Check List for Listed Company

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GUIDANCE CHECK LIST – LISTING COMPLIANCES

Quarter I : January to March

January

Stock Exchange Compliances
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Sr. No.CompliancesTime Period
1.Notice of Board Meeting to consider the Qtr. ResultsAt least 7 days before the Meeting 2.Press release for Board Meeting (Eng.+Hindi)Immediately
3.Board Meeting to consider the Qtr. ResultsWithin 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 cuttingWith 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 ExchangeWithin 15 days of end of Quarter 8.Secretarial Audit Certificate from CA/PCS for reconciliation of physical share and demat sharesWithin 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 websiteImmediately whenever ready for submission to Stock Exchange

ROC Compliances

Sr. No.CompliancesTime 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 Compliances

Sr. No.CompliancesTime Period
1.Limited Review Report from the Statutory AuditorsWithin 2 months of end of Quarter

Quarter II : April to June

April

Stock Exchange Compliances

Sr. No.CompliancesTime Period
1.Notice of Board Meeting to consider the Qtr. ResultsAt least 7 days before the Meeting 2.Press release for Board Meeting (Eng.+Hindi)Immediately
3.Board Meeting to consider the Qtr. ResultsWithin 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 cuttingWith 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 sharesWithin 30 days of end of Quarter 9.Clause 47 Certificate from a PCS – Half yearly Compliance CertificateWithin 1 month of end of half year 10.Quarterly Compliance Report on Corporate Governance Within 15 days of end of Quarter 11.Annual Listing FeesWithin 30 days

12.Annual Custodial fees to NSDL/CDSLWithin 30 days
13.Uploading of Shareholding Pattern and Quarterly Results to SEBI EDIFAR websiteImmediately whenever ready for submission to Stock Exchange

Takeover Compliance
Sr. No.CompliancesTime Period
1.Information as per Reg. 8(3)30th April

Insider Trading Compliances
Sr. No.CompliancesTime Period
1.Disclosure of Shareholding by Directors/ designated employee/ dependents under regulation 13(3) and 13(6)30th April

May
RBI Compliances

Sr. No.CompliancesTime Period
1.Board Resolution for non accepting public deposits
2.Auditor Certificate regarding requiring to hold NBFC certificate30th June

Stock Exchange Compliances

Sr. No.CompliancesTime Period
1.Limited Review Report from the Statutory AuditorsWithin 2 months of end of Quarter

Quarter III : July to September

July

Stock Exchange Compliances

Sr. No.CompliancesTime Period
1.Notice of Board Meeting to consider the Qtr. ResultsAt least 7 days before the Meeting 2.Press release for Board Meeting (Eng.+Hindi)Immediately
3.Board Meeting to consider the Qtr. ResultsWithin 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 cuttingWith 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 IndicesWithin...
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