ROUTINE COMPLIANCES FOR LISTED COMPANIES

Quarter I :

April to June

April
Sr. No.
1.
2.
3.

4.

Compliances
Quarterly Compliance Report on Corporate
Governance
Shareholding Pattern to the Stock Exchange
Notice of Board Meeting to the Stock Exchange to
consider the Unaudited Quarterly Results OR Annual
Audited Results.

Time Period
Within 15th April

Clause
49

Within 21st April

At least 7 CLEAR
days before the
Meeting excluding
the date of meeting
and notice

35
41

Press release for Board Meeting (Eng.+ Vernacular)

At least 7 days before

the Meeting
Board Meeting to consider the Qtr. Results
Within 45 days of end of
Quarter (i.e on or before
44 days)
Fax of Qtr. Result to SE
Within 15 minutes of
end Board Meeting
Publication of Qtr. Result (Eng.+Hindi)
Within 48 hours of
Board Meeting
Submission of Qtr. Result with photocopies of news paper With 2-3 days of Board
cutting
Meeting
Reconciliation of Share Capital Audit Certificate from Within 30th April
CA/PCS for reconciliation of physical share and demat
shares
Certificate from a PCS Half yearly Compliance Within 30th April and
Certificate
shall be submitted to the
Exchange within 24
hours after signing of
PCS
Annual Listing Fees
Within 30 April
Annual Custodial fees to NSDL/CDSL
Within 30 April
Uploading of Shareholding Pattern, Quarterly Results & Immediately whenever
other prescribed report to SEBI CFDS website
ready for submission to
(NOT MANDATORY FOR ALL)
Stock Exchange

5.
5.
6.
7.
8.
9.

10.
11.
12.

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Compliance under SAST

Sr. No.
1.

Compliances
Information as per Reg. 8(3)

Time Period
30th April

Clause
8(3) of
SAST

May
Stock Exchange Compliances
Sr. No.
1.
2.
3.

Compliances
Limited Review Report from the Statutory Auditors (in case
submission of Unaudited last quarter results)
Intimation regarding submission of Annual Audited Results (if
unaudited last quarter results not submitted)
Submission of Annual Audited (along with audit report) if last
quarter unaudited results not submitted

Time Period
Within 45 days of
end of Quarter
Within 45 days of
end of Quarter
Within 30th May

Clause
41

Time Period
Upto 30 June

Clause
--

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June
ROC Compliances
Sr. No. Compliance
1.
Return of Deposit

Quarter II :

July to September

July
Sr. No.
1.
2.
3.

4.
5.
5.
6.
7.
8.
12.

Compliances
Quarterly Compliance Report on Corporate
Governance
Shareholding Pattern to the Stock Exchange
Notice of Board Meeting to the Stock Exchange to
consider the Unaudited Quarterly Results

Press release for Board Meeting (Eng.+ Vernacular)

Time Period
Within 15th July

Clause
49

Within 21st July

At least 7 CLEAR
days before the
Meeting excluding
the date of meeting
and notice

35
41

At least 7 days before

the Meeting
Board Meeting to consider the Qtr. Results
Within 45 days of end of
Quarter (i.e on or before
44 days)
Fax of Qtr. Result to SE
Within 15 minutes of
end Board Meeting
Publication of Qtr. Result (Eng.+Vernacular)
Within 48 hours of
Board Meeting
Submission of Qtr. Result with photocopies of news paper With 2-3 days of Board
cutting and Limited Review Report from the Auditors
Meeting
Reconciliation of Share Capital Audit Certificate from Within 30th July
CA/PCS for reconciliation of physical share and demat
shares
Uploading of Shareholding Pattern, Quarterly Results & Immediately whenever
other prescribed report to SEBI CFDS website
ready for submission to
(NOT MANDATORY FOR ALL)
Stock Exchange

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August - September
Sr. No.
1.
2.

3.
2.

Compliances
Book Closure Notice to SE, RTA, Depositories

Time Period
Before atleast 7 days
of Book Closure
Notice of Board Meeting to the Stock Exchange to consider At least 7 clear days
the Annual Results (incase last quarter unaudited results were before the Meeting
submitted)
excluding the date of
meeting and notice
Six Copies of Annual Reports to Stock Exchanges (Soft copy Along with notice of
to corp.relations@bseindia.com)
AGM
Book Closure Publication (Vernacular +English Newspaper)
Before atleast 7 days
of Book Closure

Quarter III:
Sr. No.
1.
2.
3.

4.
5.
5.
6.
7.

8.
9.

10.
11.

41

31(a)
CA

October to December

Compliances
Quarterly Compliance Report on Corporate
Governance
Shareholding Pattern to the Stock Exchange
Notice of Board Meeting to the Stock Exchange to
consider the Unaudited Quarterly Results

Press release for Board Meeting (Eng.+ Vernacular)

Time Period
Within 15th October

Clause
49

Within 21st October

At least 7 CLEAR
days before the
Meeting excluding
the date of meeting
and notice

35
41

At least 7 days before

the Meeting
Board Meeting to consider the Qtr. Results
Within 45 days of end of
Quarter (i.e on or before
44 days)
Fax of Qtr. Result to SE
Within 15 minutes of
end Board Meeting
Publication of Qtr. Result (Eng.+Vernacular)
Within 48 hours of
Board Meeting
Submission of Qtr. Result (along with a statement of With 2-3 days of Board
Assets & Liabilities for the half year ended) with Meeting
photocopies of news paper cutting and Limited Review
Report from the Auditors
Reconciliation of Share Capital Audit Certificate from Within 30th October
CA/PCS for reconciliation of physical share and demat
shares
Certificate from a PCS Half yearly Compliance Within 30th October and
Certificate
shall be submitted to the
Exchange within 24
hours after signing of
PCS
Proceedings of AGM
As soon as possible
Uploading of Shareholding Pattern, Quarterly Results & Immediately whenever
other prescribed report to SEBI CFDS website
ready for submission to
(NOT MANDATORY FOR ALL)
Stock Exchange

Quarter IV :

Clause
16

January to March

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31(d)
52

Sr. No.
1.
2.
3.

4.
5.
5.
6.
7.
8.
12.

Compliances
Quarterly Compliance Report on Corporate
Governance
Shareholding Pattern to the Stock Exchange
Notice of Board Meeting to the Stock Exchange to
consider the Unaudited Quarterly Results

Time Period
Within 15th January

Clause
49

Within 21st January

At least 7 CLEAR
days before the
Meeting excluding
the date of meeting
and notice

35
41

Press release for Board Meeting (Eng.+ Vernacular)

At least 7 days before

the Meeting
Board Meeting to consider the Qtr. Results
Within 45 days of end of
Quarter (i.e on or before
44 days)
Fax of Qtr. Result to SE
Within 15 minutes of
end Board Meeting
Publication of Qtr. Result (Eng.+Vernacular)
Within 48 hours of
Board Meeting
Submission of Qtr. Result with photocopies of news paper With 2-3 days of Board
cutting and Limited Review Report from the Auditors
Meeting
Reconciliation of Share Capital Audit Certificate from Within 30th January
CA/PCS for reconciliation of physical share and demat
shares
Uploading of Shareholding Pattern, Quarterly Results & Immediately whenever
other prescribed report to SEBI CFDS website
ready for submission to
(NOT MANDATORY FOR ALL)
Stock Exchange

Others: Prior intimation of two working days regarding Board Meetings

for buy back, Right, Dividend etc.
Simultaneous intimation regarding communication of proposal of
Bonus, if part of Agenda papers the Board of Director
Intimation to the Exchange within 15minutes of the conclusion of
the Board meeting regarding decision of payment of dividend,
bonus, interest etc.
21days prior intimation to the Exchange regarding fixation and
commencement of payment of dividend, interest on debenture,
redemption etc.
Intimation regarding change in Directors and Auditor.
Providing Proceedings of EGMs to the Exchange.
Intimation to the Exchange regarding strikes, Lockouts, Natural
Calamities, power disconnection, acquiring major order or any
news that may have effect on the price of the shares of the
Company.
Disclosure under clause 13 of Insider Regulations.

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