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.

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