SEBI Compliances and Regulations for Listed Companies

A SEBI listed company is entitled entity that have securities listed on any Stock Exchange. Meaning, entities those are listed and are trading on a recognized exchange. There are several guidelines that are listed by stock exchanges which are to be fulfilled by the listed company.

Advantage:

  1. The listed corporation may issue new stock to raise extra capital.
  2. Compared to unlisted firms, public companies have easier access to bank credits.
  3. Hedge funds, mutual funds, institutional traders, and market makers can be attracted to listed firms more easily.
  4. The listed firms get more market credibility, which helps them further develop their brand image.


Annual based SEBI Compliance:

Sr. No.

Regulations

Particulars

1

24A

Secretarial Compliance Reports

2

34

Annual Report

3

44

Results submission of Stock Exchange Voting

4

Circular No. SEBI/HO/DDHS/CIR/P/2018/144

Required by Large Entities for Initial Disclosure

5

Circular No. SEBI/HO/DDHS/CIR/P/2018/144

Required by Large Entities for Annual Disclosure

 

6

26 (3)

Annual Affirmation for Compliance with Code of Conduct

7

7(3)

Share Transfer Agent

8

14

Payment and other charges

9

40

Transmission or transport of securities

10

33 (3) (d)

Auditor Report

 

Half-Yearly SEBI Compliances:

Sr. No.

Regulations

Particulars

1

7 (3)

Compliance Certificate to the Stock Exchange

2

40

Certificates from Practicing CS


Quarterly-based SEBI Compliance:

Sr. No.

Regulations

Particulars

1

13 (3)

File with the concerned Stock Exchange

2

27 (2) (a)

Compliance report on Corporate Governance

3

31 (1) (b)

For each class of securities, a statement detailing ownership of securities and shareholding patterns is required.

4

33 (3) (a)

Independent financial performance report submitted to the stock market with the appropriate audit report or restricted review

5

74 (5) of SEBI 2018

Compliance Certificate on Demat/Remat

6

76 of SEBI 2018

Reconciliation of Share Capital Audit Report

7

Schedule B of PIT

Intimation of Trading Window Closure


EBI Compliances:

Sr. No.

Regulation

Particulars

1.

Regulation 7

Informing authority about the appointment of New Share Transfer Agent 

2.

Regulation 14

Listing fees & Others charges

3.

Regulation 29

Notification for Board Meeting for making decision on the prescribed matters

4.

Regulation 30

Outcome of Board Meeting

5.

Regulation 30

The firm is required to advise the stock exchange of any concrete occurrences that will affect the company's performance as well as any price-sensitive information, both at the time the event occurs and after it has ended.

6.

Regulation 39(3)

Loss of share certificates & issuance of the duplicate ones

7.

Regulation 42

Notice relating to Record Date / Corporate Action

8.

Regulation 44

Provide the stock exchange with information on the vote results in the prescribed manner.

9.

Regulation 46

Maintain Website of the company

10.

Section 121 of the Companies Act, 2013

Report on AGM

Conclusion:

Listed firms in India are required to adhere to SEBI compliance failing to do so might result in penalties. The disclosure of the standalone financial performance result, the facilitation of the yearly audited financial statements, and the declaration of a new share transfer agent are only a few of the many components of the firm that are governed by SEBI compliances for listed companies.

That concludes the in-depth explanation of SEBI compliances for listed companies. If you need further explanation, please let us know. If you still have any query, feel free to contact ASC Group. 

Location: India

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