{"id":111343,"date":"2022-12-12T12:17:29","date_gmt":"2022-12-12T06:47:29","guid":{"rendered":"https:\/\/legalwindow.in\/?p=111343"},"modified":"2022-12-12T18:07:31","modified_gmt":"2022-12-12T12:37:31","slug":"sebi-compliance-calendar","status":"publish","type":"post","link":"https:\/\/www.legalwindow.in\/blog\/sebi-compliance-calendar\/","title":{"rendered":"Periodical SEBI Compliances"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-111346 size-full\" title=\" SEBI Compliance calendar\" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2.png\" alt=\" SEBI Compliance calendar\" width=\"1200\" height=\"630\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2.png 1200w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2-600x315.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2-300x158.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2-1024x538.png 1024w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Monthly-December-2022-Legal-Obligations-Legal-Updates-for-India-2-768x403.png 768w\" sizes=\"auto, (max-width: 1200px) 100vw, 1200px\" \/><\/p>\n<p>The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 apply to all registered companies having recognized securities listed on recognized stock exchanges (the &#8220;SEBI LODR&#8221;). Regulation 5 of the SEBI LODR standards impose a general compliance duty on the listed company to ensure that key managerial personnel, directors, promoters, or anyone else dealing with the listed organization complies with any responsibilities or obligations imposed on them under the rules.<br \/>\nIn this article, we will go through the Quarterly \/ Half-Yearly \/ Annual, and General SEBI Compliance calendar.<\/p>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Table of Content<\/strong><\/p>\n<ul>\n<li><a href=\"#short\">Short Glimpse<\/a><\/li>\n<li><a href=\"#securities\">The Securities and Exchange Board of India<\/a><\/li>\n<li><a href=\"#functions\">SEBI&#8217;s Powers and Functions<\/a><\/li>\n<li><a href=\"#regulations\">The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/a><\/li>\n<li><a href=\"#calendar\">SEBI Compliance Calendar<\/a><\/li>\n<li><a href=\"#forward\">Way Forward<\/a><\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2 id=\"short\"><strong>Short Glimpse<\/strong><\/h2>\n<p>Companies that are listed on stock exchanges must follow the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 of SEBI (LODR).<\/p>\n<p>But before we shall move on to discuss SEBI Compliance, let us take a short brief about SEBI and SEBI LODR Regulations, 2015.<\/p>\n<h2 id=\"securities\"><strong>The Securities and Exchange Board of India<\/strong><\/h2>\n<p>The Securities and Exchange Board of India (SEBI) is a statutory regulatory agency formed by the Government of India in 1992 to oversee the Indian securities market and safeguard the interests of stock market investors.<\/p>\n<p>SEBI has the authority to regulate and perform functions such as inspecting the books of stock exchanges and requiring regular returns; approving stock exchange bye-laws; inspecting the books of financial intermediaries such as banks; and compelling certain companies to be listed on one or more exchanges, as well as handling broker registration.<\/p>\n<h2 id=\"functions\"><strong>SEBI&#8217;s Powers and Functions<\/strong><\/h2>\n<p>SEBI fulfills the following roles to achieve its goals: protective functions, regulatory functions, and developmental functions.<\/p>\n<p>SEBI performs the following duties as part of its safeguarding functions:<\/p>\n<ul>\n<li>Price manipulation is forbidden.<\/li>\n<li>Insider trading is illegal.<\/li>\n<li>Unfair and deceptive commercial practices are forbidden.<\/li>\n<li>Promotes an ethical code of conduct in the security business.<\/li>\n<li>Efforts must be made to educate investors on how to better analyze investment offers.<\/li>\n<\/ul>\n<p>SEBI undertakes the following duties as part of its regulatory functions:<\/p>\n<ul>\n<li>Developed a code of conduct, rules, and regulations to govern brokers, underwriters, and other intermediaries.<\/li>\n<li>SEBI is also in charge of corporate takeovers.<\/li>\n<li>Regulates and registers the operations of stock transfer agents, stockbrokers, merchant bankers, securities administrators, and other stock exchange personnel.<\/li>\n<li>It is also in charge of regulating and registering mutual funds.<\/li>\n<li>Conducts audits and stock exchange investigations.<\/li>\n<\/ul>\n<p>SEBI conducts the following duties as part of its developmental functions:<\/p>\n<ul>\n<li>Aids in the training of intermediates.<\/li>\n<li>It focuses on facilitating trade activity using an acceptable and adaptable method.<\/li>\n<\/ul>\n<h2 id=\"regulations\"><strong>The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><\/h2>\n<p>One of SEBI&#8217;s most significant mandates is the Listing Obligations and Disclosure Requirements Regulations (LODRs). The rule governs the level of transparency and disclosure required of publicly traded corporations. Aside from obligatory disclosure rules, the law governs the listing agreement that must be signed by the stock exchange and listed companies.<\/p>\n<p>The contract includes the terms of administration and management, disclosure, and the criteria for the company&#8217;s listing status. The new LODR Regulation 2015, on the other hand, attempts to combine all prior revisions into a single document in order to make the document standard across all parts of the capital market.<\/p>\n<p>The SEBI (LODR) Regulations, 2015 include the following provisions:<\/p>\n<ul>\n<li>Disclosures and requirements that listed company compliance officers must recognize<\/li>\n<li>All listed companies have the same listing duties.<\/li>\n<li>Different responsibilities exist for various types of securities.<\/li>\n<li>Distinguishing between initial issue and post-IPO standards<\/li>\n<li>Company fundraising actions are communicated.<\/li>\n<li>Creating timetables for reporting exchanges of certain occurrences<\/li>\n<li>Making Small and Medium Enterprises Compliant with SEBI Regulation (LODR).<\/li>\n<\/ul>\n<h2 id=\"calendar\"><strong>SEBI Compliance Calendar<\/strong><\/h2>\n<p>The following are the SEBI Compliances that a listed company must follow:<\/p>\n<ul>\n<li><strong>Quarterly Compliance under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><br \/>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Regulation<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Compliance<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Timeline<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" colspan=\"4\"><strong>Due date<\/strong><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\">Q1 Ending June<\/td>\n<td style=\"border: 1px solid #555;\">Q2 Ending<\/p>\n<p>September<\/td>\n<td style=\"border: 1px solid #555;\">Q3 Ending December<\/td>\n<td style=\"border: 1px solid #555;\">Q4 Ending March<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a031 (1) (b)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Disclosure of Shareholding Pattern<\/td>\n<td style=\"border: 1px solid #555;\">Within the 21st day from the end of the quarter<\/td>\n<td style=\"border: 1px solid #555;\">By 21st\u00a0July<\/td>\n<td style=\"border: 1px solid #555;\">By 21st\u00a0October<\/td>\n<td style=\"border: 1px solid #555;\">By 21st\u00a0January<\/td>\n<td style=\"border: 1px solid #555;\">By 21st\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>27(2)(a)\u00a0\u00a0Corporate Governance Report<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Corporate Governance Report<\/td>\n<td style=\"border: 1px solid #555;\">Within 15 days from the end of the quarter.<\/td>\n<td style=\"border: 1px solid #555;\">By 15th July<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0October<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0January<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a033 (3) (a)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Financial Results along with Limited review report\/Auditor\u2019s report<\/td>\n<td style=\"border: 1px solid #555;\">Within 45 days from the end of the quarter<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0August<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0November<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0February<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0May<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a013 (3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Statement of Grievance Redressal Mechanism<\/td>\n<td style=\"border: 1px solid #555;\">Within 21 days from the end of the quarter.<\/td>\n<td style=\"border: 1px solid #555;\">By 21st\u00a0July<\/td>\n<td style=\"border: 1px solid #555;\">By 21st<\/p>\n<p>October<\/td>\n<td style=\"border: 1px solid #555;\">By 21st<\/p>\n<p>January<\/td>\n<td style=\"border: 1px solid #555;\">By 21st<\/p>\n<p>April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a032 (1)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Statement of deviation(s) or variation(s)<\/td>\n<td style=\"border: 1px solid #555;\">Within 45 days from the end of the quarter<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0August<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0November<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0February<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0May<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a076 (1)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Reconciliation of share capital audit report<\/td>\n<td style=\"border: 1px solid #555;\">Within 30 days from the end of the quarter.<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0\u00a0July<\/td>\n<td style=\"border: 1px solid #555;\">By 30th<\/p>\n<p>October<\/td>\n<td style=\"border: 1px solid #555;\">By 30th<\/p>\n<p>January<\/td>\n<td style=\"border: 1px solid #555;\">By 30th<\/p>\n<p>April<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/li>\n<li><strong>Half Yearly Compliance under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<br \/>\n<\/strong><\/p>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Regulation<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Compliance<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" rowspan=\"2\"><strong>Timeline<\/strong><\/td>\n<td style=\"border: 1px solid #555;\" colspan=\"2\"><strong>Due Date<\/strong><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\">Half-yearly Ending September<\/td>\n<td style=\"border: 1px solid #555;\">Half-yearly Ending March<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a023 (9)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Disclosures of related party transactions<\/td>\n<td style=\"border: 1px solid #555;\">30 days from the date of publication of its standalone and consolidated financial results.<\/td>\n<td style=\"border: 1px solid #555;\">By 14th\u00a0December<\/td>\n<td style=\"border: 1px solid #555;\">By 29th\u00a0June<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/li>\n<li><strong>Annual Compliance under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<br \/>\n<\/strong><\/p>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation<\/strong><\/td>\n<td style=\"border: 1px solid #555;\"><strong>Compliance<\/strong><\/td>\n<td style=\"border: 1px solid #555;\"><strong>Timeline<\/strong><\/td>\n<td style=\"border: 1px solid #555;\"><strong>Due Date<\/strong><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a024A<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Secretarial Compliance Report<\/td>\n<td style=\"border: 1px solid #555;\">within 60 days of the end of the financial year<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0May every year<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a026 (3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Annual affirmations for compliance with the code of conduct<\/td>\n<td style=\"border: 1px solid #555;\">At the 1st\u00a0\u00a0BM in every Financial Year<\/td>\n<td style=\"border: 1px solid #555;\">At the 1st Board Meeting of every Financial Year<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a07 (3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Share Transfer Agent<\/td>\n<td style=\"border: 1px solid #555;\">Within 30 days from the end of the financial year.<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a014<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Payment of listing fees &amp; Other charges<\/td>\n<td style=\"border: 1px solid #555;\">Within 1 month of the end of 31st March every year<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a033 (3) (d)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Financial Results along with Auditor\u2019s Report<\/td>\n<td style=\"border: 1px solid #555;\">Within 60 days from the end of the financial year<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0May every year<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a034(1)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Annual Report<\/td>\n<td style=\"border: 1px solid #555;\">Not later than the day of commencement of dispatch to its shareholders.<\/td>\n<td style=\"border: 1px solid #555;\">Not less than 21 days before the AGM<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a040 (10)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Transfer or transmission or transposition of securities<\/td>\n<td style=\"border: 1px solid #555;\">Within 30 days from the end of the financial year<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Circular No. SEBI\/HO\/DDHS\/CIR\/P\/2018\/144<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Initial Disclosure requirements for large entities<\/td>\n<td style=\"border: 1px solid #555;\">Within 30 days from the beginning of the FY<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>\u00a0Circular No. SEBI\/HO\/DDHS\/CIR\/P\/2018\/144<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Annual Disclosure requirements for large entities<\/td>\n<td style=\"border: 1px solid #555;\">Within 45 days of the end of the FY<\/td>\n<td style=\"border: 1px solid #555;\">By 15th\u00a0May<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a040 (9)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Certificate from<br \/>\nPracticing Company Secretary.<\/td>\n<td style=\"border: 1px solid #555;\">Within one month of the end of the financial year.<\/td>\n<td style=\"border: 1px solid #555;\">By 30th\u00a0April<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a044(3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Submission of Voting Results to Stock Exchange<\/td>\n<td style=\"border: 1px solid #555;\" colspan=\"2\">Within two working days of the conclusion of the General Meeting<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/li>\n<li><strong>Event-Based Compliance under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015<\/strong><br \/>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation<\/strong><\/td>\n<td style=\"border: 1px solid #555;\"><strong>Compliance<\/strong><\/td>\n<td style=\"border: 1px solid #555;\"><strong>Timeline<\/strong><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a07(5)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Intimation of appointment of Share Transfer Agent<\/td>\n<td style=\"border: 1px solid #555;\">Within 7 days of the Agreement with RTA<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a028 (1)\u00a0<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">In-principal approval of recognized stock exchange(s)<\/td>\n<td style=\"border: 1px solid #555;\">Before issuing securities<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a029 (1) (b) to (f)\u00a0<\/strong><strong>and Regulation\u00a029(2)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">A prior intimation of the Board meeting for Buyback, Dividend, Raising of Funds, Voluntary Delisting, Bonus, etc.<\/td>\n<td style=\"border: 1px solid #555;\">At least two working days in advance, excluding the date of the intimation and date of the meeting<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a029 (1) (a)\u00a0<\/strong><strong>and Regulation 29(2)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">A prior intimation of a Board meeting for Financial Results<\/td>\n<td style=\"border: 1px solid #555;\">At least five days in advance (excluding the date of the intimation and date of the meeting)<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a029(3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Prior intimation of<br \/>\nBoard Meeting for alteration in nature of securities etc.<\/td>\n<td style=\"border: 1px solid #555;\">At least eleven working days in advance<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a030 (6)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Disclosure of events or information<\/td>\n<td style=\"border: 1px solid #555;\">Disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty-four hours from the occurrence of the event or information<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a030\u00a0(6)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Disclosure of events or information<\/td>\n<td style=\"border: 1px solid #555;\">Disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III shall be made within thirty minutes of the conclusion of the board meeting.<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a031(1)(a)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Shareholding Pattern prior to the listing of securities<\/td>\n<td style=\"border: 1px solid #555;\">One day prior to the listing of securities<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a031(1)(c)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Shareholding Pattern in case of capital restructuring<\/td>\n<td style=\"border: 1px solid #555;\">Within 10 days of any change in capital +\/- 2%<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a037(2)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Draft Scheme of arrangement<\/td>\n<td style=\"border: 1px solid #555;\">Obtain an observation letter or No-objection letter from the stock exchange(s) before filing the scheme with any court or tribunal<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a039(3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Loss of share certificates and issue of the duplicate certificates<\/td>\n<td style=\"border: 1px solid #555;\">Within two days of getting the information<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a044(3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Voting Results<\/td>\n<td style=\"border: 1px solid #555;\">Within two working days of the conclusion of the Meeting<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a045(3)<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Change in name<\/td>\n<td style=\"border: 1px solid #555;\">Prior approval from the Stock Exchange before filing the application with the Registrar of Companies<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><strong>Regulation\u00a046<\/strong><\/td>\n<td style=\"border: 1px solid #555;\">Website<\/td>\n<td style=\"border: 1px solid #555;\">The listed entity shall maintain a functional website containing the basic information about the listed entity.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<\/li>\n<\/ul>\n<h2><a href=\"https:\/\/legalwindow.in\/rbi-compliance\/\" target=\"_blank\" rel=\"noopener\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-110305 size-full\" title=\"RBI Compliances done in Jaipur\" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Get-your-RBI-Compliances-starting-from-15000-1-1.png\" alt=\"RBI Compliances done in Jaipur\" width=\"1000\" height=\"200\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-your-RBI-Compliances-starting-from-15000-1-1.png 1000w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-your-RBI-Compliances-starting-from-15000-1-1-600x120.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-your-RBI-Compliances-starting-from-15000-1-1-300x60.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Get-your-RBI-Compliances-starting-from-15000-1-1-768x154.png 768w\" sizes=\"auto, (max-width: 1000px) 100vw, 1000px\" \/><\/a><\/h2>\n<h2 id=\"forward\"><strong>Way Forward<\/strong><\/h2>\n<p>The <a href=\"https:\/\/www.sebi.gov.in\/\" target=\"_blank\" rel=\"noopener\">Securities and Exchange Board of India<\/a> (Listing Obligations and Disclosure Requirements) Regulations, 2015 (&#8216;SEBI LODR&#8217;) govern all registered companies with defined securities that are listed on recognized stock exchanges. Regulation 5 of the SEBI LODR regulations imposes a general compliance responsibility on the listed company to ensure that senior executive officers, trustees, organizers, and any other person involved with the body corporate fulfill any responsibilities or commitments assigned to them under the regulatory requirements.<\/p>\n<p>In accordance with the <a href=\"https:\/\/legalwindow.in\/roc-company-annual-filing\/\" target=\"_blank\" rel=\"noopener\">company&#8217;s compliance<\/a> program, we follow up with our clients on a regular basis. For more information and assistance, visit\u00a0<a href=\"https:\/\/legalwindow.in\/\" target=\"_blank\" rel=\"noopener\">Legal Window<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 apply to all registered companies having recognized securities listed on recognized stock exchanges (the&hellip;<\/p>\n","protected":false},"author":3,"featured_media":111347,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[26],"tags":[],"class_list":["post-111343","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>SEBI Compliance calendar &#187; Legal Window<\/title>\n<meta name=\"description\" content=\"This article briefly describes the The Securities and Exchange Board of India, SEBI&#039;s Powers , Functions, &amp; 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