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  • Posted on: 27 February 2016
  • By: admin

Compliacnes for Listed Company

SEBI Listing Regulations 2015 and Others


Ongoing Compliances


 


 


 

Sr No

Regulation

Particular

Specific Requirement

Compliance

Periodicity

1

Regulation 7 (3)

Compliance Certificate certifying maintaining physical & electronic transfer facility

duly signed by both, compliance officer and Authorized representative of the share transfer agent

Half Yearly

Within one month of end of each half of the financial year

2

Regulation 13 (3)

Statement of Investor complaints

statement giving the number of investor complaints pending at the beginning of the quarter, those received during the quarter, disposed of during the quarter and those remaining unresolved at the end of the quarter

Quarterly

Within Twenty one days from the end of each quarter

3

Regulation 27 (2)

Corporate Governance

shall not apply (a) the listed Company with paid up equity share capital not exceeding rupees ten crore and net worth not exceeding rupees twenty five crore, as on the last day of the previous financial year ; or     (b)listed on the SME Exchange.

Quarterly

Within 15 days from quarter end

4

Regulation 31

Shareholding Pattern

Timelines - a) One day prior to listing of its securities on the stock exchange(s);  b) On Quarterly basis c) within Ten days of any capital restructuring of the listed entity resulting in a change exceeding two per cent of the total paid-up share capital:

Quarterly 

Within 21 days from quarter end.

4a

Regulation 31

Shareholding Pattern For Securities Listed on SME Exchange

Timelines - a) One day prior to listing of its securities on the stock exchange(s);  b) On Quarterly basis c) within Ten days of any capital restructuring of the listed entity resulting in a change exceeding two per cent of the total paid-up share capital:

For SME- Half yearly

Within 21 days from Half year end.

5

Regulation 33

Financial Results

Standalone financial results along with Limited Review Report or Audit Report whenever applicable and Annual Statements with Audit Report

Quarterly and Annually

Quarterly: Within 45 days                    Annually: within 60 days

5a

Regulation 33

Financial Results

Standalone financial results along with Limited Review Report or Audit Report whenever applicable and Annual Statements with Audit Report

For SME- Half yearly and Annually

Half yearly: Within 45 days                    Annually: within 60 days

6

Regulation 34

Annual Report

 

Annually

Within twenty one working days from AGM

7

Regulation 40 (9)

Certificate from Practicing Company Secretary

Certifying that all certificates issued within thirty days of the date of lodgment for transfer, sub-division, consolidation, renewal, exchange or endorsement of calls/allotment monies.

Half Yearly

Within one month of the end of each half of the financial year

8

SEBI- DP Reg.55A

Reconciliation of Share Capital Audit

 

Quarterly

Within 30 days from quarter end

9

Regulation 14

Listing Fees & Other charges

 

Annually

 

10

Regulation 29

Notice for Board Meeting

 

Quarterly

For Financial Results: 5 Working days Advance                    Other Matters: 2 Working days advance.                         Alteration in i) Securities       ii) date of interest or redemption of Debenture/bond: 11 Working days

11

Regulation 30

Outcome of Board Meeting

 

Quarterly

Within 30 minutes of the closure of the meeting.

12

Regulation 42

Notice for Record Date

Ensure Gap of at least 30 days between 2 book closure and/or record date.

Annually

7 working days in Advance

13

Regulation 44

Voting Result

Details regarding the Voting Results

Annually

Within 48 Hours From AGM

14

Regulation 30(1)

SEBI Takeover Regulations 2011

Disclosure of List of  every shareholder who hold along with Persons Acting in Concert - 25% or more of the voting rights as of 31st March; shall disclose their aggregate shareholding and voting rights

Annually

within 7 working days from end financial year

14

Regulation 30(2)

SEBI Takeover Regulations 2011

List of Promoter and Persons Acting in Concert  as of 31st March;  disclose their aggregate shareholding and voting rights

Annually

within 7 working days from end financial year.

 


 


 


 


 


 


 


 


 


 


 


 


Occasional Comppliances


 


 


 

Sr No

Regulation

Particular

Specific Requirement

Periodicity


 

1

Regulation 7

Appointment of New Share Transfer Agent

In case of change or appointment of a new share transfer agent, the Listed Company shall enter into a Tripartite Agreement between the existing share transfer agent, the new share transfer agent and the listed entity, in the manner as specified by the Board from time to time.

within seven days of entering into the agreement


 

2

Regulation 30

Disclosure of Price-Sensitive Information

Material events that will have a bearing on the performance / operations of the company as well as price sensitive information- both at the time of occurrence of the event and subsequently after the cessation of the event.

As soon as reasonably possible and not later than twenty four hours from the occurrence of event or information


 

3

Regulation 42

Notice for Corporate Action

 

7 working days in Advance


 

4

Regulation 43

Declaration of Dividend.

 

 


 

5

Regulation 46

Company Website

Listed Company shall maintain a Functional website containing the basic information about the listed entity. The listed entity shall disseminate the information under Regulation 46 (2)

 


 

6

Regulation 7(2)

SEBI (Prohibition of Insider Trading) Regulations, 2015

Disclosure by Promoter, employee and director who acquire/ Sale shares of the Company where the  value of the securities traded, whether in one transaction or a series of transactions over any calendar quarter, aggregates to  Rs. Ten lakh rupees or more

within 2 trading days of such transaction. Company Shall disclose within 2 days fro receipt of intimation.


 








 

Quarterwise Compliance

April-June Quarter

 

Compliance

Under Section/Clause

Time Period

1

Board Meeting to consider Financial Results

33

14th August

2

Intimation to Sock Exchange about Board Meeting

29(1)

5 days in advance excluding date of intimation and Board Meeting

3

Press Release [One Marathi and One English newspaper]

47(1)(a)

5 days in advance excluding date of intimation and Board Meeting

4

Submission of Quarterly Financial Results to Stock Exchange

Schedule III

Within 30 minutes from Conclusion of Meeting

5

Publication of Quarterly Results

47(1)(b)

Within 48 hours from conclusion of Board Meeting

6

Shareholding Pattern

31(1)

21st July

7

Reconciliation of Capital Audit

55A of SEB(DP) Regulations 1996

30th July

8

Corporate Governance Quarterly Report

27(2)(A)

15th July

9

Limited Review Report

52(1)

14th August

10

Statement Giving Number of Invstor Complaints pending at beginning, received during quarter, disposed off and unresolved

13(3)

21st July

11

Payment of Annual Listing Fee

14

Before 30th April

12


a)     

Statement of Shareholders holding more than 15% of Share Capital and


b)     

Statement of Shareholding of Promoters and PAC

30(3) of SEBI Takeover Code

7th April

13

Return of Deposits

74(1) Companies Act, 2013

Before 30th June

14

Noting of Disclosure of Interest of Directors

 

In first Board meting of the Quarter

 

July-Septmber Quarter

 

Compliance

Under Section/Clause

Time Period

1

Intimation about e-voting results to Stock Exchange

44(3)

Within 48 hours from conclusion of Annual General Meeting

2

Intimation of Record date to exchange and NSDL and CDSL

42(2)

7 working days prior to Annual General meeting(excluding date of intimation and date of Annual General Meeting)

3

Board Meeting to consider Financial Results

33

15th November

4

Intimation to Sock Exchange about Board Meeting

29(1)

5 days in advance excluding date of intimation and Board Meeting

5

Press Release [One Marathi and One English newspaper]

47(1)(a)

5 days in advance excluding date of intimation and Board Meeting

6

Submission of Quarterly Financial Results to Stock Exchange

Schedule III

Within 30 minutes from Conclusion of Meeting

7

Publication of Quarterly/half yearly Results

47(1)(b)

Within 48 hours from conclusion of Board Meeting

8

Shareholding Pattern

31(1)

21st October

9

Reconciliation of Capital Audit

55A of SEB(DP) Regulations 1996

30th October

10

Corporate Governance Quarterly Report

27(2)(A)

15th October

11

Limited Review Report

52(1)

15th November

12

Certificate of Compliance at RTA/Inhouse Share Trasnfer Agent[Signed by Compliance Officer and Representative of RTA]

7(2)

30th October

13

Statement Giving Number of Invstor Complaints pending at beginning, received during quarter, disposed off and unresolved

13(3)

21st October

14

Submission of Annual Report to Stock Exchange

34(1)

Within 21 working days from Annual General Meeting

15

Filing of Financial Results(AOC-4)

 

Within 30 days from AGM

16

Filing of Annual Retrun (Form MGT 7) along with Form MGT-8 (Secretarial Audit Report)

92(1)

Within 60 days from AGM

 

October- December Quarter

 

Compliance

Under Section/Clause

Time Period

1

Board Meeting to consider Financial Results

33

15th February

2

Intimation to Sock Exchange about Board Meeting

29(1)

5 days in advance excluding date of intimation and Board Meeting

3

Press Release [One Marathi and One English newspaper]

47(1)(a)

5 days in advance excluding date of intimation and Board Meeting

4

Submission of Quarterly Financial Results to Stock Exchange

Schedule III

Within 30 minutes from Conclusion of Meeting

5

Publication of Quarterly Results

47(1)(b)

Within 48 hours from conclusion of Board Meeting

6

Shareholding Pattern

31(1)

21st January

7

Reconciliation of Capital Audit

55A of SEB(DP) Regulations 1996

30th January

8

Corporate Governance Quarterly Report

27(2)(A)

15th January

9

Limited Review Report

52(1)

15th February

10

Statement Giving Number of Invstor Complaints pending at beginning, received during quarter, disposed off and unresolved

13(3)

21st January

11

Signing of Minutes of Annual General Meeting

Section 118 Companies Act 2013

Within 30 days from Annual General Meeting

 

January-March Quarter

 

Compliance

Under Section/Clause

Time Period

1

Board Meeting to consider Financial Results

33

30th May

2

Intimation to Sock Exchange about Board Meeting

29(1)

5 days in advance excluding date of intimation and Board Meeting

3

Press Release [One Marathi and One English newspaper]

47(1)(a)

5 days in advance excluding date of intimation and Board Meeting

4

Submission of Quarterly Financial Results to Stock Exchange

Schedule III

Within 30 minutes from Conclusion of Meeting

5

Publication of Quarterly/half yearly Results

47(1)(b)

Within 48 hours from conclusion of Board Meeting

6

Shareholding Pattern

31(1)

21st April

7

Reconciliation of Capital Audit

55A of SEB(DP) Regulations 1996

30th April

8

Corporate Governance Quarterly Report

27(2)(A)

15th April

9

Limited Review Report

52(1)

15th May

10

Certificate of Compliance at RTA/Inhouse Share Trasnfer Agent[Signed by Compliance Officer and Representative of RTA]

7(2)

30th April

11

Statement Giving Number of Invstor Complaints pending at beginning, received during quarter, disposed off and unresolved

13(3)

21st April