SEBI (Listing Obligation and Disclosure Requirement) Regulation 2015

An Overview Of Listing Regulations

QUATERLY COMPLIANCES

COMPLIANCE No.1Corporate Governance

Report (Regulation 27(2)

(a)

Report On Non-

Applicability

Last Date 15th April For Year

Ended 31st March 2016

Applicable Only on those Listed

Companies which fulfills both

of following conditions:

Paid –up Share capital

More then Rs.10 Cr

Net worth more then

Rs. 25 Cr or more

Regulation 13(3)

Last Date- 21st

April 2016

Statement

Grievance

Redressal

Compliance No.2

Regulation 31(1)(b)-

Shareholding Pattern

With-in 21 Days of

Closure of Year

Last Date- 21st April 2016 for

Year ended 31st March

2015

Compliance No. 3

Prior Intimation to Stock Exchange- 5 Clear Days Notice in advance shall be given about the date of Board Meeting at which Financial Results will be considered

In Advance Notice Trading Window of the company

shall be closed as per their code of conduct (Min- 15 Days) only for promoters and KMP of said company.

As per Regulation 33(3)(a) Company Shall prepare & File its Audited financial Results for last quarter along with Auditors Report with-in 60 from 31st March i.e. Last Date for filing result is 30th May 2016

Compliance No. 4Harmonious Interpretation of Regulations 29(1)(a),33(3)(a) and Regulation 47

Regulation 47-Advertisement in Newspaper

Intimation about Board Meeting at which financial results will be discussed

Financial Results with LRR OR Audit report, form A or Form B

Reference of website of listed entity along with STX shall be given in Advt.

Advt. shall be published one in English language paper, one in regional language where registered office of co. is

situated

Regulation 47 is not applicable to companies listed on SME exchange

HALF-YEARLY COMPLIANCE

Regulation 7(3)

• Compliance Certificate relating to share transfer

• Half Yearly Compliance

Shall be

signed by

• Compliance Officer & Representative of RTA

Last Date

• 30th April 2016• For year

ended 31st March 2016

Compliance No. 6

Compliance No. 7Regu la t i on 40(9)

E v e r y l i s t e d c o m p a n y s h a l l t a k e c e r t i fi c a t i o n f r o m P C S c e r t i f y i n g t h a t a l l c e r t i fi c a t e s h a v e b e e n i s s u e d w i t h i n t h i r t y d a y s o f d a t e o f e v e n t .

C o m p l i a n c e s h a l l b e m a d e w i t h - i n O n e m o n t h f r o m t h e e n d o f e a c h o f t h e h a l f y e a r.

C e r t i fi c a t i o n c e r t i fi c a t e s h a l l b e fi l e d w i t h t h e S t o c k E x c h a n g e w h e r e S e c u r i t i e s o f C o . a r e L i s t e d .

YEARLY COMPLIANCES

Regulation 34(1)- Annual Report

For period April to March

(Yearly Compliance)

Last Date of Filing- 21

Working Days from the Date

of AGM

Compliance No. 8

Regulation 14Payment of Listing

FeesFor period of April to

Marchtill 30th April of Next

F.YRs. 2 Lakhs for Listed Capital of up-to 150

Cr

Compliance No. 9

UNDER SAST REGULATIONS 2011

YEARLY COMPLIANCES

REGULATION 30

Regulation 30 (1)- Every person along with PAC, holding shares or voting right entitling them to exercise 25% of the voting right , shall disclose his shareholding or voting right.

Such disclosure shall be made by every person along with their PACs` in such form as my be prescribed by Board.

Time Period: Such disclosure shall be made with-in 7 Working Days from the end of each financial year

FOR EXAMPLE: Lets suppose ABC Limited a company whose equity shares are listed on BSE limited .

Mr. Anil holds 18% shares having 18% voting right along with his wife Sunita , who holds 10% shares having same voting rights, weather they have any obligation under said regulation?

In this case Both Anil and Sunita shall disclose there shareholding individually to BSE Limited and to the Company with-in 7 working days of closure of each financial year.

Regulation 30(2): Every Promoter shall disclose aggregate of his or her shareholding along with PAC, to the Company and stock exchange where securities' of the company are listed irrespective of there amount or numbers of shareholding.

Such disclosure shall be made by every promoter along with their PACs` in such form as my be prescribed by Board.

Such shareholding shall be disclosed with-in 7 working days from the end of each financial year.

Lets understand regulation 30(2) with an example: ABC Limited a company whose equity shares are listed on BSE limited

having 4 (four) promoters each of them holding 10% holding of the Company, since they are promoter each of them shall disclose there shareholding to the company and stock exchange with-in 7 working days from the end of each financial year.

REGULATION 30

Prepared By: Pankaj Pasi