{"id":1713,"date":"2021-01-28T06:24:19","date_gmt":"2021-01-28T06:24:19","guid":{"rendered":"https:\/\/swaritadvisors.com\/blog\/?p=1713"},"modified":"2021-01-28T06:24:21","modified_gmt":"2021-01-28T06:24:21","slug":"annual-compliance-for-a-listed-company-as-per-sebi-regulations","status":"publish","type":"post","link":"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/","title":{"rendered":"Annual Compliance for a Listed Company as per SEBI Regulations"},"content":{"rendered":"\n<p class=\"has-drop-cap\">Any company whose shares has been listed on the RSE (Recognized Stock Exchange), such as National Stock Exchange and Bombay Stock Exchange are termed as Listed Company. Further, it shall be note worthy to state that the operations, management, and affairs of a Listed Company are dealt as per the provisions of the SEBI Act, and the Regulations made thereunder. In this blog, we will discuss in detail about the Annual Compliance for a Listed Company as per the SEBI Regulations.<\/p>\n\n\n\n<div id=\"ez-toc-container\" class=\"ez-toc-v2_0_65 counter-hierarchy ez-toc-counter ez-toc-light-blue ez-toc-container-direction\">\n<p class=\"ez-toc-title\">Table of Contents<\/p>\n<label for=\"ez-toc-cssicon-toggle-item-6a3ad466d5a02\" class=\"ez-toc-cssicon-toggle-label\"><span class=\"\"><span class=\"eztoc-hide\" style=\"display:none;\">Toggle<\/span><span class=\"ez-toc-icon-toggle-span\"><svg style=\"fill: #999;color:#999\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" class=\"list-377408\" width=\"20px\" height=\"20px\" viewBox=\"0 0 24 24\" fill=\"none\"><path d=\"M6 6H4v2h2V6zm14 0H8v2h12V6zM4 11h2v2H4v-2zm16 0H8v2h12v-2zM4 16h2v2H4v-2zm16 0H8v2h12v-2z\" fill=\"currentColor\"><\/path><\/svg><svg style=\"fill: #999;color:#999\" class=\"arrow-unsorted-368013\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"10px\" height=\"10px\" viewBox=\"0 0 24 24\" version=\"1.2\" baseProfile=\"tiny\"><path d=\"M18.2 9.3l-6.2-6.3-6.2 6.3c-.2.2-.3.4-.3.7s.1.5.3.7c.2.2.4.3.7.3h11c.3 0 .5-.1.7-.3.2-.2.3-.5.3-.7s-.1-.5-.3-.7zM5.8 14.7l6.2 6.3 6.2-6.3c.2-.2.3-.5.3-.7s-.1-.5-.3-.7c-.2-.2-.4-.3-.7-.3h-11c-.3 0-.5.1-.7.3-.2.2-.3.5-.3.7s.1.5.3.7z\"\/><\/svg><\/span><\/span><\/label><input type=\"checkbox\"  id=\"ez-toc-cssicon-toggle-item-6a3ad466d5a02\"  aria-label=\"Toggle\" \/><nav><ul class='ez-toc-list ez-toc-list-level-1 ' ><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-1\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Concept_of_Listed_Company\" title=\"Concept of Listed Company\">Concept of Listed Company<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-2\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Applicable_SEBI_Regulation_for_Annual_Compliance_of_a_Listed_Company\" title=\"Applicable SEBI Regulation for\nAnnual Compliance of a Listed Company\">Applicable SEBI Regulation for\nAnnual Compliance of a Listed Company<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-3\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Key_Annual_Compliance_for_a_Listed_Company\" title=\"Key Annual Compliance for a Listed\nCompany\">Key Annual Compliance for a Listed\nCompany<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-4\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Requirement_of_Compliance_Certificate_for_Maintaining_STF\" title=\"Requirement of Compliance\nCertificate for Maintaining STF\">Requirement of Compliance\nCertificate for Maintaining STF<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-5\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Filing_of_Investor_Complaints\" title=\"Filing of Investor Complaints\">Filing of Investor Complaints<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-6\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Payment_of_Listing_and_Other_Charges\" title=\"Payment of Listing and Other\nCharges\">Payment of Listing and Other\nCharges<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-7\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Disclosures_concerning_Related_Party_Transactions\" title=\"Disclosures concerning Related\nParty Transactions \">Disclosures concerning Related\nParty Transactions <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-8\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Filing_of_Annual_Secretarial_Compliance_Report\" title=\"Filing of Annual Secretarial\nCompliance Report\">Filing of Annual Secretarial\nCompliance Report<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-9\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Declaration_for_Compliance_with_the_Code_of_Conduct\" title=\"Declaration for Compliance with the\nCode of Conduct\">Declaration for Compliance with the\nCode of Conduct<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-10\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Report_concerning_Corporate_Governance\" title=\"Report concerning Corporate\nGovernance\">Report concerning Corporate\nGovernance<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-11\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Details_concerning_Shareholding_Pattern\" title=\"Details concerning Shareholding\nPattern\">Details concerning Shareholding\nPattern<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-12\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Statement_concerning_Deviation_or_Variation\" title=\"Statement concerning Deviation or\nVariation\">Statement concerning Deviation or\nVariation<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-13\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Submission_of_the_Quarterly_Financial_Results_together_with_Limited_Review_Report\" title=\"Submission of the Quarterly\nFinancial Results together with Limited Review Report\">Submission of the Quarterly\nFinancial Results together with Limited Review Report<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-14\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Submission_of_the_Quarterly_Financial_Results_together_with_Auditors_Report\" title=\"Submission of the Quarterly\nFinancial Results together with Auditors Report\">Submission of the Quarterly\nFinancial Results together with Auditors Report<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-15\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Submission_of_the_Statement_concerning_Assets_and_Liabilities_Cash_Flow_Statement\" title=\"Submission of the Statement\nconcerning Assets and Liabilities &amp; Cash Flow Statement \">Submission of the Statement\nconcerning Assets and Liabilities &amp; Cash Flow Statement <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-16\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Submission_of_Annual_Report\" title=\"Submission of Annual Report \">Submission of Annual Report <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-17\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Filing_of_Changes_in_Annual_Report\" title=\"Filing of Changes in Annual Report \">Filing of Changes in Annual Report <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-18\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Filing_of_Certificate_from_Practicing_Company_Secretary\" title=\"Filing of Certificate from\nPracticing Company Secretary \">Filing of Certificate from\nPracticing Company Secretary <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-19\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Furnishing_of_Voting_Results_to_Stock_Exchange\" title=\"Furnishing of Voting Results to\nStock Exchange \">Furnishing of Voting Results to\nStock Exchange <\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-20\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Publication_of_Financial_Results_in_Newspaper\" title=\"Publication of Financial Results in\nNewspaper\">Publication of Financial Results in\nNewspaper<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-21\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Reconciliation_of_the_Report_of_Share_Capital_Audit\" title=\"Reconciliation of the Report of\nShare Capital Audit\">Reconciliation of the Report of\nShare Capital Audit<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-22\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Disclosure_concerning_Aggregate_Shareholding_and_Voting_Rights_Pattern_in_Target_Company\" title=\"Disclosure concerning Aggregate\nShareholding and Voting Rights Pattern in Target Company\">Disclosure concerning Aggregate\nShareholding and Voting Rights Pattern in Target Company<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-23\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Annual_Disclosure_of_Encumbered_Shares_by_Promoters\" title=\"Annual Disclosure of Encumbered\nShares by Promoters\">Annual Disclosure of Encumbered\nShares by Promoters<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-24\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Initial_and_Annual_Disclosure\" title=\"Initial and Annual Disclosure\">Initial and Annual Disclosure<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-25\" href=\"https:\/\/swaritadvisors.com\/blog\/annual-compliance-for-a-listed-company-as-per-sebi-regulations\/#Conclusion\" title=\"Conclusion\">Conclusion<\/a><\/li><\/ul><\/nav><\/div>\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Concept_of_Listed_Company\"><\/span>Concept of Listed Company<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>The term \u201cListed Company\u201d is defined\nunder section 2 (52) of the Companies Act 2013. Based on the provisions of the\nsaid section, any company that is eligible to raise its funds by issuing shares\nto the general public and is eligible to list its shares on a recognized stock\nexchange as well is termed as Listed Company. Further, these companies are\nlisted by the provisions of the SEBI Act 1992 and the rules made there under.<\/p>\n\n\n\n<p>Also, it shall be significant to state\nthat unlike an Unlisted Company, a listed company is owned by its shareholders.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Applicable_SEBI_Regulation_for_Annual_Compliance_of_a_Listed_Company\"><\/span>Applicable SEBI Regulation for\nAnnual Compliance of a Listed Company<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>The SEBI Laws that are prevalently\napplicable to the Annual Compliance for a Listed Company are as follows:<\/p>\n\n\n\n<ol><li>SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015;<\/li><li><strong>SEBI (Depositories and Participants) Regulations 2018<sup><a href=\"https:\/\/www.sebi.gov.in\/legal\/regulations\/jan-2020\/securities-and-exchange-board-of-india-issue-of-capital-and-disclosure-requirements-regulations-2018-last-amended-on-january-01-2020-_41542.html\" class=\"text-primary\"><strong><em>[1]<\/em><\/strong><\/a><\/sup>;<\/strong><\/li><li>SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011;<\/li><\/ol>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Key_Annual_Compliance_for_a_Listed_Company\"><\/span>Key Annual Compliance for a Listed\nCompany<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>The key annual compliance for a listed\ncompany are as follows:<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Requirement_of_Compliance_Certificate_for_Maintaining_STF\"><\/span>Requirement of Compliance\nCertificate for Maintaining STF<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Every listed company needs to file a\ncompliance certificate concerning the maintenance of STF or Share Transfer\nFacility, within one month from the end of each half year, i.e., by 30<sup>th<\/sup>\nApril and 30<sup>th<\/sup> October. Further, the said compliance certificate\nmust be as per regulation 7 (3) of the SEBI (Listing Obligations and Disclosure\nRequirements) 2015.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Filing_of_Investor_Complaints\"><\/span>Filing of Investor Complaints<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Next Annual Compliance for a Listed\nCompany is to file Investor Complaints or the Mechanism for Grievance Redressal\non a quarterly basis under Rule 13 (3) of the SEBI (Listing Obligations and\nDisclosure Requirements) 2015.Further, the same must be filed within a period\nof 21 days, starting from the end of each quarter, i.e., 21<sup>st<\/sup>\nJanuary, 21<sup>st<\/sup> April, 21<sup>st<\/sup> July, and 21<sup>st<\/sup>\nOctober.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Payment_of_Listing_and_Other_Charges\"><\/span>Payment of Listing and Other\nCharges<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>As\nper the next annual compliance for a Listed Company, a company needs to file\nthe listing fee and miscellaneous charges on an annual basis as per Rule 14 of\nthe SEBI (Listing Obligations and Disclosure Requirements) 2015.Further, all\nthe charges and fees imposed must be paid by the company with thefirst month\nfrom the end of each financial year, i.e., by 30<sup>th<\/sup> April.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Disclosures_concerning_Related_Party_Transactions\"><\/span>Disclosures concerning Related\nParty Transactions <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Every\nlisted company needs to disclose all the transactions concerning related party\non a Half Yearly basis. Further, such transaction will be disclosed under the\nprovisions of Rule 23 (9) of the SEBI (Listing Obligations and Disclosure\nRequirements) 2015.&nbsp; Moreover, such a\ndisclosure must be made within 30 days, starting from the date of publication\nof the consolidated and standalone financial results for each half year.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Filing_of_Annual_Secretarial_Compliance_Report\"><\/span>Filing of Annual Secretarial\nCompliance Report<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>As\nper the next annual compliance for a Listed Company, a company needs to file\nthe report of Annual Secretarial Compliance based on section 24 A of the SEBI\n(Listing Obligations and Disclosure Requirements) 2015. Further, such a filing\nwill be done on an annual basis within a period of 60 days from the end of each\nfinancial year, i.e., by 30<sup>th<\/sup> May.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Declaration_for_Compliance_with_the_Code_of_Conduct\"><\/span>Declaration for Compliance with the\nCode of Conduct<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>All the directors of a listed company need\nto file declaration concerningCompliance with the Code of Conductunder Rule 26\n(3) of the SEBI (Listing Obligations and Disclosure\nRequirements) 2015. Further, such a declaration must be filed at 1<sup>st<\/sup>\nBM (Board Meeting) in every financial year.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Report_concerning_Corporate_Governance\"><\/span>Report concerning Corporate\nGovernance<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>The\ndirectors of a listed company need to file a report concerning Corporate Governance\nwith SEBI on a quarterly basis as per Rule 27 (2) of the SEBI (Listing\nObligations and Disclosure Requirements) 2015. Further, the said report must be\nfiled within a period of 15 days from the end of each quarter, i.e., (15<sup>th<\/sup>\nJan, 15<sup>th<\/sup> April, 15<sup>th<\/sup> July, and 15<sup>th<\/sup> Oct).<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Details_concerning_Shareholding_Pattern\"><\/span>Details concerning Shareholding\nPattern<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Based on Rule 31 (1) (b) of the\nSEBI (Listing Obligations and Disclosure Requirements) 2015, the directors of a\nlisted private company needs to file details of the shareholding pattern within\na period of 21 days from the end of each quarter, i.e., 21<sup>st<\/sup> Jan, 21<sup>st<\/sup>\nApril, 21<sup>st<\/sup> July, and 21<sup>st<\/sup> Oct.<\/p>\n\n\n\n<p>However,\nif in case the entities that have listed their shares and securities on SME\n(Small and Medium) Exchange will need to file the declaration within 21 days\nfrom the end of each half year, i.e., 21<sup>st<\/sup> April and 21<sup>st<\/sup>\nOctober.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Statement_concerning_Deviation_or_Variation\"><\/span>Statement concerning Deviation or\nVariation<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>As per rule 32 (1) of the SEBI\n(Listing Obligations and Disclosure Requirements) 2015, a listed company needs\nto file a statement concerning Deviation or Variation till the time the\nobjective for which the proceeds were raised is fully achieved.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Submission_of_the_Quarterly_Financial_Results_together_with_Limited_Review_Report\"><\/span>Submission of the Quarterly\nFinancial Results together with Limited Review Report<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>The\ndirectors of a listed company need to file a report concerning financial\nresults, together with Limited Review Report on a quarterly basis as per Rule\n33 (3) (a) and (b) of the SEBI (Listing Obligations and Disclosure\nRequirements) 2015.Further, such a report must be furnished within 45 days,\nstarting from the end of each quarter, i.e., 15<sup>th<\/sup> Feb, 15<sup>th<\/sup>\nMay, 15<sup>th<\/sup> Aug, and 15<sup>th<\/sup> Nov).<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Submission_of_the_Quarterly_Financial_Results_together_with_Auditors_Report\"><\/span>Submission of the Quarterly\nFinancial Results together with Auditors Report<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>The\ndirectors of a listed company need to file a report concerning financial\nresults, together with Auditors Report on an annual basis as per Rule 33 (3)\n(d) and (e) of the SEBI (Listing Obligations and Disclosure Requirements) 2015.\nFurther, such a report must be furnished within 60 days, starting from the end\nof each half year, i.e., 30<sup>th<\/sup> May of every year.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Submission_of_the_Statement_concerning_Assets_and_Liabilities_Cash_Flow_Statement\"><\/span>Submission of the Statement\nconcerning Assets and Liabilities &amp; Cash Flow Statement <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>All the directors of a listed private\ncompany need to furnish the statement concerning Assets and Liabilities and\nCash Flow on a half yearly basis under Rule 33\n(3) (f) and (g) of the SEBI (Listing Obligations and Disclosure Requirements)\n2015. Further, such a statement must be submitted within 45 days, starting from\nthe end of the financial year.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Submission_of_Annual_Report\"><\/span>Submission of Annual Report <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>It is mandatory for the directors of the\ncompany to submit the Annual Report under Rule 34 (1) (a), 34 (2) (f), 36 (2),\nand 43 (a) of the SEBI (Listing Obligations and\nDisclosure Requirements) 2015. Further, such a report must be submitted not\nless than 21 days prior to the holding of AGM (Annual General Meeting).<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Filing_of_Changes_in_Annual_Report\"><\/span>Filing of Changes in Annual Report <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>The\ndirectors of a listed company need to file all the changes in the Annual Report\nas per Rule 34 (1) (b) of the SEBI (Listing Obligations and Disclosure Requirements)\n2015. Further, such changes are required to be filed on an annual basis and not\nlater than 48 hours after AGM.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Filing_of_Certificate_from_Practicing_Company_Secretary\"><\/span>Filing of Certificate from\nPracticing Company Secretary <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Every listed company needs to file the\ncertificate obtained from the Practicing Company Secretary on Half Yearly basis\nunder Rule 40 (9) and 40 (10) of the SEBI (Listing\nObligations and Disclosure Requirements) 2015, within a period of one month\nfrom the end of each half year, i.e., 30<sup>th<\/sup> April and 30<sup>th<\/sup>\nOctober.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Furnishing_of_Voting_Results_to_Stock_Exchange\"><\/span>Furnishing of Voting Results to\nStock Exchange <span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>As per Rule 44 (3) of the SEBI\n(Listing Obligations and Disclosure Requirements) 2015, every listed company\nneeds to furnish the voting results to the recognized stock exchange, on an\nannual basis, within 48 hours from the end of the Board Meeting.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Publication_of_Financial_Results_in_Newspaper\"><\/span>Publication of Financial Results in\nNewspaper<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Within\n48 hours from the conclusion of the Board Meeting, every listed company needs\nto publish the financial results in the Newspaper as per Rule 47 (1) (b) and 47\n(3) and (4) of the SEBI (Listing Obligations and Disclosure Requirements) 2015.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Reconciliation_of_the_Report_of_Share_Capital_Audit\"><\/span>Reconciliation of the Report of\nShare Capital Audit<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>All the Directors of a Listed Company\nneed to reconcile the report of Share Capital Audit on a quarterly basis as per\nRule 76 (1) of the SEBI (Depositories and Participants) Regulations 2018.\nFurther, such a report must be filed within a period of 30 days from the end of\neach quarter, i.e., by 30<sup>th<\/sup> January, 30<sup>th<\/sup> April, 30<sup>th<\/sup>\nJuly, 30<sup>th<\/sup> October)<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Disclosure_concerning_Aggregate_Shareholding_and_Voting_Rights_Pattern_in_Target_Company\"><\/span>Disclosure concerning Aggregate\nShareholding and Voting Rights Pattern in Target Company<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Within 7 working days, from the end of\neach financial year, the directors of a listed company need to disclose the\naggregate shareholding and voting rights pattern in the Target Company. The\nsame will be based on Rule 30 of the SEBI (Substantial Acquisition of Shares\nand Takeover) Regulations 2011.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Annual_Disclosure_of_Encumbered_Shares_by_Promoters\"><\/span>Annual Disclosure of Encumbered\nShares by Promoters<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Within 7 working days, from the end of\neach financial year, the promoters of a listed company need\nto make an annual disclosure concerning encumbered shares. Further, the same\nwill be based on Rule 31 (4) of the SEBI (Substantial Acquisition of Shares and\nTakeover) Regulations 2011.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Initial_and_Annual_Disclosure\"><\/span>Initial and Annual Disclosure<span class=\"ez-toc-section-end\"><\/span><\/h3>\n\n\n\n<p>Based on a circular issued by SEBI on\n26.11.2018, a listed company needs to make initial disclosure within a period\nof 30 days from the beginning of the year and 45 days from the end of the\nfinancial year.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Conclusion\"><\/span>Conclusion<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>In a nutshell, any company who can list\nits shares on a recognized stock exchange to allow the general public to\nsubscribe them, which will ultimately help the company in raising funds for its\noperations and management is known as Listed Company. <\/p>\n\n\n\n<p>Further, these companies are governed by the provisions of the SEBI Act 1992, together with the rules made thereunder, such as SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015, SEBI (Depositories and Participants) Regulations 2018, and the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011.<\/p>\n\n\n\n<p>Moreover, it is mandatory for every\nlisted company to comply with the annual compliance required by it otherwise,\nit will be held liable to pay hefty penalties and fines imposed by MCA.<\/p>\n\n\n\n<p>Lastly, in case of any other confusion concerning Annual Compliance for a listed Company or any other matter concerned with it, reach out to <strong><a class=\"text-primary\" href=\"https:\/\/swaritadvisors.com\/contact-us\">Swarit Advisors<\/a><\/strong>, we have a team of skilled and proficient CAs and CAs, who are there to cater to all your problems.<\/p>\n\n\n\n<p><b>Also, Read:<\/b> <mark style=\"background: #fffd03 !important;\"><a href=\"https:\/\/swaritadvisors.com\/blog\/major-risks-faced-by-micro-finance-company-in-india\/\">What are the Major Risks Faced by Micro Finance Company in India?<\/a><\/mark><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Any company whose shares has been listed on the RSE (Recognized Stock Exchange), such as National Stock Exchange and Bombay Stock Exchange are termed as Listed Company. Further, it shall be note worthy to state that the operations, management, and affairs of a Listed Company are dealt as per the provisions of the SEBI Act, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":1714,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[64],"tags":[298],"acf":[],"_links":{"self":[{"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/posts\/1713"}],"collection":[{"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/comments?post=1713"}],"version-history":[{"count":4,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/posts\/1713\/revisions"}],"predecessor-version":[{"id":1719,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/posts\/1713\/revisions\/1719"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/media\/1714"}],"wp:attachment":[{"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/media?parent=1713"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/categories?post=1713"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/swaritadvisors.com\/blog\/wp-json\/wp\/v2\/tags?post=1713"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}