{"id":599,"date":"2022-11-26T15:46:02","date_gmt":"2022-11-26T10:16:02","guid":{"rendered":"https:\/\/aracs.in\/newaracs\/?p=599"},"modified":"2022-11-26T15:46:02","modified_gmt":"2022-11-26T10:16:02","slug":"compliances-under-sebi-listing-obligations-and-disclosure-requirements-regulation-2015","status":"publish","type":"post","link":"https:\/\/aracs.in\/newaracs\/compliances-under-sebi-listing-obligations-and-disclosure-requirements-regulation-2015\/","title":{"rendered":"Compliances Under SEBI (Listing Obligations And Disclosure Requirements) Regulation 2015"},"content":{"rendered":"

 <\/p>\n

QUARTERLY COMPLIANCE: <\/strong><\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
Sr .No<\/td>\nRegulation No.<\/td>\nCompliance<\/td>\nQuarterly\/Half Yearly\/Annually<\/td>\nTime Period<\/td>\n\u00a0Date by which to be filed<\/td>\n<\/tr>\n
1<\/td>\n13(3)<\/td>\nStatement of Investor complaints.<\/td>\nQuarterly<\/td>\nWithin 21 days from the end of each quarter.<\/td>\n21st July<\/td>\n<\/tr>\n
21st October<\/td>\n<\/tr>\n
21st January<\/td>\n<\/tr>\n
21st April<\/td>\n<\/tr>\n
2<\/td>\n27(2)<\/td>\nCorporate Governance.<\/td>\nQuarterly<\/td>\nWithin 15 days from end of each quarter.<\/td>\n15th July<\/td>\n<\/tr>\n
15th October<\/td>\n<\/tr>\n
15th January<\/td>\n<\/tr>\n
15th April<\/td>\n<\/tr>\n
3<\/td>\n31<\/td>\nShareholding Pattern.<\/td>\nQuarterly<\/td>\nWithin 21 days from the end of each quarter.<\/td>\n21st July<\/td>\n<\/tr>\n
21st October<\/td>\n<\/tr>\n
21st January<\/td>\n<\/tr>\n
21st April<\/td>\n<\/tr>\n
4<\/td>\n32(1)<\/td>\nStatement of deviation or variation<\/td>\nQuarterly<\/td>\nAfter placing before the audit committee<\/td>\nNot applicable<\/td>\n<\/tr>\n
5<\/td>\n33(3)<\/td>\nFinancial Results.<\/td>\nQuarterly<\/td>\nWithin 45 days from quarter end . And in case of Annual Financial Result, within 60 days from end of Financial Year<\/td>\n14th August<\/td>\n<\/tr>\n
14th November<\/td>\n<\/tr>\n
14th February<\/td>\n<\/tr>\n
30th May<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\n

 <\/p>\n

HALF YEARLY COMPLIANCE:<\/strong><\/p>\n\n\n\n\n\n\n\n
Sr. No<\/td>\nRegulation No.<\/td>\nCompliance<\/td>\nQuarterly\/Half Yearly\/Annually<\/td>\nTime Period<\/td>\nDue Date<\/td>\n<\/tr>\n
1<\/td>\n7(3)<\/td>\nCompliance Certificate certifying maintaining physical & electronic transfer facility<\/td>\nHalf Yearly<\/td>\nWithin one month of end of each half of the financial year.<\/td>\n31st October<\/td>\n<\/tr>\n
30th April<\/td>\n<\/tr>\n
2<\/td>\n40(9)<\/td>\nCertificate from\u00a0Practicing Company Secretary.<\/td>\nHalf Yearly<\/td>\nWithin one month of the end of each half of the financial year.<\/td>\n31st October<\/td>\n<\/tr>\n
30th April<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\n

ANNUAL COMPLIANCE: <\/strong><\/p>\n\n\n\n\n\n\n
Sr. No<\/td>\nRegulation No.<\/td>\nCompliance<\/td>\nQuarterly\/Half Yearly\/Annually<\/td>\nTime Period<\/td>\nDue Date<\/td>\n<\/tr>\n
1<\/td>\n14<\/td>\nListing Fees<\/td>\nAnnually<\/td>\nWithin 30 days of the end of financial year<\/td>\n30th April<\/td>\n<\/tr>\n
2<\/td>\n33(3)<\/td>\nFinancial Results.<\/td>\nAnnually<\/td>\nWithin 60 days of the end of financial year<\/td>\n30th May<\/td>\n<\/tr>\n
3<\/td>\n34<\/td>\nAnnual Report<\/td>\nAnnually<\/td>\nSubmission to SE on commencement of dispatch to shareholders,<\/p>\n

In case of any changes, the revised copy along with explanation within 48 hours after AGM.<\/td>\n

Immediate on dispatch to shareholders<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\n

\u00a0\u00a0\u00a0\u00a0 EVENT BASED COMPLIANCE:<\/strong><\/p>\n

\u00a0<\/strong><\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
Sr. No<\/td>\nRegulation No.<\/td>\nCompliance<\/td>\nQuarterly\/Half Yearly\/Annually<\/td>\nTime Period<\/td>\n<\/tr>\n
1<\/td>\n7(5)<\/td>\nIntimation of appointment of Share Transfer Agent<\/td>\nEvent Based<\/td>\nWithin 7 days of\u00a0 Agreement with RTA<\/td>\n<\/tr>\n
2<\/td>\n28(1)<\/td>\nIn-Principal Approval<\/td>\nEvent Based<\/td>\nPrior to issuance of Security<\/td>\n<\/tr>\n
3<\/td>\n29<\/td>\nPrior Intimations of Board Meeting for financial Result<\/td>\nEvent Based<\/td>\nAt least 2 clear working days in advance<\/td>\n<\/tr>\n
4<\/td>\n29<\/td>\nPrior Intimations of Board Meeting for Buyback, voluntary delisting etc<\/td>\nEvent Based<\/td>\nAt least 2 clear working days in advance<\/td>\n<\/tr>\n
5<\/td>\n29<\/td>\nPrior Intimations of Board Meeting for alteration in nature of securities<\/td>\nEvent Based<\/td>\nAt least 11 clear working days in advance<\/td>\n<\/tr>\n
6<\/td>\n30<\/td>\nAcquisition, scheme of arrangement, issuance of securities, revision in ratings, shareholders agreement, change in Directors, KMP, resignation of auditors, proceedings of AGM, EGMs and others<\/td>\nEvent Based<\/td>\nwithin 24 hours<\/td>\n<\/tr>\n
7<\/td>\n30<\/td>\nBoard meeting on dividend, cancellation of dividend, approval of financials, change in Directors, KMP, Agreements, Frauds by Promoters, Directors<\/td>\nEvent Based<\/td>\nWithin 30 minutes of conclusion of meeting<\/td>\n<\/tr>\n
8<\/td>\n31<\/td>\nShareholding Pattern prior to listing of securities<\/td>\nEvent Based<\/td>\nOne day prior to\u00a0\u00a0 listing\u00a0\u00a0 of securities<\/td>\n<\/tr>\n
9<\/td>\n31A<\/td>\nRequest for reclassification of Promoter\/Promoter Group, Minutes of Board meeting for reclassification,<\/td>\nEvent based<\/td>\n24 hrs from occurrence of event<\/td>\n<\/tr>\n
8<\/td>\n42<\/td>\nRecord date or Date of closure of transfer books<\/td>\nEvent Based<\/td>\nAt least 7 clear working days in advance<\/td>\n<\/tr>\n
9<\/td>\n42<\/td>\nRecord date for declaring dividend and \/ or cash bonus<\/td>\nEvent Based<\/td>\nAt least 5 clear working days in advance<\/td>\n<\/tr>\n
10<\/td>\n44<\/td>\nVoting results by shareholders<\/td>\nEvent Based<\/td>\nWithin 48 hours<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

  QUARTERLY COMPLIANCE: Sr .No Regulation No. Compliance Quarterly\/Half Yearly\/Annually Time Period \u00a0Date by which to be filed 1 13(3) Statement of Investor complaints. Quarterly Within 21 days from the end of each quarter. 21st July 21st October 21st January 21st April 2 27(2) Corporate Governance. Quarterly Within 15 days from end of each quarter. […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[15],"tags":[],"class_list":["post-599","post","type-post","status-publish","format-standard","hentry","category-securities-and-exchange-board-of-india"],"_links":{"self":[{"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/posts\/599","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/comments?post=599"}],"version-history":[{"count":1,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/posts\/599\/revisions"}],"predecessor-version":[{"id":600,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/posts\/599\/revisions\/600"}],"wp:attachment":[{"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/media?parent=599"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/categories?post=599"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/aracs.in\/newaracs\/wp-json\/wp\/v2\/tags?post=599"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}