Listed companies compliances

ROUTINE COMPLIANCES FOR LISTED COMPANIES

          Quarter I  :   April to June

April

Sr. No.	Compliances	Time Period	Clause
1.	Quarterly Compliance Report on Corporate Governance	Within 15th April	49
2.	Shareholding Pattern to the Stock Exchange	Within 21st April	35
3.	Notice of Board Meeting to the Stock Exchange to consider the Unaudited Quarterly Results OR Annual Audited Results.	At least 7 CLEAR days before the Meeting excluding the date of meeting and notice	41
4.	Press release for Board Meeting (Eng.+ Vernacular)	At least 7 days before the Meeting	41.
5.	Board Meeting to consider the Qtr. Results	Within 45 days of end of Quarter (i.e on or before 44 days)	41
5.	Fax of Qtr. Result to SE	Within 15 minutes of end Board Meeting	41
6.	Publication of Qtr. Result (Eng.+Hindi)	Within 48 hours of Board Meeting	41
7.	Submission of  Qtr. Result with photocopies of news paper cutting	With 2-3 days of Board Meeting	41
8.	Reconciliation of Share Capital Audit Certificate from CA/PCS for reconciliation of physical share and demat shares	Within 30th April	Circular
9.	Certificate from a PCS – Half yearly Compliance Certificate	Within 30th April and shall be submitted to the Exchange within 24 hours after signing of PCS	47
10.	Annual Listing Fees	Within 30 April	38
11.	Annual Custodial fees to NSDL/CDSL	Within 30 April	38
12.	Uploading of Shareholding Pattern, Quarterly Results & other prescribed report to SEBI CFDS website (NOT MANDATORY FOR ALL)	Immediately whenever ready for submission to Stock Exchange	52

Compliance under SAST

Sr. No.	Compliances	Time Period	Clause
1.	Information as per Reg. 8(3)	30th April	8(3) of SAST

May

Stock Exchange Compliances

Sr. No.	Compliances	Time Period	Clause
1.	Limited Review Report from the Statutory Auditors (in case submission of Unaudited last quarter results)	Within 45 days of end of Quarter	41
2.	Intimation regarding submission of Annual Audited Results (if unaudited last quarter results not submitted)	Within 45 days of end of Quarter	41
3.	Submission of Annual Audited (along with audit report) if last quarter unaudited results not submitted	Within 30th May	41

June

ROC Compliances

Sr. No.	Compliance	Time Period	Clause
1.	Return of Deposit	Upto 30 June	--

Quarter II  :   July to September

July

Sr. No.	Compliances	Time Period	Clause
1.	Quarterly Compliance Report on Corporate Governance	Within 15th July	49
2.	Shareholding Pattern to the Stock Exchange	Within 21st July	35
3.	Notice of Board Meeting to the Stock Exchange to consider the Unaudited Quarterly Results	At least 7 CLEAR days before the Meeting excluding the date of meeting and notice	41
4.	Press release for Board Meeting (Eng.+ Vernacular)	At least 7 days before the Meeting	41.
5.	Board Meeting to consider the Qtr. Results	Within 45 days of end of Quarter (i.e on or before 44 days)	41
5.	Fax of Qtr. Result to SE	Within 15 minutes of end Board Meeting	41
6.	Publication of Qtr. Result (Eng.+Vernacular)	Within 48 hours of Board Meeting	41
7.	Submission of  Qtr. Result with photocopies of news paper cutting and Limited Review Report from the Auditors	With 2-3 days of Board Meeting	41
8.	Reconciliation of Share Capital Audit Certificate from CA/PCS for reconciliation of physical share and demat shares	Within 30th July	Circular
12.	Uploading of Shareholding Pattern, Quarterly Results & other prescribed report to SEBI CFDS website (NOT MANDATORY FOR ALL)	Immediately whenever ready for submission to Stock Exchange	52

August - September

Sr. No.	Compliances	Time Period	Clause
1.	Book Closure Notice to SE, RTA, Depositories	Before atleast 7 days of Book Closure	16
2.	Notice of Board Meeting to the Stock Exchange to consider the Annual Results (incase last quarter unaudited results were submitted)	At least 7 clear days before the Meeting excluding the date of meeting and notice	41
3.	Six Copies of Annual Reports to Stock Exchanges (Soft copy to corp.relations@bseindia.com)	Along with notice of AGM	31(a)
2.	Book Closure Publication (Vernacular +English Newspaper)	Before atleast 7 days of Book Closure	CA

Quarter III:   October to December

Sr. No.	Compliances	Time Period	Clause
1.	Quarterly Compliance Report on Corporate Governance	Within 15th October	49
2.	Shareholding Pattern to the Stock Exchange	Within 21st October	35
3.	Notice of Board Meeting to the Stock Exchange to consider the Unaudited Quarterly Results	At least 7 CLEAR days before the Meeting excluding the date of meeting and notice	41
4.	Press release for Board Meeting (Eng.+ Vernacular)	At least 7 days before the Meeting	41.
5.	Board Meeting to consider the Qtr. Results	Within 45 days of end of Quarter (i.e on or before 44 days)	41
5.	Fax of Qtr. Result to SE	Within 15 minutes of end Board Meeting	41
6.	Publication of Qtr. Result (Eng.+Vernacular)	Within 48 hours of Board Meeting	41
7.	Submission of  Qtr. Result (along with a statement of Assets & Liabilities for the half year ended) with photocopies of news paper cutting and Limited Review Report from the Auditors	With 2-3 days of Board Meeting	41
8.	Reconciliation of Share Capital Audit Certificate from CA/PCS for reconciliation of physical share and demat shares	Within 30th October	Circular
9.	Certificate from a PCS – Half yearly Compliance Certificate	Within 30th October and shall be submitted to the Exchange within 24 hours after signing of PCS	47
10.	Proceedings of AGM	As soon as possible	31(d)
11.	Uploading of Shareholding Pattern, Quarterly Results & other prescribed report to SEBI CFDS website (NOT MANDATORY FOR ALL)	Immediately whenever ready for submission to Stock Exchange	52

Quarter IV  :   January to March

Sr. No.	Compliances	Time Period	Clause
1.	Quarterly Compliance Report on Corporate Governance	Within 15th January	49
2.	Shareholding Pattern to the Stock Exchange	Within 21st January	35
3.	Notice of Board Meeting to the Stock Exchange to consider the Unaudited Quarterly Results	At least 7 CLEAR days before the Meeting excluding the date of meeting and notice	41
4.	Press release for Board Meeting (Eng.+ Vernacular)	At least 7 days before the Meeting	41.
5.	Board Meeting to consider the Qtr. Results	Within 45 days of end of Quarter (i.e on or before 44 days)	41
5.	Fax of Qtr. Result to SE	Within 15 minutes of end Board Meeting	41
6.	Publication of Qtr. Result (Eng.+Vernacular)	Within 48 hours of Board Meeting	41
7.	Submission of  Qtr. Result with photocopies of news paper cutting and Limited Review Report from the Auditors	With 2-3 days of Board Meeting	41
8.	Reconciliation of Share Capital Audit Certificate from CA/PCS for reconciliation of physical share and demat shares	Within 30th January	Circular
12.	Uploading of Shareholding Pattern, Quarterly Results & other prescribed report to SEBI CFDS website (NOT MANDATORY FOR ALL)	Immediately whenever ready for submission to Stock Exchange	52

Others:-

Ø Prior intimation of two working days regarding Board Meetings for buy back, Right, Dividend etc.

Ø Simultaneous intimation regarding communication of proposal of Bonus, if part of Agenda papers the Board of Director

Ø Intimation to the Exchange within 15minutes of the conclusion of the Board meeting regarding decision of payment of dividend, bonus, interest etc.

Ø 21days prior intimation to the Exchange regarding fixation and commencement of payment of dividend, interest on debenture, redemption etc.

Ø Intimation regarding change in Directors and Auditor.

Ø Providing Proceedings of EGM’s to the Exchange.

Ø Intimation to the Exchange regarding strikes, Lockouts, Natural Calamities, power disconnection, acquiring major order or any news that may have effect on the price of the shares of the Company.

Ø Disclosure under clause 13 of Insider Regulations.

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Thanks & Regards

GAURAV KANDPAL