Listed Companies-Checklist

CS Ankur Srivastava (Company Secretary & Compliance Officer)   (17853 Points)

24 January 2011  

GUIDANCE CHECK LIST – LISTED COMPLIANCES

 

Quarter I  :   April to June

 

April

Stock Exchange Compliances

 

Sr. No.

Compliances

Time Period

1.

Notice of Board Meeting to the Stock Exchange to consider the Annual Results (in case of Audited Results) / Quarterly Results (in case of Unaudited Results)

At least 7 clear days before the Meeting excluding the date of meeting and notice

2.

Press release for Board Meeting (Eng.+Hindi)

Simultaneously i.e. as above

3.

Board Meeting to consider the Qtr. Results (Unaudited)

 

 

In case of Audited Results

Within 45 days form the end of Quarter.

 

Within 60 days from the end of Quarter.

 

Advance Notice within 45 days for intimating that the company will send audited results.

4.

Fax of Qtr. Result to SE

Within 15 minutes of Board Meeting

5.

Submission of Audited Result with Auditors Report (Only in case of Audited results)

On the date of Board Meeting

6.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

7.

Shareholding Pattern to the Stock Exchange per clause 35

Within 21 days of end of Quarter

8.

Reconciliation of Share Capital Audit Report from CA/PCS for reconciliation of physical share and Demat shares

Within 30 days of end of Quarter

9.

Clause 47C Certificate from a PCS – Half yearly Compliance Certificate

Within 1 month of end of half year and within 24 hours after signing of PCS

10.

Quarterly Compliance Report on Corporate Governance under Clause 49

Within 15 days of end of Quarter

11.

Annual Listing Fees

Upto 30th April

12.

Annual Custodial fees to NSDL/CDSL

Upto 30th April

 

 

 

Takeover Compliance

Sr. No.

Compliances

Time Period

1.

Information as per Reg. 8(3)

30th April

 

Insider Trading Compliances

Sr. No.

Compliances

Time Period

1.

Disclosure of Shareholding by Directors/ designated employee/ dependents under regulation 13(3) and 13(6), if any

30th April

 

May

Stock Exchange Compliances

Sr. No.

Compliances

Time Period

1.

Limited Review Report from the Statutory Auditors (in case the results are Unaudited)

Within 60 days form the end of Quarter.

June

ROC Compliances

Sr. No.

Compliance

Time Period

1.

Return of Deposit

(I) Ensure deposit of 15% of the amount of deposit maturing during the year

Upto 30 June

(I) upto 30th April

 


 

Quarter II  :   July to September

 

July

 

Stock Exchange Compliances

Sr. No.

Compliances

Time Period

1.

Notice of Board Meeting to the stock exchange to consider the Qtr. Results

At least 7 clear days before the Meeting excluding the date of meeting and notice

2.

Press release for Board Meeting (Eng.+Hindi)

Simultaneously i.e. as above

3.

Board Meeting to consider the Qtr. Results

Within 45 days form the end of Quarter.

4.

Fax of Qtr. Result to SE

Within 15 minutes of Board Meeting

5.

Submission of  Qtr. Result with photocopies of news paper cutting

With 2-3 days of Board Meeting

6.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

7.

Shareholding Pattern to the Stock Exchange under Clause 35

Within 21 days of end of Quarter

8.

Reconciliation of Share Capital Audit Report from CA/PCS for reconciliation of physical share and Demat shares

Within30 days form the end of Quarter.

9.

Quarterly Compliance Report on Corporate Governance under Clause 49

Within 15 days of end of Quarter

ROC Compliances

 

Sr. No.

Compliances

Time Period

1.

Filing of B/s & P&L A/c

Within 30 days AGM

2.

Filing of Annual Return 

Within 60 days AGM

 

August

Stock Exchange Compliances

Sr. No.

Compliances

Time Period

1.

Limited Review Report from the Statutory Auditors (in case the results are Unaudited)

Within 45 days form the end of Quarter.

2.

Book Closure Notice to SE, RTA, NSDL and CDSL

Before atleast 7 working days of Book Closure

3.

Book Closure Publication (Hindi +English Newspaper)

Before atleast 7 days of Book Closure

 

 

Quarter III:   October to December

 

October

Stock Exchange Compliances

Sr. No.

Compliances

Time Period

1.

Notice of Board Meeting to the Stock Exchange to consider the Annual Results

At least 7 clear days before the Meeting excluding the date of meeting and notice

2.

Press release for Board Meeting (Eng.+Hindi)

Simultaneously i.e. as above

3.

Board Meeting to consider the Qtr. Results

Within 45 days form the end of Quarter.

4.

Fax of Qtr. Result to SE

Within 15 minutes of Board Meeting

5.

Submission of  Qtr. Result with photocopies of news paper cutting

With 2-3 days of Board Meeting

6.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

7.

Shareholding Pattern to the Stock Exchange under Clause 35

Within 21 days of end of Quarter

8.

Reconciliation of Share Capital Audit Report from CA/PCS for reconciliation of physical share and demat shares

Within 30 days of end of Quarter

9.

Clause 47 Certificate from a PCS – Half yearly Compliance Certificate

Within 1 month of end of half year and within 24 hours after signing of PCS

10.

Minutes of AGM

Within 30 days of AGM

11.

Quarterly Compliance Report on Corporate Governance  under Clause 49

Within 15 days of end of Quarter

November

 

Stock Exchange Compliances

Sr. No.

Compliances

Time Period

1.

Limited Review Report from the Statutory Auditors (in case the results are Unaudited)

Within 45 days form the end of Quarter.

 


Quarter IV  :   January to March

 

January

 

Stock Exchange Compliances

`

Sr. No.

Compliances

Time Period

1.

Notice of Board Meeting to the Stock Exchange to consider the Annual Results

At least 7 clear days before the Meeting excluding the date of meeting and notice

`2.

Press release for Board Meeting (Eng.+Hindi)

Simultaneously i.e. as above

3.

Board Meeting to consider the Qtr. Results

Within 45 days form the end of Quarter.

4.

Fax of Qtr. Result to SE

Within 15 minutes of Board Meeting

5.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

6.

Submission of  Qtr. Result with photocopies of news paper cutting

With 2-3 days of Board Meeting

7.

Shareholding Pattern Under Clause 35

Within 21 days of end of Quarter

8.

Reconciliation of Share Capital Audit Report from PCS for reconciliation of physical share and Demat shares

Within 30 days of end of Quarter

9.

Quarterly Compliance Report on Corporate Governance Under Clause 49

Within 15 days of end of Quarter

 

February

 

 

Stock Exchange Compliances

 

Sr. No.

Compliances

Time Period

1.

Limited Review Report from the Statutory Auditors (in case the results are Unaudited)

Within 45 days form the end of Quarter.

 


 

 

General Compliances

 

Sr. No.

Compliances

Time Period

2.

Corporate Governance Compliance Certificate from Statutory Auditors/ PCS

Before the date of Director’s Report

3.

Submission of Annual Results

Immediately

4.

Six Copies of Annual Report along with Soft copy of Annual Report to SE

As soon as it is issued

6.

Disclosure of Shareholding under Reg. 8(3) at every record date fix for declaration of dividend

Within 30 days of record date

7.

Minutes of every General Meeting

Within 30 days of General Meeting

8.

Filing of Audited Balance Sheet & Profit and Loss A/c with ROC

Within 30 days of AGM

9.

Filing of Annual Return with ROC

Within 60 days of AGM

 

 

 

Transitional Provisions

 

Stock Exchange Compliances

 

Sr. No.

Compliances

Time Period

1.

Intimation regarding change in company’s directors

Within 30 days in form 32

2.

Intimation regarding change in Statutory Auditor

Within 30 days

3.

Intimation regarding change in Regd. office

Within 30 days in form 18

4.

Intimation regarding alteration in capital

Within 30 days in form no. 5