SEBI (LODR) REGULATIONS, 2015

SEBI (LODR) REGULATIONS, 2015

REGULATION 7 (3) – Compliance Certificate Certifying Maintaining Physical & Electronic Transfer Facility

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

The listed entity is required to submit a compliance certificate to the exchange, duly signed by both i.e., by the compliance officer of the listed entity and the authorized representative of the share transfer agent, wherever applicable, within one month of end of each half of the financial year, certifying maintaining physical & electronic transfer facility either in house or RTA as applicable.

 

REGULATION 13 (3) - Statement of Investor Complaints

Within 21 days from the end of each quarter

The listed entity is required to file a 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 with the recognised stock exchange(s) on a quarterly basis, within twenty one days from the end of each quarter.

 

REGULATION 27 (2) - Corporate Governance Report

Within 15 days from end of each quarter

The listed entity shall submit a quarterly compliance report on corporate governance within fifteen days from close of the quarter. 

Further it may be noted that it shall not apply, in respect of: 

(a) the listed entity having 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. 

 Provided that where the provisions of the regulations specified in this regulation becomes applicable to a listed entity at a later date, such listed entity shall comply with the requirements those regulations within six months from the date on which the provisions became applicable to the listed entity. 

(b) the listed entity which has listed its specified securities on the SME Exchange.

 

REGULATION 31 - SHAREHOLDING PATTERN

Within 21 days from the end of each quarter

The listed entity is required to submit to the stock exchange(s) a statement showing holding of securities and shareholding pattern separately for each class of securities, in the format specified by the Board on a quarterly basis, within twenty one days from the end of each quarter;

 

REGULATION 33 - FINANCIAL RESULTS

Within 45 days from end of quarter. And in case of Annual Financial Result, within 60 days from end of Financial Year.

The listed entity is required to submit to the stock exchange, quarterly and year-to-date standalone financial results within forty-five days of end of each quarter, (other than last quarter) along with Limited Review Report or Audit Report as applicable. 

The listed entity is further required to submit Annual Audited standalone Financial results for the financial year, within sixty days from the end of the financial year along with the audit report and either with Statement on Impact of Audit Qualifications (applicable for audit report with modified opinion(s)) or declaration (applicable for audit reports with unmodified opinion(s)). 

Provided that where the listed entity has subsidiaries, it shall, while submitting annual audited standalone financial results also submit annual audited consolidated financial results along with the audit report and Statement on Impact of Audit Qualifications (applicable for audit report with modified opinion). 

Provided further that, in case of audit reports with unmodified opinion(s), the listed entity shall furnish a declaration to that effect to the Stock Exchange(s) along with the annual audited financial results.

 

REGULATION 23(9)- Disclosures of Related Party Transactions on a consolidated basis

Within 30 days from the date of publication of Standalone and Consolidated Financial Results for the half year.

The listed entity is required to submit within 30 days from the date of publication of its standalone and consolidated financial results for the half year, disclosures of related party transactions on a consolidated basis, in the format specified in the relevant accounting standards for annual results to the stock exchanges and publish the same on its website.

 

REGULATION 34 – Annual Report

Within 21 working days of it being approved and adopted in the annual general meeting

The Listed entity is required to submit to the stock exchange and also publish on its website a copy of the Annual Report sent to the shareholders along with the notice of the annual general meeting not later than the day of commencement of dispatch to its shareholders.

 

REGULATION 40 (9) – Certificate from Practicing Company Secretary

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

The listed entity is required to ensure that the share transfer agent and/or the in-house share transfer facility, as the case may be, produces a certificate from a practicing company secretary within one month of the end of each half of the financial year, certifying that all certificates have been issued within thirty days of the date of lodgment for transfer, sub-division, consolidation, renewal, exchange or endorsement of calls/allotment monies. 

Such certificate from practicing company secretary is required to be filed with the stock exchange within one month of the end of each half of the financial year.

 

REGULATION 29 – Notice For Board Meeting To Consider The Prescribed  Matters

2/5/11 days.

The Company is required to give an advance notice to Stock Exchange:

• of at least 5 days for Financial Result as per regulation 29 1 (a)
• in case of other matters as stated in regulation 29 1 (b) to (f) - 2 Working days in advance (Excluding the date of the intimation and date of the meeting).

The Company shall give an advance notice of 11 working days in case matter related to alteration in

• securities;
• date of interest or redemption of Debenture/bond as per regulation 29(3) (a), (b). 

 

REGULATION 30 – Disclosure of Price-Sensitive Information

Not later than 24 hours from the occurrence of event or information

The Company is required to intimate to the Stock Exchange about the material events which will have a bearing on the performance/operations of the company as well as price sensitive information:

• at the time of occurrence of the event; and
• subsequently after the cessation of the event.

The listed entity shall first disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty four hours from the occurrence of event or information.

 

REGULATION 30 – Outcome of Board Meeting

Within 30 minutes of the closure of the meeting

The listed entity is required to disclose the Outcome of the Board Meeting to the Exchange(s), within 30 minutes of the closure of the meeting.

 

REGULATION 46 - Company Website

The listed entity is required to maintain a functional website containing the basic information about the listed entity. The listed entity shall disseminate the information as stated in Regulation 46 (2).

The listed entity shall ensure that the contents of the website are correct & the listed entity shall update any change in the content of its website within two working days from the date of such change in content.