Information

A Company Listing on SME platform enjoys similar benefits as compared to companies listed on main board with much relaxed listing norms, reduced compliance and minimal cost of listing. It is essential to fulfil Post Listing compliance in order to avoid severe penalty, delisting of the company etc.

Process :-

CoKaCo expert team ensure successful completion of post listing compliance of SME Listed Companies to comply with SEBI Listing Obligation Disclosure Requirement regulation (LODR) which as follow :-

Regulations Compliance To be Filed Time Period Date by which to be filed (2019)
SEBI (LODR) 13(3) Statement of Investor complaints Quarterly Within 21 days from the end of each quarter 21st July / 21st October / 21st January / 21st April
SEBI (LODR) 27(2) Corporate Governance Quarterly Within 15 days from end of the quarter 15th July / 15th October / 15th January / 15th April
SEBI (LODR) 31 Shareholding Pattern Quarterly Within 21 days from quarter end 21st July / 21st October / 21st January / 21st April
SEBI (LODR) 33 Financial Results Quarterly Within 45 days from quarter end 14th August / 14th November / 14th February / 30th May
55A SEBI DP Reconciliation of Share Capital Audit Report Quarterly Within 30 days from the quarter end 30th July / 30th October / 30th January / 30th April
Regulations Compliance To be Filed Time Period Date by which to be filed (2019)
SEBI (LODR) 7(3) Compliance Certificate certifying maintaining physical & electronic transfer facility Half Yearly Within one month of end of each half of the financial year 31st October / 30th April
SEBI (LODR) 40(9) Certificate from Practicing Company Secretary Half Yearly Within one month of the end of each half of the financial year 31st October / 30th April
Regulations Compliance To be Filed Time Period Due Date
SEBI (LODR) 14 Listing Fees Annually Within 30 days of the end of financial year 30th April
SEBI (LODR) 34 Annual Report Annually Within 21 working days of it being approved and adopted in the annual general meeting. Within 21 working days from AGM
30(1) and 30(2) - SEBI Takeover Acquisition / Change Annually 30(1) Every person, who together with persons acting in concert with him, holds shares or voting rights entitling him to exercise twenty-five per cent or more of the voting rights in a target company, shall disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified. Within 7 days from the end of Financial Year
30 (2) The promoter of every target company shall together with persons acting in concert with him, disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified.
Regulations Compliance To be Filed Time Period Due Date
SEBI (LODR) 29 Notice for Board Meeting to consider the prescribed matters Event Based Advance notice of at least 5 days for Financial Result as per regulation 29 1 (a) & in case of other matters as stated in regulation 29 1 (b) to (f) - 2 Working days in advance (Excluding the date of the intimation and date of the meeting) to Stock Exchange. The Company shall give an advance notice of 11 working days in case matter related to alteration in i) Securities ;ii) date of interest or redemption of Debenture/bond as per regulation 29(3) (a) ,(b). Depending upon the nature of notice
SEBI (LODR) 30 Disclosure of Events or Information Event Based The Company has to intimate to the Stock Exchange about the material events which will have a bearing on the performance / operations of the company as well as price sensitive information both at the time of occurrence of the event and subsequently after the cessation of the event. The listed entity shall first disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty four hours from the occurrence of event or information. Within 24 hours from the occurance of event
SEBI (LODR) 30 Outcome of Board Meeting (Schedule III Part A- (4) Event Based Proceedings or matters resolved in the Board Meeting conducted for passing Quarterly Financial Result The listed entity shall disclose the information to the Exchange(s), within 30 minutes of the closure of the meeting.
SEBI (LODR) 42 Notice for Record Date \ Corporate Action Event Based The Company must ensure that there is a gap of at least 30 days between 2 book closure and/or record date. The Company shall give an advance notice of at least 7 working days (Excluding the date of the intimation and record date/book closure start date) to the Stock Exchange for corporate actions (Book closure/Record date) fixed for the purpose of corporate benefits like mergers, de-mergers, split , bonus, dividend, rights etc. The listed entity shall recommend or declare all dividend and/or cash bonuses at least five working days (excluding the date of intimation and the record date) before the record date fixed for the purpose. Advance notice of atleast 7 working days
SEBI (LODR) 44 Voting result Event Based The listed entity shall submit to the stock exchange, within forty eight hours of conclusion of its General Meeting, details regarding the voting results in the format specified by the Board. Within 48 hours from the conclusion of AGM
SEBI (LODR) 46 Company Website Event Based The listed entity shall maintain a functional website containing the basic information about the listed entity. The listed entity shall disseminate the information as stated in Regulation 46 (2). The listed entity shall ensure that the contents of the website are correct & the listed entity shall update any change in the content of its website within two working days from the date of such change in content. Depending upon the nature of Business
SEBI (LODR) 47 Advertisement in Newspaper Event Based Notice of meeting ( FR discussed), Financial results, Statement of Deviation/ variation and notices given to shareholders. Simulatneously with the Intimation to Stock Exchange
SEBI (PIT) 7(2) Disclosure under SEBI (Prohibition of Insider Trading) Regulations, 2015 Event Based 7(2) Continual Disclosures :
  • Every promoter, employee and director of every company shall disclose to the company the number of such securities acquired or disposed of within two trading days of such transaction if the value of the securities traded, whether in one transaction or a series of transactions over any calendar quarter, aggregates to a traded value in excess of ten lakh rupees or such other value as may be specified;
  • Every company shall notify the particulars of such trading to the stock exchange on which the securities are listed within two trading days of receipt of the disclosure or from becoming aware of such information.
(Transaction type include buy / sales / pledge / revoke / Invoke)
Within 2 trading days from the date of receipt of disclosure
Information

A Company Listing on SME platform enjoys similar benefits as compared to companies listed on main board with much relaxed listing norms, reduced compliance and minimal cost of listing. It is essential to fulfil Post Listing compliance in order to avoid severe penalty, delisting of the company etc.

CoKaCo expert team ensure successful completion of post listing compliance of SME Listed Companies to comply with SEBI Listing Obligation Disclosure Requirement regulation (LODR) which as follow :-

Regulations Compliance To be Filed Time Period Date by which to be filed (2019)
SEBI (LODR) 13(3) Statement of Investor complaints Quarterly Within 21 days from the end of each quarter 21st July / 21st October / 21st January / 21st April
SEBI (LODR) 27(2) Corporate Governance Quarterly Within 15 days from end of the quarter 15th July / 15th October / 15th January / 15th April
SEBI (LODR) 31 Shareholding Pattern Quarterly Within 21 days from quarter end 21st July / 21st October / 21st January / 21st April
SEBI (LODR) 33 Financial Results Quarterly Within 45 days from quarter end 14th August / 14th November / 14th February / 30th May
55A SEBI DP Reconciliation of Share Capital Audit Report Quarterly Within 30 days from the quarter end 30th July / 30th October / 30th January / 30th April
Regulations Compliance To be Filed Time Period Date by which to be filed (2019)
SEBI (LODR) 7(3) Compliance Certificate certifying maintaining physical & electronic transfer facility Half Yearly Within one month of end of each half of the financial year 31st October / 30th April
SEBI (LODR) 40(9) Certificate from Practicing Company Secretary Half Yearly Within one month of the end of each half of the financial year 31st October / 30th April
Regulations Compliance To be Filed Time Period Due Date
SEBI (LODR) 14 Listing Fees Annually Within 30 days of the end of financial year 30th April
SEBI (LODR) 34 Annual Report Annually Within 21 working days of it being approved and adopted in the annual general meeting. Within 21 working days from AGM
30(1) and 30(2) - SEBI Takeover Acquisition / Change Annually 30(1) Every person, who together with persons acting in concert with him, holds shares or voting rights entitling him to exercise twenty-five per cent or more of the voting rights in a target company, shall disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified. Within 7 days from the end of Financial Year
30 (2) The promoter of every target company shall together with persons acting in concert with him, disclose their aggregate shareholding and voting rights as of the thirty-first day of March, in such target company in such form as may be specified.
Regulations Compliance To be Filed Time Period Due Date
SEBI (LODR) 29 Notice for Board Meeting to consider the prescribed matters Event Based Advance notice of at least 5 days for Financial Result as per regulation 29 1 (a) & in case of other matters as stated in regulation 29 1 (b) to (f) - 2 Working days in advance (Excluding the date of the intimation and date of the meeting) to Stock Exchange. The Company shall give an advance notice of 11 working days in case matter related to alteration in i) Securities ;ii) date of interest or redemption of Debenture/bond as per regulation 29(3) (a) ,(b). Depending upon the nature of notice
SEBI (LODR) 30 Disclosure of Events or Information Event Based The Company has to intimate to the Stock Exchange about the material events which will have a bearing on the performance / operations of the company as well as price sensitive information both at the time of occurrence of the event and subsequently after the cessation of the event. The listed entity shall first disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information as soon as reasonably possible and not later than twenty four hours from the occurrence of event or information. Within 24 hours from the occurance of event
SEBI (LODR) 30 Outcome of Board Meeting (Schedule III Part A- (4) Event Based Proceedings or matters resolved in the Board Meeting conducted for passing Quarterly Financial Result The listed entity shall disclose the information to the Exchange(s), within 30 minutes of the closure of the meeting.
SEBI (LODR) 42 Notice for Record Date \ Corporate Action Event Based The Company must ensure that there is a gap of at least 30 days between 2 book closure and/or record date. The Company shall give an advance notice of at least 7 working days (Excluding the date of the intimation and record date/book closure start date) to the Stock Exchange for corporate actions (Book closure/Record date) fixed for the purpose of corporate benefits like mergers, de-mergers, split , bonus, dividend, rights etc. The listed entity shall recommend or declare all dividend and/or cash bonuses at least five working days (excluding the date of intimation and the record date) before the record date fixed for the purpose. Advance notice of atleast 7 working days
SEBI (LODR) 44 Voting result Event Based The listed entity shall submit to the stock exchange, within forty eight hours of conclusion of its General Meeting, details regarding the voting results in the format specified by the Board. Within 48 hours from the conclusion of AGM
SEBI (LODR) 46 Company Website Event Based The listed entity shall maintain a functional website containing the basic information about the listed entity. The listed entity shall disseminate the information as stated in Regulation 46 (2). The listed entity shall ensure that the contents of the website are correct & the listed entity shall update any change in the content of its website within two working days from the date of such change in content. Depending upon the nature of Business
SEBI (LODR) 47 Advertisement in Newspaper Event Based Notice of meeting ( FR discussed), Financial results, Statement of Deviation/ variation and notices given to shareholders. Simulatneously with the Intimation to Stock Exchange
SEBI (PIT) 7(2) Disclosure under SEBI (Prohibition of Insider Trading) Regulations, 2015 Event Based 7(2) Continual Disclosures :
  • Every promoter, employee and director of every company shall disclose to the company the number of such securities acquired or disposed of within two trading days of such transaction if the value of the securities traded, whether in one transaction or a series of transactions over any calendar quarter, aggregates to a traded value in excess of ten lakh rupees or such other value as may be specified;
  • Every company shall notify the particulars of such trading to the stock exchange on which the securities are listed within two trading days of receipt of the disclosure or from becoming aware of such information.
(Transaction type include buy / sales / pledge / revoke / Invoke)
Within 2 trading days from the date of receipt of disclosure