SEBI (LODR) - Compliance Calender

DIVESH GOYAL
Mob: +918130757966
csdiveshgoyal@gmail.com
Practicing Company Secretary

GOYAL DIVESH& ASSOCIATES
COMPLIANCE CALENDER AS PER SEBI LISTING

REGULATIONS
SEBI (Listing Obligations and Disclosure Requirements) Regulations,
2015 (Listing Regulations) Regulation- 42-45
LODR- SERIES- XIII
S.
No
.
Regulation
No.
Particular of Regulation
Time Period
of filing of
Certificate
COMMON OBLIGATIONS TO LISTED ENTITY

1.
7(3)
2.
7(5)
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Submission
a Submission
of
Compliance
Compliance
Certificate to Stock Exchange
Certificate
to certifying that all activities in
the Exchange
relation to both physical and
electronic share transfer facility
are maintained either in house
or by Registrar to an issue and
share transfer agent registered
with the Board.
Appointment/
Alteration of
Company can manage in house
Share Transfer
Share Transfer Facility. But as and
Agent
WHEN
THE
TOTAL
NUMBER OF HOLDERS OF
SECURITIES OF THE LISTED
ENTITY EXCEEDS ONE LAC,
the listed entity shall appoint
Share Transfer Agent.
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Within
one
month of end
of each half of
the financial
year,
Intimate to the
Stock
Exchange such
appointment
or alteration
within 7 days
on
entering
into
agreement
DIVESH GOYAL
Mob: +918130757966

3.
Grievance
Redressal
Mechanism
13
Shall
be
placed before
the Board of
Directors
in
subsequent
Meeting.
The listed entity shall file with the Within 21 days
recognized stock exchange(s)
of
a statement giving
the end of the
The number of investor each
complaints pending at the quarter.
beginning of the quarter,
Same
Those received during the statement
quarter,
shall be placed
Disposed of during the quarter before
the
and
Board of
Those remaining unresolved at Director
the end of the quarter.
quarterly.
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SPECIFIED

SECURITIES I.E. EQUITY OR CONVERTIBLE SECURITIES.
4.
27(2)
5.
Proviso to
29(2)
Quarterly
Compliance
Report on
Corporate
Governance
The listed entity shall submit a

quarterly compliance report on
corporate governance in the
format as specified by the
Board.
Details
of
all
material
transactions
with
related
parties shall be disclosed.
Report shall be sign Either by
Compliance officer or Chief
Executive officer
Prior Intimation Intimation about the Meeting in
to SE about
which Financial Results viz.
Board Meeting
quarterly, half yearly, or annual, as
the
case
may
be
due
Within 15 days
from
the
closure
of
quarter.
At
least
5
(Five) days in
advance
excluding the
for
date
of
DIVESH GOYAL
Mob: +918130757966

consideration.
6.
29(2)
Prior Intimation Intimation about the Meeting in

to SE about
which following matters are due to
Board Meeting
consideration:
Proposal for Buyback of
Securities
Proposal
for
voluntary
delisting of Listing entity from
the Stock Exchange(s)
Fund raising by following ways
- Further Public Offer, Rights
Issue, American Depository
Receipts/Global Depository
Receipts/Foreign Currency
Convertible
Bonds,
qualified
institutions
placement, debt issue,
preferential issue or any
other method and for
determination of issue
price:
intimation &
date of board
meeting.
At least 2
working days
in
advance
excluding the
date
of
intimation &
date of board
meeting.
Declaration/Recommendation
of Dividend
Issue of Convertible Securities
including
convertible
debentures or of debentures
carrying a right to subscribe to
equity shares or the passing
over of dividend
Proposal for declaration of
Bonus Securities.
(Only if
DIVESH GOYAL
Mob: +918130757966

7.
29(3)
Prior Intimation
to SE about
Board Meeting
Any Alteration in the form or At least 11

nature of any of its securities working days
that are listed on the stock in advance
exchange or in the rights or
privileges
of
the
holders
thereof.
Any Alteration in the date on

which,
the
interest
on
debentures or bonds, or the

redemption
redeemable
amount
shares
or
of
of
debentures or bonds, shall be

payable.
8.
General Meeting Intimation:

Intimation shall also be given in case of any Annual General Meeting or
Extraordinary General Meeting or Postal Ballot that is proposed to be held for
obtaining shareholder approval for further fund raising indicating type of issuance.
9.
30(6)
Second
Proviso
Outcome of
Board Meeting
10.
30(6)
Disclosure
events
information
Disclosure with respect to events Made within

specified in sub-para 4 of Para A of 30
Minutes
Part A of Schedule III
(thirty
minutes)
of
the conclusion
of the board
meeting
of The listed entity shall first disclose As soon as
or to stock exchange(s) of all events, reasonably
as specified in Part A of Schedule possible and
III, or information
not later than
twenty
four
hours from the
occurrence of
event
or
information
DIVESH GOYAL
Mob: +918130757966
11.
31(1)
Holding
of listed entities which have listed
securities
& their specified securities on SME
Shareholding
Exchange,
Exchange, submit Statement of
Pattern
Share Holding
separately
for
each class of
securities.
12.
31A(7)(c)
13.
32(1)
Event
of The event of reclassification shall
Reclassification be disclosed to the stock
exchanges as a material event in
accordance with the provisions of
these regulations
Statement
Statement indicating deviation
indicating
in use of proceeds from the
deviation(s) or objects stated in the offer
Variation(s)
document
or
explanatory
statement to the notice for the
general meeting (of public issue,
rights issue, preferential issue).
14.
33(3)(a)
Quarterly
Financial Result
1 day prior to
listing of its
securities
Within 21 days
from the end
of
each
quarter
Within 10 days
of
Capital
restructuring.
within 24 hrs
of occurrence
of the event
quarterly
basis to the
stock
exchange till
such time the
issue proceeds
have
been
fully utilized
or the purpose
for
which
these
proceeds
were
raised
has
been
achieved.
The listed entity shall submit within 45
quarterly and year-to-date days of end of
standalone financial results to each quarter,
the stock exchange
other than the
DIVESH GOYAL
Mob: +918130757966
15.
33(3)(d)
& (e)
Annual
Financial
Result
16.
33(3)(f)
17.
34(1)
Half
Yearly submit as part of its standalone or
Financial
consolidated financial results for
Result
the half year, by way of a note, a
statement of assets and liabilities
Annual Report Annual
Report
to
RSE
containing Audited Financial
Statement, directors report,
MDAR.
18.
19.
20.
21.
The listed entity shall submit

audited standalone financial
results for the financial year,
last quarter
within 60
days from the
end of the
financial year
Half yearly
submission.
Within
21
working days
of its being
approved &
adopted in
AGM.
35
The listed entity shall submit to the stock exchange(s) an Annual
Information Memorandum in the manner specified by the Board
from time to time.
37(1)
Draft scheme of listed entity desirous of Before filling
Arrangement & undertaking a scheme of with
Scheme
of arrangement or involved in a Tribunal/
Arrangement.
scheme of arrangement, shall court as the
file the draft scheme of case may be.
arrangement,
39(3)
Issue of Share Information regarding loss of
within 2 days
Certificates
share certificates and issue of
of getting its
duplicate certificates.
information.
40(9)/(10) Certificate from Certifying that all certificates Within
1
PCS
have been issued within thirty month of the
days of the date of lodgement end of each
for
half financial
transfer,
subdivision, year.
consolidation,
renewal,
exchange or endorsement of
calls/allotment monies.
DIVESH GOYAL
22.
42(2)
Mob: +918130757966
Notice to Stock Exchange for At least 7

the record date and specifying working days
the purpose of record date
before the
record date
excluding the
date
of
intimation &
record date.
23. 44(3)
Details
regarding
the
voting
Intimation
to
Within
48
results
in
the
format
specified
by
Stock Exchange
hours of the
the Board.
regarding result
conclusion of
of
General
General
Meeting
Meeting
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS NONCONVERTIBLE DEBT SECURITIES OR NON-CONVERTIBLE REDEEMABLE
PREFERENCE SHARES OR BOTH
24. 50(1)
Interest/
The listed entity shall give prior At least 11
Redemption due intimation to the stock working days
exchange(s) regarding interest before
the
due and redemption due
date on which
interest/
redemption
amount
of
redeemable
shares/
debentures
shall be
payable.
25. 50(2)
Intimation
to intimation to raise funds to the prior to the
raise fund
stock exchange(s) wherein the meeting
of
proposal to raise funds through board
of
new non convertible debt prior directors
to the meeting of board of
directors securities or nonconvertible
redeemable
Record Date
DIVESH GOYAL
Mob: +918130757966
preference shares shall be

considered
Intimation to stock exchange
about the Board Meeting at
which the recommendation or
declaration of below given
matter is proposed to be
considered
issue of non convertible
debt securities, or
any other matter affecting
the rights or
interests of holders of non
convertible debt securities
or
non
convertible
redeemable
preference
shares
At least 2
working days
before the
board
meeting
excluding the
date of the
intimation
and date of
the meeting
yearly The listed entity shall

PREPARE and SUBMIT UNAUDITED
or
AUDITED
financial results on a half yearly
basis in the format as specified
by the Board
Annual Result
The listed entity shall
PREPARE and SUBMIT UNAUDITED
or
AUDITED
financial results on a half yearly
basis in the format as specified
by the Board
Certificate.
Certificate Regarding Payment
of Interest And Principal.
Within
45
days at the
end of Half
financial year
26.
50(3)
Recommendatio
n to Board
Meeting
27.
52(1)
Half
Result
28.
52(2)(a)
proviso
29.
57(1)
30.
60(2)
Record Date
Within 60
days at the
end
of
financial year
Within
2
days
of
interest due
The listed entity shall fix a At least 7
DIVESH GOYAL
Mob: +918130757966
record date for purposes of

payment of interest, dividend
and payment of redemption or
repayment amount or for such
other purposes as specified by
the stock exchange
working days
before the
record date
excluding the
date of
Intimation &
record date.
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS

INDIAN DEPOSITORY RECEIPTS
31.
69(1)
Indian
Depository
Receipt holding
pattern
&
Shareholding
details
The listed entity shall file with

the stock exchange the Indian
Depository Receipt holding
pattern on a quarterly basis
32.
70(1)
Financial Result
33.
71(1)
Annual Report
34.
72(2)
Corporate
Governance
35.
78(2)
Record Date
The listed entity shall file within such

periodical financial results with time as per
the stock exchange
the listing
requirements
of the home
country
The listed entity shall submit to at the
stock exchange an annual same time as
report
it is disclosed
to the security
holder in its
home cou
The listed entity shall submit to within such
stock exchange a comparative time as per
analysis of the corporate
the listing
governance provisions that are requirements
applicable in its home country of the home
country
Notice to stock exchange
At least 4
Within 15
days at the
end of each
quarter.
DIVESH GOYAL
Mob: +918130757966
regarding record date.
working days
before the
record date.
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS

SECURITISED DEBT INSTRUMENTS
36.
82(1)
Issue new
securities
its intention to issue new

securitized debt instruments
either through a public issue or
on private placement basis
37.
82(2)
Intimation
38.
82(3)
Financial
Information
the meeting of its board of

trustees,
at
which
the
recommendation or declaration
of issue of securitized debt
instruments or any other matter
affecting the rights or interests
of holders of securitized debt
instruments is proposed to
be considered
submit such statements, reports
or
information
including
financial
information
pertaining to Schemes to stock
exchange
39.
87(2)
Record Date
Notice to RSE regarding record

date.
Prior to issue
new
Securitised
Debt
Instrument.
At least 2
working days
before the
board
meeting.
Within 7 days
from the end
of
month/
actual
payment
date.
At least 7
working days
before the
record date
excluding the
date of
intimation &
record date
10
DIVESH GOYAL
Mob: +918130757966

(Author CS Divesh Goyal, GOYAL DIVESH & ASSOCIATES Company Secretary in Practice from
Delhi and can be contacted at csdiveshgoyal@gmail.com)
Disclaimer: The entire contents of this document have been prepared on the basis of relevant
provisions and as per the information existing at the time of the preparation. The observations of the
author are personal view and the authors do not take responsibility of the same and this cannot be quoted
before any authority without the written
11

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DIVESH GOYAL

Practicing Company Secretary

COMPLIANCE CALENDER AS PER SEBI LISTING

LODR- SERIES- XIII

COMMON OBLIGATIONS TO LISTED ENTITY

Practicing Company Secretary

OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SPECIFIED

The listed entity shall submit a

Practicing Company Secretary

Prior Intimation Intimation about the Meeting in

Practicing Company Secretary

Any Alteration in the form or At least 11

Any Alteration in the date on

debentures or bonds, or the

debentures or bonds, shall be

General Meeting Intimation:

Disclosure with respect to events Made within

The listed entity shall submit

Notice to Stock Exchange for At least 7

preference shares shall be

yearly The listed entity shall

record date for purposes of

OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS

The listed entity shall file with

The listed entity shall file within such

regarding record date.

OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS

its intention to issue new

the meeting of its board of

Notice to RSE regarding record

Practicing Company Secretary

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