Explain the compliances under Securities Exchange Board of India (Listing Obligations and Disclosure Requirements) [SEBI (LODR)] Regulations, 2015 relevant to the common obligations to any listed entity indicating the ti

Regulations 5 to 14 of Chapter III of the SEBI (Listing Obligations and Disclosure Requirements), 2015 provides for the following Common Obligations of Listed Entities which require compliance: S.No. Compliance Time Period Event 1 Submission of Compliance Certificate to the Exchange Regulation 7(3) Within one month of end of each half of the financial year Submission of Compliance Certificate to Stock Exchange certifying that all activities in relation to both physical and electronic share transfer facility are maintained either in house or by Registrar to an issue and share transfer agent registered with the Board. 2 Appointment/ change of Share Transfer Agent Regulation 7(5) Intimate to the Stock Exchange such appointment or change within 7 days of entering into agreement. Company can manage in house Share Transfer Facility. But as and when the total number of holders of securities of the listed entity exceeds one lac, the listed entity shall appoint Share Transfer Agent. 3 Grievance Redressal Mechanism Regulation (13) Within 21 days of the end of the each quarter. The listed entity shall file with the recognized stock exchange(s) a statement giving The number of investor complaints pending at the beginning of the quarter, Those received during the quarter, Disposed of during the quarter and Those remaining unresolved at the end of the quarter. However, the other requirements under this chapter are continuous in nature such as appointment of a qualified company secretary as the compliance officer, policy for preservation of documents, electronic mode of payment facility for payment of dividend or interest or redemption or repayment. These requirements do not provide for any timelines and the compliance of such obligations are required on a continuous basis.