October-March 31st October and 30th April. Electronic (NEAPS)
5. 40(10) – Compliance Certificate w.r.t Transfer or Transmission or Transposition of securities within 30 days. Half Yearly April- September, October-March 31st October and 30th April. Electronic (NEAPS)
SR. NO REGULATION REFERENCE FREQUENCY PERIOD COVERED DATE BY WHICH TO BE FILED MODE OF FILING
1. 14 – Listing Fees. Annually April-March 30th April. Payment through RTGS/NEF
2. 34(1) – Annual Report. Annually April- March Not later than the day of commencement of dispatch to its shareholders and not less than 21 days  before the annual general meeting. Electronic (NEAPS)
SR. NO REGULATION REFERENCE FREQUENCY PERIOD COVERED DATE BY WHICH TO BE FILED MODE OF FILING
1. 7(5) – Intimation of appointment of Share Transfer Agent. Event based - Within 7 days of Agreement with RTA. Electronic (NEAPS)
2. 28(1) – In- Principle approval. Event based - Prior to Issuance of Security. Electronic (NEAPS)
3. 29(1) (a) –Prior Intimations of Board Meeting for financial Result. Event based - At least 5 clear days in advance (excluding the date of the intimation and date of the meeting). Electronic (NEAPS)
4. 29(1)(b), 29(1) (c), 29(1)(d), 29(1) (e) and 29(1) (f) – Prior Intimations of Board Meeting for Buyback, voluntary delisting etc. Event based - At least 2 clear working days in advance (excluding the date of the intimation and date of the meeting). Electronic (NEAPS)
5. 29(3) –Prior Intimations of Board Meeting for alteration in nature of securities. Event based - At least 11 clear working days in Advance. Electronic (NEAPS)
6. 30(6) – Disclosure of events specified in Part A of Schedule III (Material events) Event based - Not l a t e r than twenty four hours from occurrence of event. Electronic (NEAPS)
7. 30(6) – Disclosure of events specified in sub-para 4 of Para A of Part A of Schedule III. Event based - Within 30 minutes of conclusion of board meeting. Electronic (NEAPS)
8. 31(1)(a) – Shareholding Pattern prior to listing of securities. Event based - One day prior to listing of securities. Electronic (NEAPS)
9. 31(1)(c) – Shareholding Pattern in case of capital restructuring. Event based - Within 10 days of any change in capital structure exceeding 2%. Electronic (NEAPS)
10. 31(A)(2) – Disclosure of class of shareholders and conditions for reclassification. Event based - Prior approval. Electronic (NEAPS)
11. 37(2) – Draft Scheme of arrangement & Scheme of arrangement. Event based - Prior approval before filing with Court. Electronic (NEAPS)
12. 42(2) – Record date or Date of closure of transfer books. Event based - At least 7 clear working days in advance (excluding the date of intimation and the record date). Electronic (NEAPS)
13. 42(3) – Record date for declaring dividend and / or cash bonus. Event based - At least 5 clear working days in advance (excluding the date of intimation and the record date). Electronic (NEAPS)
14. 44(3)-Voting results by shareholders. Event based - Within 48 hours of conclusion of AGM. Electronic (NEAPS)
15. 45(3) – Change in name of listed entity. Event based - Prior approval (before filing request for name change with ROC) Electronic (NEAPS)
Updated on: 04/02/2020
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