Updated yearly compliace of listed entities

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

23 May 2013  

                                                                       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 Financial Results(Audited)

 

Within 60 days from the end of Quarter.

4.

Fax of Qtr. Result to SE

Within 15 minutes of Board Meeting

5.

Submission of Audited Result with Auditors Report

 

Audited Results for the entire financial year and for the last quarter both are to be submitted along with Auditors’ Report.

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

 

 

 


 

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

 

Takeover Code Compliances

Sr. No.

Compliances

Time Period

1.

Disclosure of Shareholding holding by every person who together with persons acting in concert with him, holds 25% or more voting rights in a target company; and / or

Disclosure of shareholding by Promoter together with persons acting in concert with him.

Upto 7th April

 

 

 

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 . (Limited review report is to be submitted along with quarterly results)

5.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

6.

Shareholding Pattern to the Stock Exchange under Clause 35

Within 21 days of end of Quarter

7.

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

Within30 days form the end of Quarter.

8.

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.

(Limited review report is to be submitted along with quarterly results)

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

(Limited review report is to be submitted along with quarterly results)

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 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.

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.

(Limited review report is to be submitted along with quarterly results)

 


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.

(Limited review report is to be submitted along with quarterly results)

5.

Publication of Qtr. Result (Eng.+Hindi)

Within 48 hours of Board Meeting

6.

Shareholding Pattern Under Clause 35

Within 21 days of end of Quarter

7.

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

Within 30 days of end of Quarter

8.

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.

(Limited review report is to be submitted along with quarterly results)

 


 

 

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

Immediately

2.

Intimation regarding change in Statutory Auditor or Company Secretary

Immediately