{"id":108749,"date":"2022-07-22T11:14:16","date_gmt":"2022-07-22T05:44:16","guid":{"rendered":"https:\/\/legalwindow.in\/?p=108749"},"modified":"2022-07-22T13:16:37","modified_gmt":"2022-07-22T07:46:37","slug":"compliances-under-companies-act-2013","status":"publish","type":"post","link":"https:\/\/www.legalwindow.in\/blog\/compliances-under-companies-act-2013\/","title":{"rendered":"Compliances under Companies Act, 2013 and SEBI (LODR) Regulations"},"content":{"rendered":"<p><span style=\"font-weight: 400;\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-108756 size-full\" title=\"Compliances under Companies Act 2013 \" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations.png\" alt=\"Compliances under Companies Act 2013 \" width=\"1200\" height=\"630\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations.png 1200w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations-600x315.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations-300x158.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations-1024x538.png 1024w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Compliances-under-Companies-Act-2013-and-SEBI-LODR-Regulations-768x403.png 768w\" sizes=\"auto, (max-width: 1200px) 100vw, 1200px\" \/><br \/>\nAre you concerned about compliances or want to learn more about what compliances under the Companies Act,\u00a02013 and SEBI (LODR) Regulations are? This article will mostly cover compliance with the Companies Act,\u00a02013, as well as the SEBI (LODR) Regulations.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Compliance is defined as the ability to comply with directions, regulations, or requests. Every year, all companies registered in India, including a private limited company, a one-person company, a limited company, and a section 8 company, must file <\/span><span style=\"font-weight: 400;\">Annual Returns<\/span><span style=\"font-weight: 400;\"> and <\/span><a href=\"https:\/\/legalwindow.in\/itr-filing-for-company\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">Income Tax Returns<\/span><\/a><span style=\"font-weight: 400;\">. Though <\/span><span style=\"font-weight: 400;\">Company Registration<\/span><span style=\"font-weight: 400;\"> is the most usual approach to start a business, several regulations must be followed after the company is formed. A private limited company established in India must ensure that the provisions of the <\/span><span style=\"font-weight: 400;\">Companies Act, 2013<\/span><span style=\"font-weight: 400;\"> are fulfilled.<\/span><\/p>\n<table style=\"width: 100%;\">\n<tbody>\n<tr style=\"border: 1px solid #555;\">\n<td><b>Table of Content<\/b><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Key\"><span style=\"font-weight: 400;\">Key Abstract<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Compliances\"><span style=\"font-weight: 400;\">Compliances as per Companies Act, 2013<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Types\"><span style=\"font-weight: 400;\">Types of Compliances under Companies Act, 2013<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#After\"><span style=\"font-weight: 400;\">After Incorporation Compliances under Companies Act, 2013<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Annual\"><span style=\"font-weight: 400;\">Annual Compliances under Companies Act 2013<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Event\"><span style=\"font-weight: 400;\">Event-based Compliances under\u00a0Companies Act, 2013<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Regulations\"><span style=\"font-weight: 400;\">Compliances as per SEBI (LODR) Regulations<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Endnote\"><span style=\"font-weight: 400;\">Endnote<\/span><\/a><\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2 id=\"Key\"><b>Key Abstract<\/b><\/h2>\n<p><span id=\"Compliances\">Compliance is mandated by law, and every company incorporated under the Companies Act,\u00a02013, or the prior Companies Act,\u00a01956, is obligated to follow the requirements of the laws. Non-compliance limits the company&#8217;s operations, and defaulters typically face monetary fines or jail for a certain length of time. Companies must adhere to the Act&#8217;s schedules and standards in order to preserve their good reputation and avoid fines.<\/span><\/p>\n<h2><b>Compliances as per Companies Act, 2013<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">A company registered in India must abide by the Companies Act, 2013.<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">The Companies Act,\u00a02013 covers corporate director appointment, qualification, remuneration, and retirement.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Issues such as how Board Meetings and Shareholders Meetings should be run.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">The preparation and presentation of annual accounts, as well as the continual maintenance of accounting books.<\/span><\/li>\n<\/ul>\n<p><span id=\"Types\">Want to get your Compliance Done? Get your <\/span><span style=\"font-weight: 400;\">Annual Compliances<\/span><span style=\"font-weight: 400;\">, <\/span><a href=\"https:\/\/legalwindow.in\/roc-llp-annual-filing\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">ROC LLP Annual Filing<\/span><\/a><span style=\"font-weight: 400;\">, <\/span><a href=\"https:\/\/legalwindow.in\/xbrl-filing\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">XBRL Filing<\/span><\/a><span style=\"font-weight: 400;\"> filed through the Legal Window.\u00a0<\/span><\/p>\n<h2><b>Types of Compliances under Companies Act, 2013<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Companies Act, 2013 compliances are classified into the following categories:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">After incorporation compliances under Companies Act, 2013<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Annual compliances under Companies Act, 2013<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Event based compliances under Companies Act, 2013<\/span><\/li>\n<\/ul>\n<p><span id=\"After\">Let us briefly explain them one by one.<\/span><\/p>\n<h2><b>After Incorporation Compliances under Companies Act, 2013<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Following the successful completion of business registration, several compliances are necessary under the Companies Act, 2013. After registration, each corporation becomes a separate legal entity and is required to comply with all of the Act&#8217;s legal requirements. The following is a list of all such mandatory compliances under the Companies Act,\u00a02013:<\/span><\/p>\n<ul>\n<li aria-level=\"1\"><b>Verification of Registered Office: <\/b>Following successful formation, every business is obliged to verify its registered office with the registrar of companies. At the time of incorporation, they have the option of communicating the same via SPICe Form. If this is not done, it must be informed via INC-22 within 30 days after incorporation.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Display Company Information: <\/b>Every registered company must display the following information outside its registered office, as well as above all business letters, billheads, and other official papers and publications:\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">The company&#8217;s name<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Number of Corporate Identification<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Official phone number Registered office address<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Website, email address, and fax number<\/span><\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>First Board of Directors Meeting: <\/b>Every newly formed corporation is obligated to hold its first board meeting within 30 days of its formation.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Auditor appointment: <\/b>Every business is obliged to nominate an auditor in a board meeting within 30 days of establishment, who will be affirmed or modified in the subsequent AGM.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Issuance of Share Certificates: <\/b>Every corporation must provide share certificates to the shareholders listed on the incorporation document. All incorporation data, as well as share certificate numbers, must be included in the company&#8217;s records.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Directors&#8217; Interest Disclosure: <\/b>In the first board meeting conducted within 30 days of establishment, each director must declare their financial interests in other registered businesses using Form MBP-1.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Maintenance of Minutes: <\/b>Every business must keep records of all meetings that are held. Within 15 days after the meeting, these minutes must be written and must be completed within 30 days.<\/li>\n<\/ul>\n<ul>\n<li id=\"Annual\"><b>Keeping up with statutory registers: <\/b>Every registered business must create and keep certain statutory records at its registered office in accordance with Sections 85 and 88 of the Companies Act, 2013. The Register of Members, the Register of Shareholders, the Register of Charges, the Register of Employee Stock Options, etc. are some examples of these statutory registers.Any registered company that neglects to keep these required registers shall be penalised and fined in accordance with the Act.<\/li>\n<\/ul>\n<h2><b>Annual Compliances under Companies Act 2013<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">After covering all of the after-incorporation compliances under the Companies Act of 2013, let&#8217;s talk about the compliances under the Act that must be fulfilled annually. A list of each of these yearly compliances under the Companies Act, 2013 is provided below:<\/span><\/p>\n<ul>\n<li aria-level=\"1\"><b>Board meetings: <\/b>We&#8217;ll talk about the need for Annual Board Meetings here. The first board meeting that each registered business must hold, which we covered in the post incorporation compliances, is in addition to this requirement. Every registered business must hold a minimum of four board meetings annually. A maximum of 120 days may pass between two consecutive board meetings.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Receipt of the MBP-1 form: <\/b>Each director must fill out Form MBP-1 and disclose any ownership interests in other registered entities. Every currently serving director is mandated to make this disclosure at the first board meeting of the year. Every director is required to disclose any changes to his or her interests at the next board meeting after they occur, in addition to the yearly disclosure.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Receipt of the DIR-2 form: <\/b>Directors of the company submit disclosures of their non-disqualification using the DIR-2 form. Every financial year, the corporation must make sure this disclosure form is received.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Making of the Director&#8217;s Report: <\/b>Every registered company&#8217;s board of directors is required to create a director&#8217;s report in accordance with Section 134 of the\u00a0Companies Act, 2013. At the time of the annual filing, this Director&#8217;s report will be included with the Form AOC-4. The director&#8217;s report will include details about the company&#8217;s finances, current conditions, any composition changes, dividends that have been distributed, debts, etc.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Making and distributing financial statements: <\/b>Every company is expected to maintain its financial records and distribute them along with the notice of its annual general meeting, the director&#8217;s report, and the auditor&#8217;s report.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Selecting an auditor: <\/b>Every registered business must select an auditor. The appointment of an auditor is for a maximum of five years, and the <a href=\"https:\/\/legalwindow.in\/roc-company-annual-filing\/\" target=\"_blank\" rel=\"noopener\">ROC<\/a> must receive notification of the appointment in Form ADT-1. Previously, during those five years, this appointment had to be approved by the AGM once a year. This criterion has been dropped, though.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Submitting E-Form MGT-7: <\/b>Every firm must file its annual return on e-Form MGT-7, according to Section 92 of the 2013 Companies Act. It must be submitted within six days of the annual general meeting date. Every business with paid-up capital of more than 10 crore rupees, as well as listed corporations, is obliged to have a professional company secretary certify the annual return.<\/li>\n<li><b>Submitting E-Form AOC-4: <\/b>Along with your annual report, you must also submit e-Form AOC-4, which asks for your company&#8217;s financials, within 30 days of the date of your annual general meeting. The following files must be sent with this form as attachments:<\/li>\n<\/ul>\n<ol>\n<li style=\"list-style-type: none;\">\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Copy of Balance sheet<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Copy of Profit and Loss A\/c<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Notice of AGM<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Director\u2019s Report<\/span><\/li>\n<li id=\"Event\">Auditors\u2019 Report<\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<h2><b>Event-based Compliances under\u00a0Companies Act, 2013<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">We spoke about the annual compliances required by the Companies Act,\u00a02013, even if nothing has changed with the company&#8217;s situation. However, in addition to these routine compliances, there are a number of even-based compliances mandated by the Companies Act, 2013 that must be followed. These requirements under the Companies Act, 2013 are inflexible and must be followed without fail. Any delay in submitting these forms after the due date may result in fines and sanctions.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Examples of a few of these event-based compliances are provided below:<\/span><\/p>\n<ul>\n<li aria-level=\"1\"><b>Changing of the Directors: <\/b>Any change to the board of directors, including an appointment, termination, or change in designation, must be reported to the registrar by completing Form DIR-12 within 30 days of the change.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Change of Registered Office Address: <\/b>Any company may alter its registered office for a variety of causes. It must, however, inform the <a href=\"https:\/\/legalwindow.in\/roc-company-annual-filing\/\" target=\"_blank\" rel=\"noopener\">Registrar of Companies<\/a> of such a change. Various possibilities for a change in registered office are as follows:\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Only INC-22 must be filed for intimation if the change occurs inside the city&#8217;s municipal boundaries.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">A separate resolution is approved if the change occurs inside the state but beyond the city&#8217;s limits. The filing of E-Form MGT-14 and INC-22 is necessary.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">On the other hand, there are extra compliance requirements if the registered office is moved to another state or outside of one ROC&#8217;s jurisdiction. Additionally, a corporation must submit an INC-23 and an INC-28 together with MGT-14 and INC-22 to request clearance from the central government.<\/span><\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Growth of Authorized Capital: <\/b>First, adopt a specific resolution in the EGM to change the MOA if you intend to increase the authorised capital of any company. To register such a special resolution, submit MGT-14. The final step is to submit SH-4 to the ROC.<\/li>\n<\/ul>\n<ul>\n<li aria-level=\"1\"><b>Name change for the Company: <\/b>The following procedures must be undertaken if a registered company&#8217;s members desire to alter the name:\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Check to see whether the name is available, and then reserve it using the RUN service.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Adopt a special resolution, and then submit<a href=\"https:\/\/www.mca.gov.in\/MCA21\/dca\/help\/instructionkit\/NCA\/Form_MGT-14_help.pdf\" target=\"_blank\" rel=\"noopener\"> MGT-14<\/a>.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Send INC-24 to the government for endorsement.<\/span><\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<ul>\n<li id=\"Regulations\"><b>Registration, Amendment, and Charge Settlement: <\/b>In the event that a charge, or security provided to secure a loan of any amount, is created by the company, these are the compliances required under the Companies Act, 2013. A new charge must be created or an existing charge must be modified before submitting an e-Form CHG-1.On the other hand, e-Form CHG-4 must be filed in the event of a charge settlement.<\/li>\n<\/ul>\n<h2><b>Compliances as per SEBI (LODR) Regulations<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">All registered companies with recognized securities listed on acknowledged stock exchanges are subject to the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (the &#8220;SEBI LODR&#8221;). A general compliance responsibility is placed on the listed business by Regulation 5 of the SEBI LODR standards to ensure that key managerial people, directors, promoters, or anyone else interacting with the listed entity complies with any duties or obligations imposed on them under the regulations. The SEBI Listing Regulations 2015 state that a listed entity must adhere to the following requirements:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Quarterly Compliance<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Half- Yearly Compliances<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Yearly Compliances<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"https:\/\/legalwindow.in\/event-based-compliances-as-per-companies-act-2013\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">Event-Based Compliance<\/span><\/a><\/li>\n<\/ul>\n<p><span style=\"font-weight: 400;\">Let us discuss them one by one in detail.<\/span><\/p>\n<h3><b>Quarterly Compliance<\/b><\/h3>\n<p><span style=\"font-weight: 400;\">Quarterly Compliances as per SEBI (LODR) Regulations, 2015:<\/span><\/p>\n<table>\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>S. NO.\u00a0<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>REGULATION<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>COMPLIANCE<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>DUE DATE<\/b><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>1.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 13(3)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">STATEMENT OF INVESTOR\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">COMPLAINTS 21 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>2.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 27(2)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">CORPORATE GOVERNANCE REPORT\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">21 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>3.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 31 (1)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">SHAREHOLDING PATTERN\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">21 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>4.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 33<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">FINANCIAL RESULTS\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">45\/60 DAYS FROM THE END OF QTR<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>5.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 74 (5)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">COMPLIANCE CERTIFICATE BY RTA (DEMAT)\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">15 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>6.\u00a0<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 76<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">RECONCILIATION OF SHARE CAPITAL AUDIT\u00a0<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REPORT 30 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3><b>Points to Ponder<\/b><\/h3>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Within 45 days after the end of each quarter (other than the prior quarter), the listed firm must report its quarterly and annual standalone financial statements to the stock exchange, together with the Limited Review Report or Audit Report, as appropriate.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">The listed entity must submit its annual audited standalone financial results for the previous fiscal year, the audit report, and either a Statement on Impact of Audit Qualifications (applicable to audit reports with modified opinion(s)) or a declaration (applicable to audit reports with unmodified opinion) within sixty days of the end of the fiscal year (s).<\/span><\/li>\n<\/ul>\n<h3><b>Half- Yearly Compliance<\/b><\/h3>\n<p><span style=\"font-weight: 400;\">Half- Yearly Compliance as per SEBI (LODR) Regulations, 2015:<\/span><\/p>\n<table>\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>S. NO.\u00a0<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>REGULATION<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>COMPLIANCE<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>DUE DATE<\/b><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>1.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 23 (9)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">STATEMENT OF RELATED PARTY TRANSACTION<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">30 DAYS FROM PUBLICATION OF RESULTS<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>2.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 33 &amp; 52<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">FINANCIAL RESULTS<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">45 DAYS FROM THE END OF QTR.<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p><span style=\"font-weight: 400;\"><strong>Note:<\/strong> Along with the financial component Financial Results for the Half Year Include<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Assets and Liabilities Statement<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Payables Statement<\/span><\/li>\n<\/ul>\n<h3><b>Annual Compliance\u00a0<\/b><\/h3>\n<p><span style=\"font-weight: 400;\">The following are the Annual Compliances under the following Heads:<\/span><b>\u00a0<\/b><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Annual Compliances under SEBI (LODR) Regulations, 2015\u00a0<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">SEBI (SAST) Regulations, 2011\u00a0<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">SEBI (Depositories and Participants) Regulations, 2018<\/span><\/li>\n<\/ul>\n<table>\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>Sr. No<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>REGULATION<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>COMPLIANCE<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>DUE DATE<\/b><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>1.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG 7(3)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">COMPLIANCE CERTIFICATE ON SHARE TRANSFER FACILITY<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ONE MONTH FROM END OF FY<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>2.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 24A<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ANNUAL SECRETARIAL COMPLIANCE REPORT<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">60 DAYS FROM END OF FY<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>3.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 30<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ANNUAL DISCLOSURE OF SHAREHOLDING (SAST REG.)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">WITHIN 7 DAY OF END OF FY<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>4.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 31 (4)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ANNUAL DISCLOSURE OF ENCUMBRANCE (SAST)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">WITHIN 7 DAY OF END OF FY<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>5.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 34<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">SUBMISSION OF ANNUAL REPORT<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">SIMULTANEOUSLY TO MEMBERS<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>6.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">REG. 40 (9)<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">PCS CERTIFICATE ON SHARE TRANSFER<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ONE MONTH FROM END OF FY<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>7.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">SEBI CIRCULAR<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">ANNUAL DISCLOSURE BY LARGE CORPORATE BORROWER<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">45 DAYS FROM END OF FY<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2 id=\"Endnote\"><b><a href=\"https:\/\/legalwindow.in\/roc-company-annual-filing\/\" target=\"_blank\" rel=\"noopener\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone size-full wp-image-108762\" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Get-ROC-Annual-filings-starting-from.png\" alt=\"ROC Annual filings in Jaipur\" width=\"1000\" height=\"200\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-ROC-Annual-filings-starting-from.png 1000w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-ROC-Annual-filings-starting-from-600x120.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-ROC-Annual-filings-starting-from-300x60.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-ROC-Annual-filings-starting-from-768x154.png 768w\" sizes=\"auto, (max-width: 1000px) 100vw, 1000px\" \/><\/a><br \/>\nEndnote<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">It is critical to remember that this Company Act, 2013 compliances are a time-consuming and recurring procedure. Compliance with the Companies Act,\u00a02013 is an ongoing activity, not a one-time event. Only event-based compliances under the Companies Act, 2013 are incident-based. All registered companies with specified securities that are listed on recognised stock exchanges are governed by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (&#8216;SEBI LODR&#8217;). Regulation 5 of the SEBI LODR regulations establishes a general compliance responsibility on the listed firm to ensure that senior executive officers, trustees, organisers, or any other person engaging with the body corporate adhere to any responsibilities or commitments allocated to them under the regulatory requirements.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">We follow up with our clients on a frequent basis in accordance with the company&#8217;s compliance schedule. Visit <\/span><a href=\"https:\/\/legalwindow.in\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">Legal Window<\/span><\/a><span style=\"font-weight: 400;\"> for further information and advice.<\/span><\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Are you concerned about compliances or want to learn more about what compliances under the Companies Act,\u00a02013 and SEBI (LODR) Regulations are? This article will mostly cover compliance&hellip;<\/p>\n","protected":false},"author":5,"featured_media":108755,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[26],"tags":[],"class_list":["post-108749","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-compliance"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Compliances under Companies Act 2013 and SEBI (LODR) Regulations<\/title>\n<meta name=\"description\" content=\"Read article on Compliances under Companies Act 2013 and SEBI (LODR) Regulations. 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