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Latest Compliance's as per Listing Obligation Disclosures Requirements

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Latest Compliance's as per Listing Obligation Disclosures Requirements

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Latest Compliance's as per Listing Obligation Disclosures Requirements

  1. 1. COMPLIANCE CALENDAR FOR LISTED COMPANIES Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 Regulation Reference Period Covered Last date of filing Mode of filing at NSE Mode of filing BSE Reg. 27(2)(a):Corporate Governance Report– Quarterly Compliance Report on Corporate Governance in prescribed format (applicable on the listed companies having paid up capital of more than 10 cr. And more than 25 cr. Of networth) (Within 15 days of close of the quarter) i) April to June-Q1 ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 i) 15th July ii) 15th Oct iii) 15th Jan iv) 15th April NEAPS BSE LISTING CENTRE Reg. 13(3):Statement Grievance Redressal Mechanism– A statement giving number of investor i) Complaints pending at the beginning of the quarter ii) Complaints received during the quarter iii) Complaints disposed during the quarter iv) Complaints remaining unresolved at the end of quarter (Within 21 days of close of the quarter) i) April to June-Q1 ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 i) 21st July ii) 21st Oct iii) 21st Jan iv) 21st April NEAPS BSE LISTING CENTRE Reg. 31(1)(b):Shareholding Pattern– Shareholding Pattern (Within 21 days of close of the quarter) i) April to June-Q1 ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 i) 21st July ii) 21st Oct iii) 21st Jan iv) 21st April NEAPS BSE LISTING CENTRE Reg. 32(1):Statement of deviation and variation– Statement of deviation and variation on quarterly basis for public issue, right issue, preferential issue indicating deviation as per regulation 32(1) i) April to June-Q1 ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 i) 31st July ii) 31st Oct iii) 31st Jan iv) 30thApril NEAPS BSE LISTING CENTRE Reg. 29(1)(a) & Proviso of Sub-Reg. (2):Prior intimation of Board Meeting for financial results-Prior intimation of Board i) April to June-Q1 At list five days in advance (excluding the date of intimation to stock NEAPS BSE LISTING CENTRE
  2. 2. COMPLIANCE CALENDAR FOR LISTED COMPANIES Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 Meeting in which financial results is proposed to be considered and such intimation shall include the date of such meeting of Board of Director ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 exchange and date of Board Meeting. (5 Clear days) Reg. 33(3)(a):Financial Results– Quarterly financial results with Limited Review Report. Reg. 33(3)(d):Annual Financial Results– Audited standalone and consolidated financial results for the financial year along with audit report and either form A (unmodified report) or Form B (modified report) (Within 45 days of close of the 1st, 2nd and 3rd quarter and Within 60 days of close of the 4th quarter) i) April to June-Q1 ii) July to Sep.- Q2 iii) Oct. to Dec.-Q3 iv) Jan to March- Q4 i) 14th Aug. ii) 14th Nov. iii) 14th Feb iv) 30th May NEAPS BSE LISTING CENTRE Reg. 7(3):Compliance Certificate related to share transfer– Compliance certificate duly signed by both the Compliance Officer and Authorised Representative of Transfer Agent (Within one Month of end of each half year) i) April to Sep.- H1 ii) Oct. to March- H2 i) 31st Oct ii) 30th April NEAPS BSE LISTING CENTRE Reg. 40(9) and 40(10):Compliance Certificate related to transfer or transmission or transposition of securities– Share Transfer Agent produce a certificate from Practicing CS certifying that all the certificate within one month of the end of each of half financial year have been issued within 30 days of that lodgement for transfer, sub-division, consolidation, renewal, exchange, or endorsement of calls/ allotments monies (Within one Month of end of each half year) i) April to Sep.- H1 ii) Oct. to March- H2 i) 31st Oct ii) 30th April NEAPS BSE LISTING CENTRE Reg. 14:Payment of listing fees– payment of listing fee or charges as applicable to the stock exchanges in the manner specified by SEBI i) April to March 30th April NEAPS BSE LISTING CENTRE Reg. 34(1):Annual Report– Annual Report to stock exchange within 21 working days of it being approved and adopted in the Annual General Meeting as per provision of i) April to March Within 21 working days from the AGM NEAPS BSE LISTING CENTRE
  3. 3. COMPLIANCE CALENDAR FOR LISTED COMPANIES Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 Companies Act, 2013 Reg. 44(3):Voting Result– The listed entity shall submit to stock exchange, within 48 hours of conclusion of general meeting, details regarding the voting results in specified format. Voting at General Meeting Within 48 hour form the conclusion of general meeting NEAPS BSE LISTING CENTRE Reg. 7(5):Appointment of Share Transfer Agent– – Within 7 days of agreement with RTA NEAPS BSE LISTING CENTRE Reg. 28(1):Obtaining of ‘in-principle approval’ before issue of securities – Prior to issuance of securities – – Reg. 29:Prior intimation of Board Meeting– Prior intimations of Board meeting for proposal to buy back of securities, voluntarily delisting, fund raising by public offer, right issue, ADR,GDR, FCCB, QIP, Debt issue, preferential issue, declaration of dividend, bonus issue – At least 2 clear working days in advance excluding the date of intimation and date of meeting NEAPS BSE LISTING CENTRE Reg. 29(3):Prior intimation of Board Meeting– Prior intimations of Board meeting for proposal to a) Any alteration in the form or nature of any of its securities that are listed or in the right or privileges of holders thereof b) Any alteration in the date on which, the interest on debentures or bonds or the redemption amount of redeemable shares or debentures or bonds shall be payable – At least 11 clear working days in advance NEAPS BSE LISTING CENTRE Reg. 30:Disclosure of price sensitive information– Listed entity shall first disclose to stock exchange(s) of all events, as specified in part A of the Schedule III, or information as soon as reasonably possible and not later than 24 hour from the occurrence of event or information. Provided that in case the disclosure is made after 24 hours of occurrence of the event or information the listed entity shall, along with such disclosures provide explanation for delay. Not later than 24 hours from the occurrence of the event or information as per Part A Schedule III NEAPS BSE LISTING CENTRE Event- 1. Acquisitions including agreement to acquire, Scheme of Arrangement(Merger/Demerger), sale or disposal of any unit, division subsidiary or other restructuring, 2. issue or forfeiture of securities, split consolidation, buy back, any restriction on transferability of securities, alteration in term or structure of securities
  4. 4. COMPLIANCE CALENDAR FOR LISTED COMPANIES Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 3. Revision in rating (debt/deposit) 4. Shareholder Agreement, joint venture agreement, family settlement agreement ( to the extent that it impacts the management and control of th listed Company, agreement contract with media company, 5. fraud/default by promoter/ KMP/ listed entity or arrest of KMP/Promoter 6. Change in director/KMP (MD/CEO/CFO/CS) 7. Appointment or discontinuation of Share Transfer Agent 8. Corporate Debt Restricting 9. One time settlement with Bank 10. Reference to BIFR and winding-up petition filed by any party/creditors 11. issuance of notice to securities holder or media 12. proceeding of annual and extraordinary general meeting 13. Amendment to MOA and AOA 14 Schedule of Analyst or institutional investor meet and presentations of financial results made by listed company to analysts or institutional investors 15. Commencement or any postponement in the date of commencement of commercial production or commercial operations of any unit/division 16. Change in the general character or nature of business 17. capacity addition of product launch 18. Awarding, bagging /receiving amendment or termination of awarded bagged orders/contracts not in the normal course of business 19. Agreement (viz. Loan Agreement (as borrower) or any other agreement which are binding and not in normal course of business) and revision or amendment or termination thereof. 20. Disruption of operations of any one or more units or division of the listed entity due to natural calamity (earthquake, flood, fire etc.) force majeure or events such as strikes, lockouts etc. 21. Effects arising out of change in regulatory framework applicable to listed entity 22. litigation/dispute/regulatory actions with impact 23. Giving of guarantee or indemnity or becoming a surety for any 3rd party 24. Granting, withdrawal, surrender, cancellation or suspension of key licenses or regulatory approvals. Reg. 30:Outcome of Meeting of Board of Directors Within 30 minutes of closure of meeting a) Dividends and/or cash bonuses recommended or declared or the decision to pass Within 30 minutes of the closure of meeting The intimation of outcome of the meeting shall also contain the time of NEAPS BSE LISTING CENTRE
  5. 5. COMPLIANCE CALENDAR FOR LISTED COMPANIES Under SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 any dividend and the date on which dividend shall be paid/dispatched. b) any cancellation of dividend with reasons thereof c) the decision of buy back d) the decision with respect of fund raising proposed to be undertaken e) increase in capital by issue of bonus share through capitalization including the date on which such bonus shares shall be credited / dispatched f) re-issue of forfeited shares or securities or the issue of shares or securities held in reserve for future issue or the creation in any form or manner of new shares or securities or other rights, privileges or benefits to subscribes to g) alteration in capital e) financial result f) decision on voluntary delisting by listed entity commencement and conclusion of the meeting Reg. 42(2):Intimation regarding fixing of Record date or Date of closure of transfer books- Intimation of record date for following purpose; a. declaration of dividend b. Issue of right or bonus shares c. issue of shares for conversion of debentures or any other convertible securities d. share arising out of right attached to debentures or any other convertible security e. corporate action like merger, demergers, splits and bonus shares f. such other purpose as may be specified by the stock exchange The intimation shall be given in advance of at least 7 working days excluding the date of intimation and record dare to the stock exchange of record dare specifying the purpose of the record date. NEAPS BSE LISTING CENTRE Reg. 42(3): 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 fixed for the purpose) AT least 5 clear working days in advance NEAPS BSE LISTING CENTRE Reg. 45(3):Change of name-On receipt of confirmation regarding name availability from ROC, before filing the request for change of name with the ROC in terms of provisions of Companies Act, 2013 and rules made thereunder the listed entity shall seek approval from stock exchange by submitting a certificate from chartered accountant stating compliance with the conditions at sub-regulation 45(1) Prior Approval NEAPS BSE LISTING CENTRE Reg. 46 (2): Any change/updation in the content of its website 2 working days from the date of such change

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