Sl. No.

Regulation No.

Compliance Particular

Compliance Period

(Due Date)

1.

Regulation 7 (5)

Intimation of appointment  / Change of Share Transfer Agent.

Within 7 days of Agreement with RTA.

2.

Regulation 17(2)

Meeting of Board of Directors

The board of directors shall meet at least 4 times a year, with a maximum time gap of 120 days between any two meetings.

3.

Regulation 18(2)

Meeting of the audit committee

The audit committee shall meet at least 4 times in a year and not more than 120 days shall elapse between two meetings.

4.

Regulation 29

Notice for Board Meeting to consider the prescribed matters.

The Company shall give an advance notice of:

a) at least 5 days for Financial Result as per Regulation 29 1 (a)

b) in case matters as stated in regulation 29 1 (b) to (f)

 2 Working days in advance (Excluding the date of the intimation and date of the meeting) to Stock Exchange.

c)  11 working days in case matter related to alteration in i) Securities ;ii) date of interest or redemption of Debenture / bond as per regulation 29(3) (a) ,(b).

5

Regulation 30 

Outcome of Board Meeting (Schedule III Part A- (4)

within 30 minutes of the closure of the meeting

6.

Regulation 31

Holding of specified securities and shareholding pattern

Reg. 31(1)(a):  1 day prior to listing of its securities on the stock exchange(s);

Reg. 31(1)(c): within 10 days of any capital restructuring of the listed entity resulting in a change exceeding 2 % of the total paid-up share capital.

7.

Regulation 39

Issuance of Certificates or Receipts/Letters/Advices for securities and dealing with unclaimed securities.

Reg. 39(2): The listed entity shall issue certificates or receipts or advices, as applicable, of subdivision, split, consolidation, renewal, exchanges, endorsements, issuance of duplicates thereof or issuance of new certificates or receipts or advices, as applicable, in cases of loss or old decrepit or worn out certificates or receipts or advices, as applicable within 30 days from the date of such lodgement.

Reg. 39(2): The listed entity shall submit information regarding loss of share certificates and issue of the duplicate certificates, to the stock exchange within 2 days of its getting information.

8.

Regulation 40

Transfer or transmission or transposition of securities

After due verification of the documents, the Listed Company shall register transfers of its securities in the name of the transferee(s) and issue certificates or receipts or advices, as applicable, of transfers; or issue any valid objection or intimation to the transferee or transferor, as the case may be, within a period of 15 days from the date of such receipt of request for transfer:

Transmission  requests are processed for securities held in dematerialized mode and physical mode within 7 days and 21 days respectively, after receipt of the specified documents

9.

Regulation 46

Company Website:.

Listed entity shall disseminate the information as stated in Regulation 46 (2)

Shall update any change in the content of its website within 2   working days from the date of such change in content.

10.

Regulation 50

Intimation to stock exchange(s).

Listed Company shall give prior intimation at least 11 working days before the date on and from which the interest on debentures and bonds, and redemption amount of redeemable shares or of debentures and bonds shall be payable.

11.

Regulation 57

Other submissions to stock exchange(s).

Listed Company shall submit a certificate to the stock exchange within 2 days of the interest or principal or both becoming due that it has made timely payment of interests or principal obligations or both in respect of the non convertible debt securities.

12.

Regulation 82

Intimation and filings with stock exchange(s).

Intention to issue new securitized debt instruments either through a public issue or on private placement basis :

Reg. 82(2) : Intimation of Meeting

at least  2 working days in advance, excluding the date of the intimation and date of the meeting, regarding 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

13.

SCHEDULE III

PART A: DISCLOSURES OF EVENTS OR INFORMATION: SPECIFIED SECURITIES

Events which shall be disclosed without any application of the guidelines for materiality as specified in sub-regulation (4) of regulation (30)

(7B) In case of resignation of an independent director of the listed entity, within 7 days from the date of resignation, the following disclosures shall be made to the stock exchanges by the listed entities as mentioned in 7B (i), 7B(ii) & 7B(iii).

14.

Regulation 106J

Period of subscription and issue of allotment letter.

A rights issue shall be open for subscription in India for a period as applicable under the laws of its home country but in no case less than 10 days.

15.

Regulation 108

Application for Listing.

The issuer / the issuing company, shall, make an application for listing, within 20 days from the date of allotment, to one or more recognized stock exchange(s) along with the documents specified by stock exchange(s) from time to time.

Applicable Laws/Acts

Due Dates

Compliance Particulars

Forms / Filing mode

Companies Act, 2013

Within 180 Days From The Date Of Incorporation Of The Company

As per Section 10 A (Commencement of Business) of the Companies Act, 2013, inserted vide the Companies (Amendment) Ordinance, 2018 w.e.f. 2nd November, 2018, a Company Incorporated after the ordinance and having share capital shall not commence its business or exercise any borrowing powers unless a declaration is filed by the Director within 180 days from the date of Incorporation of the Company with the ROC.

MCA E- Form INC 20A

Companies Act, 2013

30 Days From The Date Of Deployment of E-Form on MCA Portal

Every existing body corporate other than a company governed by the NFRA Rules (Rule 3(1)), shall inform the (NFRA) about details of the auditor(s) as on 13th November 2018.

Form NFRA-1

(e-form not yet deployed Ministry (ROC))

Companies Act, 2013

within 30 days of the form being made available by the MCA

All Specified Companies (i.e. Companies who get supplies of goods or services from micro and small enterprises and whose payments to micro and small enterprise suppliers exceed 45 days from the date of acceptance or the date of deemed acceptance of the goods or services as per section 9 of the Micro, Small and Medium Enterprises Development Act, 2006) to file details of all outstanding dues to Micro or small enterprises suppliers existing on 22nd January, 2019 within thirty days.

Form MSME -1 One time return is required to be filed within 30 days of the form being made available by the MCA

(earlier within 30 days of publication of this order i.e. 21.02.2019.)

Due date of subsequent returns is mentioned below:

a) For Half year period April to September 31st October

b) For half year period October to March 30th April

Companies Act, 2013

30 Days From The Date Of Deployment Of E-Form on MCA Portal

Filing of form BEN-2 under the Companies (Significant Beneficial Owners) Rules, 2018.

Form BEN 2

(e-form not yet deployed by Ministry (ROC))

Companies Act, 2013

On or before 25.04.2019

Filing of the particulars of the Company & its registered office.

(by every company incorporated on or before the 31.12.2017.)

Active Form

INC -22

Companies Act, 2013

With in a period of 180 days from the date of incorporation of the Company

Filing of details about the subscription amount

(by every company incorporated on or before the 02.11.2018.)

Form INC- 20A