Applicability: All listed entities.
S.No.
|
Particulars
|
Regulation
|
Details
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1.
|
Appointment
of Key Managerial Personnel, Directors, Promoters or any other persons
|
Regulation 5
|
They
shall comply with the responsibilities, if assigned to them under these
regulations.
|
2.
|
Appointment
of Company Secretary
|
Regulation 6
|
The
listed entity shall appoint the Company Secretary as a Compliance Officer.
However, it does not apply to mutual funds
listed on stock exchange.
|
3.
|
Appointment
of Share Transfer Agent
|
Regulation 7(1)
|
The
listed entity shall appoint a share transfer agent or manage such facility
in-house. However, in case of in-house share transfer facility, where the total
number of holder of securities exceeds 1 lakh, the listed entity
shall register with the Board as Category II STA, or appoint a RTA.
|
4.
|
Submission
of Compliance Certificate
|
Regulation 7(3)
|
The
listed entity shall submit a Compliance Certificate to the stock exchange in
1 month of the end of each half of the financial year, which shall be
signed the Compliance Officer of the Company as well as the registered RTA.
|
5.
|
Tripartite
Agreement in case of change in RTA
|
Regulation 7(4)
|
In
case of change of RTA, the existing RTA, new RTA and the listed entity shall
together enter in to a tripartite agreement in the manner specified by the
Board. However in case of in-house RTA, the same agreement shall be entered
in to between new RTA and the listed entity.
|
6.
|
Intimation
of appointment of RTA
|
Regulation 7(5)
|
The
listed entity shall inform the stock exchange within 7 days
of entering in to the agreement.
|
7.
|
Cooperation
with Intermediaries
|
Regulation 8
|
The
listed entity shall, where applicable, coordinate and submit correct
information to the intermediaries registered with the Board, such as Credit
Rating Agencies, RTA, Debenture Trustees, etc.
However, it does not apply to mutual funds
listed on stock exchange.
|
8.
|
Policy
on Preservation of Documents
|
Regulation 9
|
There
shall be a policy of preservation of documents and must classify the same in
to 2 categories;
a.
documents
to be preserved for permanent nature
b.
Documents
to be preserved for at least 8 years after completion of relevant
transactions.
However, the documents can also be
preserved in electronic form.
|
9.
|
Filing
of documents electronically
|
Regulation 10
|
The
listed entity shall file reports, statements, documents, and other
information with the stock exchange on electronic platform.
|
10.
|
Scheme
of Arrangement / Amalgamation
|
Regulation 11
|
The
scheme of arrangement / amalgamation / merger / reconstruction / reduction of
capital to be presented to the Court / Tribunal shall not violate or override
the provisions of securities laws or stock exchange.
However, it does not apply to mutual funds
listed on stock exchange.
|
11.
|
Payment
of Dividend / Interest / Redemption / Repayment
|
Regulation 12
|
It
shall be done through electronic mode. However where the same is not
possible, it can be done through issue of warrants or cheques.
However,
where the amount of dividend exceeds Rs.1000/-, the cheques or warrants shall
be sent by Speed Post.
|
12.
|
Grievance
Redressal Mechanism
|
Regulation 13(2)
|
The
listed entity shall ensure proper steps for addressing the grievance of
investors by registering itself on SCORES platform.
|
13.
|
Filing
of Investor Grievance Redressal Report
|
Regulation
13(3)
|
The
listed entity shall within 21 days from the end of quarter,
file a Investor Grievance Redressal Report, stating the number of complaints
pending at the beginning of quarter, received during the quarter, disposed
during the quarter, and remaining unsolved at the end of quarter.
|
14.
|
Statement
on Investor Grievance Redressal Report
|
Regulation 13(4)
|
Statement
on Investor Grievance Redressal Report to be placed before the Board
Quarterly.
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15.
|
Payment
of Fees &;other charges to Stock Exchange
|
Regulation
14
|
The
listed entity shall pay all fees and other charges, as applicable, to the
Stock Exchange in the manner specified by the Board or the Stock Exchange.
|
Requirement
of some regulations under SEBI (Listing Obligations and Disclosure Requirements) Regulations,
2015 shall not be applicable in case units of Mutual Funds which are listed on recognized
stock exchange, as the same shall be governed by the provisions of SEBI (Mutual
Funds) Regulations, 1996.
References:
CS Divyanshu Bansal
References:
SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
Contact:
Email ID: divyanshubansal401@gmail.com
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