The document outlines various time limits and compliance requirements for listed entities as per the SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015. Some key requirements include having a minimum of 3 directors on the board, holding board meetings at least once every 120 days, forming committees like the audit committee and nomination & remuneration committee, and quarterly and annual financial disclosures within 45 and 60 days respectively of the end of the period. It also specifies various other periodic disclosures around shareholding patterns, outcome of board meetings, related party transactions, and procedures regarding share transfers within prescribed timelines.
1. 2
Not less than 8 Years
3
4
5
2/3rd of the Director are independent
Chairman must be an independent director
Quorum must be 1/3rd or 2 whichever is highher
Minimum: 3 Directors
1
Time Limit:
Preservation of documents
Board of Directors Meetiing
Time Limit: Max of 120 days between 2 AGM's
( Clause 18)
( Clause 19)
Compliance certificate to be submitted by the company
Nomination &
Remuneration
Committee
All directors must be Non Executive
1/2 of the dircetors must be independent directors
Chairman shall be an independent director
Audit Committee
Committees
Minimum : 3 Directors
Time Limit:
4 Times in a year with a gap not exceeding 120 days
between 2 Board Meetings.
Time Limit:
Listing Obligation And Disclosure Requirement cut off dates for various filings
(LODR)
The listed entity shall submit a compliance certificate to the exchange, duly
signed by both the compliance officer of the listed entity and the authorised
representative of the share transfer agent, wherever applicable, within 1 month
of end of each half of the financial year
21 days from the end of each quarter a statement giving the number of investor
complaints pending at the beginning of the quarter, those received during the
quarter, disposed of during the quarter and those remaining
unresolved at the end of the quarter.
Time Limit:
( Clause 13)
( Clause 9)
( Clause 17)
Grievance Redressal Mechanism
2. The Chairman of the committee be Non- Executive
6
7
Other purpose as
specified: ( Ref
pg.25)
8
30 minutes of the meeting
9
sebi (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS 2015.pdf
Alteration in nature & form of securities
Any alteration on int on bonds,deb,red. Securities 11 days in advance
(excluding the date of intimation and date of meeting)
Time Limit:
Quarterly Compliances Report on Corporate Governance
Time Limit:
15 days from the close of the quarter
( Clause 20)
( Clause 21)
( Clause 21)
Stakeholder
Relationship
Committee
PART A SCHEDULE III LIST
Financial Results:
(excluding the date of intimation and date of meeting)
Outcome of Board Meeting
Part A Schedule III events
Prior Intimation to stock exchange about the BM
5 Days in advance
2 days in advance
( Clause 30)
( Clause 30)
Time Limit:
Within 24 Hours
(If the delay is beyond the 24 hours then co. should explain
the reasons for the dealay of the same)
No such mandatory requirement, it must be composed of the Board of Directors
of the company and see the risk attached to the company and also look at
Risk Management
Committee
3. 10
11
21 days from the end of each quarter
12
Time Limit:
13
Quarterly: 45 days
Year to Year:
14
15
16 ( Clause 36)
( Clause 34)
( Clause 33)
sub clause 3
Minimum period of 5 years on website or as
per archival policy
The company should disseminate the information on the website which is
given to the stock exchange
Financial Resuts
Standalone Financial Statement
Annual Report
Documents & Information to shareholders
Time Limit:
60 days from the end of the financial year along with the Audit Report
Time Limit:
Time Limit:
( Clause 31)
Within 10 days of such restructing resulting in a change
exceeding 2% of the Total paid up share capital
( Clause 31)
Adherance to AS-25 or INDAS-31 and as per Section 133 of the
Companies Act 2013 . The standalone financial results and
consolidated financial statement be prepared as per GAAP(India)
( Clause 33)
Time Limit:
Other than the last quarter
Share holding pattern
Capital Restructing
Time Limit:
21 working days of being approved and adopted in the AGM
Time Limit:
Not less than 21 days of the AGM
4. 17
18
19
Transfer
Transmission
Demat 7 days
Physical 21 days
Note: The Board of directors or any other delegated authority shall
attend to the formalities pertaining to tranfer of securities atlest
15 days a month
Note: If the transfer is not affected within 15 days then the company
will be responsible for the loss suffered by the aggrieved party
Note: If the transferor is having any objection then within 60 working days he
must intimate to the company
After the receipt of specified
documents
Differences In Signature
Time Limit:
15 days of such transfer
( Clause 40)
Unclaimed Securities
Time Limit:
30 days of such lodgement
( Clause 39)
For the loss of share certificate and issuance of the duplicate
certificate
( Clause 39)
( Clause 40)
Time Limit:
15 days from the date of receipt of such transfer
Time Limit:
( Clause 40)
Time Limit:
Within 2 days of getting the information
Note: For the procedural requirement ref to Schedule VI
Transfer or Transmission or Transposition of securities
5. Time Limit:
20
Time Limit:
21
5 working days excluding intimation & record date
22
30 days
23
Time Limit:
24
Within 2 working days of the change in the content
25
Time Limit:
Time Limit:
( Clause 42)
( Clause 42)
Atleast 7 working days excluding the dt of
intimation & dt of transfer
( Clause 42)
Time Limit:
( Clause 46)
Advertisment in the News Paper
Time Limit:
Within 48 Hours of the conclusion of the Board Meeting
( Clause 47)
( Clause 44)
Within 48 hours of the conclusion of the
General Meeting
Change in the content on the website of the company
Certificate From PCS that the transfer is done within time
Within 1 month at the end of each half financial year
certifying that all transfer have taken place 30 days of such
transfer
( Clause 40)
Record date or Date of closure of transfer of shares
Declaration of the dividend or cash bonus
Gap between 2 record dates
Voting results of the General Meeting
(1) The listed entity shall intimate the record date to all the stock
exchange(s) where it is listed for the following purposes:
(a) declaration of dividend;
(b) issue of right or bonus shares;
(c) issue of shares for conversion of debentures or any other convertible
security;
(d) shares arising out of rights attached to debentures or any other
convertible security
(e) corporate actions like mergers, de-mergers, splits and bonus shares,