SEBI (LISTING
OBLIGATIONS AND DISCLOSURE REQUIREMENTS) COMPLIANCE CHECKLIST FOR BOMBAY STOCK
EXCHANGE (BSE)
Pursuant Regulation 10 of the Listing
Regulations about the listed entity shall file the reports, statements,
documents, filings and any other information with the recognised stock
exchange(s) on the electronic platform as specified by the Board or the recognised
stock exchange(s). Accordingly as per BSE Circular No. DCS/COMP/20/2015-16
dated November 30, 2015 it is mandatory for filing of various information with
the exchange in electronic mode through online web portal (http://listing.
|
Regulation |
PARTICULARS |
DUE DATE |
PERIOD |
|
Reg 7 (3) |
Compliance
Certificate certifying maintaining physical & electronic transfer
facility- duly signed by compliance officer of the company and AR of STA |
Within one
month of end of each half of the financial year-31 october, 30 April |
Half Yearly |
|
Reg 13 (3) |
Statement of Investor complaints |
within 21
days from the end of each quarter |
Quarterly |
|
Reg 27 (2) |
Corporate
Governance Report |
within
15 days
from close of the quarter |
Quarterly |
|
Reg 31 |
Shareholding
Pattern separately for each class of securities, in the format specified by
the Board - |
Within 21
days from quarter end. |
Quarterly |
|
Reg 33 |
quarterly and
year-to-date standalone financial results + Audit Report (of subsidiaries
also) |
Within 45
days from quarter end |
Quarterly |
|
Annual Audited
standalone Financial results + audit
report with Statement on Impact of
Audit Qualifications or declaration (of subsidiaries also) |
within 60
days from end of Financial Year. |
Annually |
|
|
Reg 34 |
Annual Report-
submit to the stock exchange and publish on its website, with the notice of
the annual general meeting..... In the event of any changes to the annual
report, the revised copy along with the details of and explanation for the
changes shall be sent not later than 48 hours after the annual general
meeting |
Within 21
working days of it being approved and adopted in the annual general
meeting |
Annually |
|
Reg 40 (9) |
Certificate from
Practicing Company Secretary-certifying that all certificates have been
issued within 30 days of the date of lodgment for transfer,
sub-division, consolidation, renewal, exchange or endorsement of
calls/allotment monies |
Within one
month of the end of each half of the financial year- 31 october, 30
April |
Half
Yearly |
|
SEBI- DP Reg.55A |
Reconciliation
of Share Capital Audit held in depositories and in physical form with the
issued / listed capital- quarterly basis to the stock exchanges audited by CA
or PCS |
Within 30
days from quarter end |
Quarterly |
Other Compliance Requirements
|
Regulation |
Particulars |
Due Date |
Period |
|
Reg 6 |
appointment of CS as the Compliance officer |
|
|
|
Reg 14 |
Listing Fees & Other charges |
|
|
|
Reg 29 |
Notice for Board Meeting to consider the prescribed matters-advance
notice of at least 5 days for Financial Result as per Reg 29 1 (a). in case
of other matters as stated in Reg 29 1 (b) to (f) - 2 Working days in advance
(Excluding the date of the intimation and date of the meeting) to Stock
Exchange,advance notice of 11 working days in case matter to alteration in
i)Securities;ii) date of interest or redemption of Debenture/bond as per Reg
29(3) (a),(b) |
|
|
|
Reg 30 |
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 both 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 |
24 hours from the occurrence of event or
information |
|
|
Outcome of Board Meeting (Schedule III Part A- (4) |
within 30 minutes of the closure of the meeting |
|
|
|
Reg 42 |
Notice for Record Date \ Corporate Action- The Company must ensure that
there is a gap of at least 30 days between 2 book closure and/or
record date. The Company shall give an advance notice of at least 7working
days (Excluding the date of the intimation and record date/book closure
tart date) to the Stock Exchange for corporate actions (Book closure/Record
date) fixed for the purpose of corporate benefits like mergers, de-mergers,
split,bonus, dividend, rights etc. The listed entity shall recommend or
declare all dividend and/or cash bonuses at least 5 working days (excluding
the date of intimation and the record date) before the record date fixed for
the purpose |
|
|
|
Reg 43 |
Declaration of Dividend and disclose the dividend on per share basis only |
|
|
|
Reg 43 A |
Dividend Distribution Policy- The listed entities other than top five
hundred listed entities based on market capitalization may disclose
their dividend distribution policies on a voluntary basis in their annual
reports and on their websites |
|
|
|
Reg 44 |
Voting Result- listed entity shall submit to the stock exchange after
conclusion of its General Meeting |
within 48 hours |
|
|
Reg 46 |
The listed entity shall disseminate the information as stated in Reg 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 2 working days from the date of such change in content |
within 2 working days from the
date of such change in content |
|
|
Reg 30(1) - SEBI Takeover Regs 2011 |
Every person, who together with persons acting in concert with him, holds
shares or voting rights entitling him to exercise 25% or more of the
voting rights in a target company, shall disclose their aggregate
shareholding and voting rights AS OF 31,MARCH every year |
within 7 working days from the ens
of FY to every Stock Exchange where it is listed and at the Registered Office
of the Company |
Annually |
|
Reg
30(2) - SEBI Takeover Regs 2011 |
The promoter of every target company shall together with persons acting
in concert with him, disclose their aggregate shareholding and voting rights
as of the thirty-first day of March, in such target company in such form as
may be specified. |
|
|
|
Reg 7(2)- SEBI (Prohibition of Insider
Trading) Regs, 2015 |
Continual Disclosures :(a)Every promoter, employee and director
of every company shall disclose to the company the number of such securities
acquired or disposed of within two trading days of such transaction if the
value of the securities traded, whether in one transaction or a series of
transactions over any calendar quarter, aggregates to a traded value in excess
of ten lakh rupees or such other value as may be specified;(b). Every
company shall notify the particulars of such trading to the stock
exchange on which the securities are listed within two trading days of
receipt of the disclosure or from becoming aware of such
information.(Transaction type include buy/sales/pledge/revoke/Invoke) |
within two trading days of such transaction |
|
(Disclaimer: the above contents are subject to change (if any) notified by the concerned regulatory authorities)
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