{"id":4928,"date":"2022-09-06T18:18:04","date_gmt":"2022-09-06T18:18:04","guid":{"rendered":"https:\/\/www.caindelhiindia.com\/blog\/?p=4928"},"modified":"2023-01-27T09:29:56","modified_gmt":"2023-01-27T09:29:56","slug":"overview-compliances-under-sebi-companies-act-regulations","status":"publish","type":"post","link":"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/","title":{"rendered":"Overview compliances under SEBI &#038; Companies Act Regulations"},"content":{"rendered":"<h2><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-4930\" src=\"https:\/\/www.caindelhiindia.com\/blog\/wp-content\/uploads\/2022\/09\/Compliance-should-follow-Under-Companies-Act-SEBI-Regulations.jpg\" alt=\"Compliance should follow Under Companies Act &amp; SEBI Regulations\" width=\"957\" height=\"536\" \/><\/h2>\n<div id=\"ez-toc-container\" class=\"ez-toc-v2_0_58 counter-hierarchy ez-toc-counter ez-toc-grey ez-toc-container-direction\">\n<p class=\"ez-toc-title\">Table of Contents<\/p>\n<label for=\"ez-toc-cssicon-toggle-item-69d038ab22b83\" class=\"ez-toc-cssicon-toggle-label\"><span class=\"\"><span class=\"eztoc-hide\" style=\"display:none;\">Toggle<\/span><span class=\"ez-toc-icon-toggle-span\"><svg style=\"fill: #999;color:#999\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" class=\"list-377408\" width=\"20px\" height=\"20px\" viewBox=\"0 0 24 24\" fill=\"none\"><path d=\"M6 6H4v2h2V6zm14 0H8v2h12V6zM4 11h2v2H4v-2zm16 0H8v2h12v-2zM4 16h2v2H4v-2zm16 0H8v2h12v-2z\" fill=\"currentColor\"><\/path><\/svg><svg style=\"fill: #999;color:#999\" class=\"arrow-unsorted-368013\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"10px\" height=\"10px\" viewBox=\"0 0 24 24\" version=\"1.2\" baseProfile=\"tiny\"><path d=\"M18.2 9.3l-6.2-6.3-6.2 6.3c-.2.2-.3.4-.3.7s.1.5.3.7c.2.2.4.3.7.3h11c.3 0 .5-.1.7-.3.2-.2.3-.5.3-.7s-.1-.5-.3-.7zM5.8 14.7l6.2 6.3 6.2-6.3c.2-.2.3-.5.3-.7s-.1-.5-.3-.7c-.2-.2-.4-.3-.7-.3h-11c-.3 0-.5.1-.7.3-.2.2-.3.5-.3.7s.1.5.3.7z\"\/><\/svg><\/span><\/span><\/label><input type=\"checkbox\"  id=\"ez-toc-cssicon-toggle-item-69d038ab22b83\"  aria-label=\"Toggle\" \/><nav><ul class='ez-toc-list ez-toc-list-level-1 ' ><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-1\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Compliance_should_follow_Under_Companies_Act_SEBI_Regulations\" title=\"Compliance should follow Under Companies Act &amp; SEBI Regulations.\">Compliance should follow Under Companies Act &amp; SEBI Regulations.<\/a><ul class='ez-toc-list-level-3'><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-2\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#What_exactly_compliances_means\" title=\"What exactly compliances means?\">What exactly compliances means?<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-3\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Compliance_as_per_the_Companies_Act_2013\" title=\"Compliance as per the Companies Act 2013.\">Compliance as per the Companies Act 2013.<\/a><ul class='ez-toc-list-level-3'><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-4\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Compliances_Based_on_Event\" title=\"Compliances Based on Event:\">Compliances Based on Event:<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-5\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Compliances_Based_on_the_Period\" title=\"Compliances Based on the Period:\">Compliances Based on the Period:<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-6\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#What_are_the_Compliances_under_the_SEBI_LODR_Regulation_2015\" title=\"What are the Compliances under the SEBI (LODR) Regulation 2015\u00a0?\">What are the Compliances under the SEBI (LODR) Regulation 2015\u00a0?<\/a><ul class='ez-toc-list-level-3'><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-7\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Quarterly_Compliances\" title=\"Quarterly Compliances \n\">Quarterly Compliances \n<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-8\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Half_Yearly_Compliances\" title=\"Half Yearly Compliances\">Half Yearly Compliances<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-9\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#AnnualYearly_Compliances\" title=\"Annual\/Yearly Compliances\">Annual\/Yearly Compliances<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-10\" href=\"https:\/\/www.caindelhiindia.com\/blog\/overview-compliances-under-sebi-companies-act-regulations\/#Our_PAN_INDIA_level_Services\" title=\"Our PAN INDIA level Services\u00a0\">Our PAN INDIA level Services\u00a0<\/a><\/li><\/ul><\/li><\/ul><\/nav><\/div>\n<h2><span class=\"ez-toc-section\" id=\"Compliance_should_follow_Under_Companies_Act_SEBI_Regulations\"><\/span><span style=\"color: #ff0000;\"><strong>Compliance should follow Under Companies Act &amp; SEBI Regulations.<\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<h3><span class=\"ez-toc-section\" id=\"What_exactly_compliances_means\"><\/span><span style=\"color: #000080;\"><strong><u>What exactly compliances means?<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<ul>\n<li>There are some specific guidelines, rules, and regulations made in accordance with authorities or ministry of corporate affairs referred as compliance.<\/li>\n<li>After the origin of Companies\u2019 Act 2013, the compliance procedure and the required details for the compliance are increased as compared to the previous year and also predicted that it will increase more as the time passes.<\/li>\n<\/ul>\n<h2><span class=\"ez-toc-section\" id=\"Compliance_as_per_the_Companies_Act_2013\"><\/span><span style=\"color: #ff0000;\"><strong><u>Compliance as per the Companies Act 2013.<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<ul>\n<li>You will understand better, as we will classified the Compliance according to the Companies Act 2013 in three categories:<\/li>\n<\/ul>\n<h3><span class=\"ez-toc-section\" id=\"Compliances_Based_on_Event\"><\/span><span style=\"color: #000080;\"><strong><u>Compliances Based on Event:<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<ul>\n<li>At any occasion when there is appearance of any \u2018Event\u2019, then compliance needed to be fulfil respectively based on the event occurred.<\/li>\n<li>Like, if the <strong>registered office of any company is changed<\/strong>, then need to fill form <strong>INC-22<\/strong>.<\/li>\n<\/ul>\n<h3><span class=\"ez-toc-section\" id=\"Compliances_Based_on_the_Period\"><\/span><span style=\"color: #000080;\"><strong><u>Compliances Based on the Period:<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<ul>\n<li>Some compliance need to be done by companies with a span of time, which can be either annually, half yearly, quarterly and monthly.<\/li>\n<li>Form AOC-4, Form MGT-7 are example of compliance based on time.<\/li>\n<\/ul>\n<p><span style=\"color: #000080;\"><strong><u>Compliance Based on Specific Criteria.<\/u><\/strong><\/span><\/p>\n<ul>\n<li>There is necessary for certain companies to fulfil compliances based on the requirement criteria in the guidelines.<\/li>\n<li>As per the aforementioned compliances, listed companies whose share traded on the stock exchange must follow the provisions of the SEBI (Listing Obligation and Disclosure Requirement) Regulation, 2015 as well other regulations issued time to time.<\/li>\n<\/ul>\n<h2><span class=\"ez-toc-section\" id=\"What_are_the_Compliances_under_the_SEBI_LODR_Regulation_2015\"><\/span><span style=\"color: #ff0000;\"><strong>What are the Compliances under the SEBI (LODR) Regulation 2015<\/strong>\u00a0?<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-4929\" src=\"https:\/\/www.caindelhiindia.com\/blog\/wp-content\/uploads\/2022\/09\/What-are-the-Compliances-under-the-SEBI-LODR-Regulation-2015-..png\" alt=\" Compliances under the SEBI LODR Regulation 2015\u00a0.\" width=\"947\" height=\"386\" srcset=\"https:\/\/www.caindelhiindia.com\/blog\/wp-content\/uploads\/2022\/09\/What-are-the-Compliances-under-the-SEBI-LODR-Regulation-2015-..png 780w, https:\/\/www.caindelhiindia.com\/blog\/wp-content\/uploads\/2022\/09\/What-are-the-Compliances-under-the-SEBI-LODR-Regulation-2015-.-300x122.png 300w, https:\/\/www.caindelhiindia.com\/blog\/wp-content\/uploads\/2022\/09\/What-are-the-Compliances-under-the-SEBI-LODR-Regulation-2015-.-768x313.png 768w\" sizes=\"(max-width: 947px) 100vw, 947px\" \/><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Quarterly_Compliances\"><\/span><span style=\"color: #000080;\"><strong><u>Quarterly Compliances<\/u><\/strong><\/span><strong><u><br \/>\n<\/u><\/strong><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<table style=\"height: 601px;\" width=\"962\">\n<tbody>\n<tr>\n<td width=\"205\"><strong><u>Compliances <\/u><\/strong><\/td>\n<td width=\"228\"><strong><u>Time period<\/u><\/strong><\/td>\n<td width=\"182\"><strong><u>Regulation No.<\/u><\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"205\">List of Shareholders\/ Shareholding Pattern<\/td>\n<td width=\"228\">Submitted within 15 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Under Regulation 31(1)(B)<\/td>\n<\/tr>\n<tr>\n<td width=\"205\">Report of Corporate Governance.<\/td>\n<td width=\"228\">Compliance Submitted within 15 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Regulation 27(2)(A)<\/td>\n<\/tr>\n<tr>\n<td width=\"205\">Limited Review Report based on Financial Results.<\/td>\n<td width=\"228\">Done within 45 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Under Regulation 33(3)(A)<\/td>\n<\/tr>\n<tr>\n<td width=\"205\">Investors Grievance Redressal Procedure.<\/td>\n<td width=\"228\">Compliance Done within 21 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Regulation 13(3)<\/td>\n<\/tr>\n<tr>\n<td width=\"205\">Variations\/ Deviations Statement<\/td>\n<td width=\"228\">Done within 45 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Under Regulation 32(1)<\/td>\n<\/tr>\n<tr>\n<td width=\"205\">Share Capital Audit Report Rectification.<\/td>\n<td width=\"228\">Compliance Done within 30 days, after the end of every Quarter.<\/td>\n<td width=\"182\">Regulation 76(1)<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3><span class=\"ez-toc-section\" id=\"Half_Yearly_Compliances\"><\/span><span style=\"color: #000080;\"><strong><u>Half Yearly Compliances<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<table style=\"height: 199px;\" width=\"998\">\n<tbody>\n<tr>\n<td width=\"200\"><strong><u>Compliances <\/u><\/strong><\/td>\n<td width=\"200\"><strong><u>Time period<\/u><\/strong><\/td>\n<td width=\"200\"><strong><u>Regulation No.<\/u><\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Related Party Transaction Disclosures.<\/td>\n<td width=\"200\">Within 30 days after the release of the consolidated financial result<\/td>\n<td width=\"200\">Regulation No. 23(9)<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3><span class=\"ez-toc-section\" id=\"AnnualYearly_Compliances\"><\/span><span style=\"color: #000080;\"><strong><u>Annual\/Yearly Compliances<\/u><\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<table style=\"height: 1137px;\" width=\"934\">\n<tbody>\n<tr>\n<td width=\"200\"><strong><u>Compliances <\/u><\/strong><\/td>\n<td width=\"200\"><strong><u>Time period<\/u><\/strong><\/td>\n<td width=\"200\"><strong><u>Regulation No.<\/u><\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Report of secretarial Compliance<\/td>\n<td width=\"200\">Done within 60 days after the end of the fiscal year.<\/td>\n<td width=\"200\">Regulation 24A<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Annual declarations of compliance with the code of conduct<\/td>\n<td width=\"200\">Every financial year, At the time of board meeting.<\/td>\n<td width=\"200\">Under the Regulation 26(3)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Agent for Share Transfer<\/td>\n<td width=\"200\">30 days after the conclusion of financial year<\/td>\n<td width=\"200\">Regulation 7(3)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Payment of listing and all other fees.<\/td>\n<td width=\"200\">Up to 30 days after the end of financial year.<\/td>\n<td width=\"200\">Under the Regulation 14<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Auditor&#8217;s Report and Financial Report<\/td>\n<td width=\"200\">60 days after the conclusion of financial year.<\/td>\n<td width=\"200\">Regulation 33(3)(d)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Annual Report<\/td>\n<td width=\"200\">Till the initiation of the consignment of the shareholder.<\/td>\n<td width=\"200\">Under the Regulation 34(1)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Securities transfers\/ transpositions\/ transmissions.<\/td>\n<td width=\"200\">30 days after the conclusion of financial year.<\/td>\n<td width=\"200\">Regulation 40(10)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">First disclosure of all essentials for Large companies.<\/td>\n<td width=\"200\">30 days after the conclusion of financial year.<\/td>\n<td width=\"200\">Notification issued by SEBI<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Requirements of Annual Disclosure for Large Entities&#8217;<\/td>\n<td width=\"200\">45 days after the conclusion of financial year.<\/td>\n<td width=\"200\">Under the Notification issued by SEBI<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Practicing Company Secretary certificate.<\/td>\n<td width=\"200\">Within a month after the conclusion fiscal year&#8217;s.<\/td>\n<td width=\"200\">Regulation 40(9)<\/td>\n<\/tr>\n<tr>\n<td width=\"200\">Voting result submission to stock exchange.<\/td>\n<td width=\"200\"><\/td>\n<td width=\"200\">The Regulation 44(3)<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<ul>\n<li>As per the regulation 30 of the SEBI Listing Obligation and Disclosure Requirement 2015 in addition, the listed firm must abide by certain event-based disclosure requirements.<\/li>\n<li>These requirements include previous intimations, any material event, and all events listed in schedule III of Part A.<\/li>\n<\/ul>\n<h3><span class=\"ez-toc-section\" id=\"Our_PAN_INDIA_level_Services\"><\/span><span style=\"color: #000080;\"><strong>Our PAN INDIA level Services\u00a0<\/strong><\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>We are providing below mentioned services to our Fellow professionals\u00a0at\u00a0PAN INDIA level. Please save our contact for any future references<\/p>\n<ul>\n<li>Assistance on\u00a0Company\/llp\u00a0name approval\u00a0matters (Desired Name)<\/li>\n<li>Share Transfer Stamps at\u00a0discounted price\u00a0(all states)<\/li>\n<li>Shadow Director Services for\u00a0any type\u00a0of Company<\/li>\n<li>CA &amp; CS\u00a0Certification and Audit services\u00a0Any Type<\/li>\n<li>Assistance on\u00a0ROC\u00a0disputed or matters\u00a0Pan India<\/li>\n<li>Assistance on any\u00a0disputed matters pertaining to\u00a0Directors<\/li>\n<li>Sale &amp; Purchase of any type of Companies pan india<\/li>\n<li>Strike off of Companies\/LLP without filing Annual Accounts<\/li>\n<li>Assistance on valuation services from Registered valuer or Merchant Banker<\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Compliance should follow Under Companies Act &amp; SEBI Regulations. What exactly compliances means? There are some specific guidelines, rules, and regulations made in accordance with authorities or ministry of corporate affairs referred as compliance. After the origin of Companies\u2019 Act 2013, the compliance procedure and the required details for the compliance are increased as compared &hellip;<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_mi_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"footnotes":""},"categories":[647],"tags":[223,189],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/posts\/4928"}],"collection":[{"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/comments?post=4928"}],"version-history":[{"count":5,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/posts\/4928\/revisions"}],"predecessor-version":[{"id":4932,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/posts\/4928\/revisions\/4932"}],"wp:attachment":[{"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/media?parent=4928"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/categories?post=4928"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.caindelhiindia.com\/blog\/wp-json\/wp\/v2\/tags?post=4928"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}