List out the annual compliance calendar for listed entities for Small and Medium Enterprise (SME) as per SEBI Listing Regulations, 2015.

CS Professional · Corporate Funding & Listings in Stock Exchanges · PYQS · December 2022
List out the annual compliance calendar for listed entities for Small and Medium Enterprise (SME) as per SEBI Listing Regulations, 2015.

Answer & Explanation:

Annual Compliance Calendar for listed entities for Small and Medium Enterprise (SMEs) Sr. No. Regulation Reference and Particulars Timelines 1 Regulation 7 (3)- Compliance Certificate The listed entity shall submit a compliance certificate to the exchange, duly signed by both the compliance officer of the listed entity and the authorised representative of the share transfer agent certifying that all activities in relation to share transfer facility of the listed entity are maintained either in house or by Registrar to an issue and share transfer agent registered with the SEBI Within 30 days from the end of the financial year 2 Regulation 34(1) - Annual Report The listed entity shall submit the annual report along with the Notice of the Annual General Meeting to the stock exchange. Not later than the day of commencement of dispatch to its shareholders 3 Regulation 40(10) - The listed entity shall ensure that the share transfer agent and/or the in-house share transfer facility, as the case may be, produces a certificate from a practicing company secretary, certifying that all certificates have been issued within thirty days of the date of lodgement for transfer, subdivision, consolidation, renewal, exchange or endorsement of calls/allotment monies. Within 30 days from the end of Financial Year 4 Initial Disclosure requirements for large entities Within 30 days from the beginning of the Financial Year 5 Annual Disclosure requirements for large entities Within 45 days of the end of Financial Year

Topics: SEBI (LODR) Regulations, 2015

Open in Interactive Practice Hub · Full Practice Hub · Chapter Weightage · More in this subject

Related Questions in this Topic