QUARTERLY COMPLIANCE:
Sr .No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Date 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. | 15th July |
15th October | |||||
15th January | |||||
15th April | |||||
3 | 31 | Shareholding Pattern. | Quarterly | Within 21 days from the end of each quarter. | 21st July |
21st October | |||||
21st January | |||||
21st April | |||||
4 | 32(1) | Statement of deviation or variation | Quarterly | After placing before the audit committee | Not applicable |
5 | 33(3) | Financial Results. | Quarterly | Within 45 days from quarter end . And in case of Annual Financial Result, within 60 days from end of Financial Year | 14th August |
14th November | |||||
14th February | |||||
30th May |
HALF YEARLY COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Due Date |
1 | 7(3) | Compliance Certificate certifying maintaining physical & electronic transfer facility | Half Yearly | Within one month of end of each half of the financial year. | 31st October |
30th April | |||||
2 | 40(9) | Certificate from Practicing Company Secretary. | Half Yearly | Within one month of the end of each half of the financial year. | 31st October |
30th April |
ANNUAL COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period | Due Date |
1 | 14 | Listing Fees | Annually | Within 30 days of the end of financial year | 30th April |
2 | 33(3) | Financial Results. | Annually | Within 60 days of the end of financial year | 30th May |
3 | 34 | Annual Report | Annually | Submission to SE on commencement of dispatch to shareholders,
In case of any changes, the revised copy along with explanation within 48 hours after AGM. |
Immediate on dispatch to shareholders |
EVENT BASED COMPLIANCE:
Sr. No | Regulation No. | Compliance | Quarterly/Half Yearly/Annually | Time Period |
1 | 7(5) | Intimation of appointment of Share Transfer Agent | Event Based | Within 7 days of Agreement with RTA |
2 | 28(1) | In-Principal Approval | Event Based | Prior to issuance of Security |
3 | 29 | Prior Intimations of Board Meeting for financial Result | Event Based | At least 2 clear working days in advance |
4 | 29 | Prior Intimations of Board Meeting for Buyback, voluntary delisting etc | Event Based | At least 2 clear working days in advance |
5 | 29 | Prior Intimations of Board Meeting for alteration in nature of securities | Event Based | At least 11 clear working days in advance |
6 | 30 | Acquisition, scheme of arrangement, issuance of securities, revision in ratings, shareholders agreement, change in Directors, KMP, resignation of auditors, proceedings of AGM, EGMs and others | Event Based | within 24 hours |
7 | 30 | Board meeting on dividend, cancellation of dividend, approval of financials, change in Directors, KMP, Agreements, Frauds by Promoters, Directors | Event Based | Within 30 minutes of conclusion of meeting |
8 | 31 | Shareholding Pattern prior to listing of securities | Event Based | One day prior to listing of securities |
9 | 31A | Request for reclassification of Promoter/Promoter Group, Minutes of Board meeting for reclassification, | Event based | 24 hrs from occurrence of event |
8 | 42 | Record date or Date of closure of transfer books | Event Based | At least 7 clear working days in advance |
9 | 42 | Record date for declaring dividend and / or cash bonus | Event Based | At least 5 clear working days in advance |
10 | 44 | Voting results by shareholders | Event Based | Within 48 hours |
Akansha Rathi and Associates (ARACS), Company Secretary Firm in Navi Mumbai is engaged into compliance related services. We have a team of experts who not only possess required skills and experience but also have worked in complex business environment and were engaged in providing complex solutions in terms of providing related Compliance services to our clients.