Ashish Sharma & Co.
108, Ist Floor, Durga Tower,
(RDC), Raj Nagar, Ghaziabad. (U.P)
Mobile: 9312495375, 7838076488
GUIDANCE CHECK LIST – LISTED COMPLIANCES
Quarter I : April to June
April
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to At least 7 clear days
consider the Annual Results before the Meeting
excluding the date of
meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before
the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end
of Quarter (i.e. upto
29 th )
4. Fax of Qtr. Result to SE Within 15 minutes of
Board Meeting
5. Submission of Qtr. Result with photocopies of news With 2-3 days of Board
paper cutting Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of
Board Meeting
7. Shareholding Pattern to the Stock Exchange along with Within 21 days of end
Free Float Indices under clause 35 of Quarter
8. Secretarial Audit Certificate from CA/PCS for Within 30 days of end
reconciliation of physical share and Demat shares of Quarter
9. Clause 47C Certificate from a PCS – Half yearly Within 1 month of end
Compliance Certificate of half year and within
24 hours after signing
of PCS
10. Quarterly Compliance Report on Corporate Governance Within 15 days of end
under Clause 49 of Quarter
11. Annual Listing Fees Within 30 days
12. Annual Custodial fees to NSDL/CDSL Within 30 days
13. Uploading of Shareholding Pattern and Quarterly Results Immediately whenever
to SEBI EDIFAR website ready for submission to
Stock Exchange
Takeover Compliance
Sr. No. Compliances Time Period
1. Information as per Reg. 8(3) 30 th April
Insider Trading Compliances
Sr. No. Compliances Time Period
1. Disclosure of Shareholding by Directors/ designated 30 th April
employee/ dependents under regulation 13(3) and
13(6)
May
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in Within 2 months of end
case the results are Unaudited) of Quarter
June
ROC Compliances
Sr. No. Compliance Time Period
1. Return of Deposit Upto 30 June
Quarter II : July to September
July
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Notice of Board Meeting to the stock exchange to At least 7 clear days
consider the Qtr. Results before the Meeting
excluding the date of
meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before
the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end
of Quarter (i.e. upto
29 th)
4. Fax of Qtr. Result to SE Within 15 minutes of
Board Meeting
5. Submission of Qtr. Result with photocopies of news With 2-3 days of Board
paper cutting Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of
Board Meeting
7. Shareholding Pattern to the Stock Exchange under Clause Within 21 days of end
35 of Quarter
8. Secretarial Audit Certificate from CA/PCS for Within 30 days of end
reconciliation of physical share and demat shares of Quarter
9. Quarterly Compliance Report on Corporate Governance Within 15 days of end
under Clause 49 of Quarter
10. Uploading of Shareholding Pattern and Quarterly Results Immediately whenever
to SEBI EDIFAR website ready for submission to
Stock Exchange
ROC Compliances
Sr. No. Compliances Time Period
1. Filing of B/s & P&L A/c Within 30 days AGM
2. Filing of Annual Return Within 60 days AGM
August
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in Within 2 months of end
case the results are Unaudited) of Quarter
2. Book Closure Notice to SE, RTA, NSDL and CDSL Before atleast 15 days
of Book Closure
3. Book Closure Publication (Hindi +English Newspaper) Before atleast 7 days of
Book Closure
Quarter III: October to December
October
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to At least 7 clear days
consider the Annual Results before the Meeting
excluding the date of
meeting and notice
2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before
the date of meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end
of Quarter( i.e. upto
29 th)
4. Fax of Qtr. Result to SE Within 15 minutes of
Board Meeting
5. Submission of Qtr. Result with photocopies of news With 2-3 days of Board
paper cutting Meeting
6. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of
Board Meeting
7. Shareholding Pattern to the Stock Exchange under Clause Within 21 days of end
35 of Quarter
8. Secretarial Audit Certificate from CA/PCS for Within 30 days of end
reconciliation of physical share and demat shares of Quarter
9. Clause 47 Certificate from a PCS – Half yearly Within 1 month of end
Compliance Certificate of half year and within
24 hours after signing
of PCS
10. Minutes of AGM Within 15 days of
AGM
11. Quarterly Compliance Report on Corporate Governance Within 15 days of end
under Clause 49 of Quarter
12. Uploading of Shareholding Pattern and Quarterly Results Immediately whenever
to SEBI EDIFAR website ready for submission to
Stock Exchange
November
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in Within 2 months of end
case the results are Unaudited) of Quarter
Quarter IV : January to March
January
Stock Exchange Compliances
`
Sr. No. Compliances Time Period
1. Notice of Board Meeting to the Stock Exchange to At least 7 clear days
consider the Annual Results before the Meeting
excluding the date of
meeting and notice
`2. Press release for Board Meeting (Eng.+Hindi) At least 7 days before
the Meeting
3. Board Meeting to consider the Qtr. Results Within 30 days of end
of Quarter (i.e. upto
29 th )
4. Fax of Qtr. Result to SE Within 15 minutes of
Board Meeting
5. Publication of Qtr. Result (Eng.+Hindi) Within 48 hours of
Board Meeting
6. Submission of Qtr. Result with photocopies of news With 2-3 days of Board
paper cutting Meeting
7. Shareholding Pattern Under Clause 35 Within 21 days of end
of Quarter
8. Secretarial Audit Certificate from PCS for reconciliation Within 30 days of end
of physical share and demat shares of Quarter
9. Quarterly Compliance Report on Corporate Governance Within 15 days of end
Under Clause 49 of Quarter
February
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Limited Review Report from the Statutory Auditors (in Within 2 months of end
case the results are Unaudited) of Quarter
General Compliances
Sr. No. Compliances Time Period
2. Corporate Governance Compliance Certificate from Before the date of
Statutory Auditors/ PCS Director’s Report
3. Submission of Annual Results Immediately
4. Six Copies of Annual Report along with Corp. Gov. As soon as it is issued
Comp. Cert. By Statutory Auditors/PCS
6. Disclosure of Shareholding under Reg. 8(3) at every Within 30 days of
record date fix for declaration of dividend record date
7. Minutes of every General Meeting Within 30 days of
General Meeting
8. Filing of Audited Balance Sheet & Profit and Loss A/c Within 30 days of
with ROC AGM
9. Filing of Annual Return with ROC Within 60 days of
AGM
Transitional Provisions
Stock Exchange Compliances
Sr. No. Compliances Time Period
1. Intimation regarding change in company’s directors Within 30 days in form
32
2. Intimation regarding change in Statutory Auditor Within 30 days
3. Intimation regarding change in Regd. office Within 30 days in form
18
4. Intimation regarding alteration in capital Within 30 days in form
no. 5
