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)
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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
|
30thApril
|
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 30thApril
|
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
|
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