Check List For Listed Companies
Quarter
I: January to March
January
Stock Exchange
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Notice of Board Meeting to
consider the Qtr. Results
|
At least 7 days before the Meeting
|
2.
|
Press release for Board Meeting
(Eng.+Hindi)
|
Immediately
|
3.
|
Board Meeting to consider the Qtr.
Results
|
Within 30 days of 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 along with
Free Float Indices to the Stock Exchange
|
Within 15 days of end of Quarter
|
8.
|
Secretarial Audit Certificate from
CA/PCS for reconciliation of physical share and demat shares
|
Within 30 days of end of Quarter
|
9.
|
Quarterly Compliance Report on
Corporate Governance
|
Within 15 days of end of Quarter
|
10.
|
Uploading of Shareholding Pattern
and Quarterly Results to SEBI EDIFAR website
|
Immediately whenever ready for
submission to Stock Exchange
|
ROC Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Filing 3 set of Annual Report (B/s
& P&L A/c)
|
Within 30 days AGM
|
2.
|
Filing of Annual Return
|
Within 60 days AGM
|
February
Stock Exchange
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Limited Review Report from the
Statutory Auditors
|
Within 2 months of end of Quarter
|
Quarter
II : April
to June
April
Stock Exchange
Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Notice of Board Meeting to
consider the Qtr. Results
|
At least 7 days before the Meeting
|
2.
|
Press release for Board Meeting
(Eng.+Hindi)
|
Immediately
|
3.
|
Board Meeting to consider the Qtr.
Results
|
Within 30 days of 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
along with Free Float Indices
|
Within 15 days of end of Quarter
|
8.
|
Secretarial Audit Certificate 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
|
10.
|
Quarterly Compliance Report on
Corporate Governance
|
Within 15 days of end of Quarter
|
11.
|
Annual Listing Fees
|
Within 30 days
|
12.
|
Annual Custodial fees to NSDL/CDSL
|
Within 30 days
|
13.
|
Uploading of Shareholding Pattern
and Quarterly Results to SEBI EDIFAR website
|
Immediately whenever ready for
submission to Stock Exchange
|
Takeover Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Information as per Reg. 8(3)
|
30th April
|
Insider Trading Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Disclosure of Shareholding by
Directors/ designated employee/ dependents under regulation 13(3) and 13(6)
|
30th April
|
May
RBI Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Board Resolution for non accepting
public deposits
|
|
2.
|
Auditor Certificate regarding
requiring to hold NBFC certificate
|
30th June
|
Stock Exchange
Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Limited Review Report from the
Statutory Auditors
|
Within 2 months of end of Quarter
|
Quarter
III : July
to September
July
Stock Exchange
Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Notice of Board Meeting to
consider the Qtr. Results
|
At least 7 days before the Meeting
|
2.
|
Press release for Board Meeting
(Eng.+Hindi)
|
Immediately
|
3.
|
Board Meeting to consider the Qtr.
Results
|
Within 30 days of 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 along with Free Float Indices
|
Within 15 days of end of Quarter
|
8.
|
Secretarial Audit Certificate from
CA/PCS for reconciliation of physical share and demat shares
|
Within 30 days of end of Quarter
|
9.
|
Quarterly Compliance Report on
Corporate Governance
|
Within 15 days of end of Quarter
|
10.
|
Uploading of Shareholding Pattern
and Quarterly Results to SEBI EDIFAR website
|
Immediately whenever ready for
submission to Stock Exchange
|
August
Stock Exchange
Compliances
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Limited Review Report from the
Statutory Auditors
|
Within 2 months of end of Quarter
|
2.
|
Brief Detail of Turnover and other
Date
|
---
|
3.
|
Book Closure Notice
|
----
|
Quarter
IV: October to December
October
Stock Exchange
Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Notice of Board Meeting to
consider the Qtr. Results
|
At least 7 days before the Meeting
|
2.
|
Press release for Board Meeting
(Eng.+Hindi)
|
Immediately
|
3.
|
Board Meeting to consider the Qtr.
Results
|
Within 30 days of 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 along with Free Float Indices
|
Within 15 days of end of Quarter
|
8.
|
Secretarial Audit Certificate 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
|
10.
|
Minutes of AGM
|
Within 15 days of AGM
|
11.
|
Quarterly Compliance Report on
Corporate Governance
|
Within 15 days of end of Quarter
|
12.
|
Uploading of Shareholding Pattern
and Quarterly Results to SEBI EDIFAR website
|
Immediately whenever ready for
submission to Stock Exchange
|
November
Stock Exchange
Compliance
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Limited Review Report from the
Statutory Auditors
|
Within 2 months of end of Quarter
|
General
Compliances
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Book Closure Notice
|
At least 15 days before the Book
Closure
|
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 Corp. Gov. Comp. Cert. By Statutory Auditors/PCS
|
As soon as it is issued
|
5.
|
Notice of Book Closure in Two New
Papers
|
At least 7 days before the Book
Closure
|
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
|
To be filed along with B/s & P
& L Accounts
|
Transitional Provisions
Stock Exchange
Sr. No.
|
Compliances
|
Time Period
|
1.
|
Intimation regarding change in
company’s directors
|
Promptly
|
2.
|
Intimation regarding change in
Statutory Auditor
|
Promptly
|
3.
|
Intimation regarding change in
Regd. office
|
Promptly
|
4.
|
Intimation regarding alteration in
capital
|
Promptly
|
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