Stock Exchange Listed Company Compliances Services

Initial Compliance Requirements

  • Listing Agreement Compliance: Adherence to stock exchange norms and SEBI’s Listing Obligations and Disclosure Requirements (LODR). 
  • IPO Documentation: Filing a detailed prospectus and following SEBI’s Issue of Capital and Disclosure Requirements for public offerings. 
  • Dematerialization of Shares: Registering with NSDL or CDSL to offer shares in electronic form for trading. 

Annual Compliance

  • Annual General Meeting (AGM): Held within six months of the fiscal year’s end. 
  • Annual Return Filing (Form MGT-7A): Submitting company details to the RoC. 
  • Financial Statements (Form AOC-4): Filing of audited financials with the RoC. 
  • Director’s Report: Includes mandated disclosures (e.g., CSR, risk management). 
  • Income Tax Return Filing: Submitting annual tax returns. 

Quarterly Compliance

  • Quarterly Financial Results: Submission to stock exchanges and publication in newspapers. 
  • Shareholding Pattern (Form SHP): Filing shareholding details within 21 days of quarter-end. 
  • Corporate Governance Report (Form CG): Reporting governance practices per SEBI LODR. 
  • Statement of Investor Complaints (Form CIRP): Filing investor complaint status. 

Corporate Governance Compliance

  • Board Composition: Compliance with SEBI norms, including independent and female directors. 
  • Mandatory Committees: Establishing Audit, Nomination, Remuneration, and CSR committees. 
  • Committee Meetings: Conducting regular committee meetings as per SEBI guidelines. 
  • Related Party Transactions: Approval and disclosure of RPTs with arm’s length pricing. 

Disclosure and Transparency Compliance

  • Insider Trading Regulations: Establishing a code of conduct for insider trading prevention. 
  • Continuous Disclosures: Timely announcements of material events on the stock exchange portal. 
  • Annual Corporate Governance Report: Filing as required by SEBI Regulation 27. 
  • Code of Conduct: Adopting and publishing the conduct code on the company website. 

Securities Compliance

  • Issuance of Shares and Debentures: Compliance for rights issues, bonus shares, ESOPs, and debt. 
  • Takeover Code Compliance: Adhering to SEBI regulations during ownership changes. 
  • Dividend Policy: Required disclosure for top 500 companies by market capitalization. 

SEBI (LODR) Regulations Compliance

  • Financial Results Disclosure: Submission of quarterly and annual results within SEBI timelines. 
  • Management Discussion and Analysis (MDA): Inclusion in the annual report. 
  • Material Subsidiary Compliance: Ensuring material subsidiaries meet SEBI requirements. 
  • Promoter Shareholding Disclosure: Filing promoter holdings and lock-in details. 

Annual Secretarial Compliance

  • Secretarial Audit (Form MR-3): Conducted by a Company Secretary for annual filings. 
  • Annual Secretarial Compliance Report: SEBI submission of compliance report. 
  • Corporate Governance Compliance Certificate: Provided by a practicing Company Secretary. 

Audit and Financial Compliance

  • Statutory Audit: Annual audit by an independent Chartered Accountant. 
  • Internal and Risk Management Audits: Regular internal audits for operational compliance. 
  • Cost Audit: Applicable for specified industries as per regulations. 
  • Tax Audit: Conducted based on turnover requirements. 
  • IND-AS Compliance: Adherence to Indian Accounting Standards for listed entities. 

Employee-Related Compliance

  • ESOP Compliance: Adhering to SEBI regulations for employee stock options. 
  • PF and ESI: Compliance with employee welfare contributions. 
  • Gratuity and Bonus: Ensuring statutory payments. 
  • Appointment of KMP: Compliance with positions like MD, CEO, CFO, and Company Secretary. 

Corporate Social Responsibility (CSR) Compliance

  • CSR Committee Meetings: Conducting regular meetings and obtaining board approval. 
  • CSR Reporting: Disclosure of CSR spending in the board report. 
  • CSR Fund Utilization: Ensuring accurate utilization and filing of CSR funds. 

Statutory Registers and Records

  • Statutory Registers: Maintaining records of members, directors, and charges. 
  • Minutes Book: Documenting board, committee, and shareholder meetings. 
  • RPT Register: Keeping a register of related party transactions. 

Intellectual Property and Data Protection

  • IP Registration: Trademarks, patents, and copyright registrations. 
  • Data Privacy and Cybersecurity: Adherence to data protection and cybersecurity standards. 
  • Information Technology Act Compliance: Compliance for online transactions and data protection. 

Miscellaneous Compliance

  • Investor Education and Protection Fund (IEPF): Transferring unclaimed dividends or shares. 
  • Environmental Compliance: Adhering to environmental laws where applicable. 
  • Whistleblower Policy: Implementing a whistleblower policy with grievance mechanisms. 

Closure and Winding Up Compliance

  • Voluntary Liquidation: Adhering to statutory requirements during winding-up. 
  • Final ROC Filings & SEBI Delisting Compliance: Filing final closure documents and meeting SEBI’s delisting regulations if applicable. 

 

Zelta Consultancy’s end-to-end services cover every aspect of running a Limited Liability Partnership in India. We help LLPs stay compliant, manage finances, and plan for sustainable growth. Contact us today to learn how we can support your LLP journey!

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