Compliance Calendar as per SEBI

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The SEBI compliance calendar provides a crystal overview and understanding of the SEBI compliance regulations and timely requirements to stay relevant in the market standard and to prevent legal liabilities and heavy penalties. SEBI, or the Securities and Exchange Board of India, is a regulatory body that governs and monitors the capital and securities market in India, ensuring the protection of investors' interests. With the increasing number of threats and serious consequences of non-compliance with SEBI compliance, it is indeed important for a company to stay updated with the SEBI compliance calendar. We at Enterslice provide you with this service on aligning with the SEBI compliance regulations adherence with the best outcomes resulting in business growth.

Organizations are mostly occupied with various hectic responsibilities, leading to critical oversights to look into the various updates on compliance and regulations; that's where consultancy companies like Enterslice come into place to help the organizations fulfil their bustling responsibilities towards SEBI compliance requirements. The function of SEBI is to promote and protect the interest of investors and develop the securities market to regulate the business seamlessly.

SEBI compliance calendar is an important aspect of corporate governance for a listed company. With the constant evolution of the economy, it is indeed challenging to keep up with the changes in various regulations and frequent updates. Our team of professionals will provide a listed company with a comprehensive SEBI compliance calendar to help navigate through the complex web of multiple legal obligations and deadlines. Thus, for the smooth functioning of the business operation of the listed company, adhering to SEBI compliance is important to avoid any legal liabilities, penalties, and even delisting of the listed company. Therefore, contact enterslice professionals to keep checked in the SEBI compliance calendar, ensuring an up-to-date on the requirements of the compliances and regulations.

What are the SEBI powers?

SEBI consists of quasi-executive powers ensuring that the listed companies in India are complying with the various securities laws and regulations for enhancing the smooth operation of the securities business operations. SEBI is a statutory regulatory body with the power to impose fines, penalties, and various other legal liabilities. 

Rule-making power is also possessed by the SEBI regulations for securities business operations, ensuring an alignment with the constant dynamic market change and enhancing transparent and fair market practices.

SEBI has the quasi-legislative power to amend the by-laws in the securities exchange and evaluate the stock exchange financial records of the listing companies. Examinations of the financial intermediary’s accounts records. Moreover, SEBI is also entitled to registration of the brokers and sub-brokers connected to the securities business industry.

Hence SEBI has the power to respond to the merging challenges and opportunities that occurred in the financial securities market in India.

Insight SEBI Compliance calendar

We at Enterslice ensure organizations comply with the SEBI compliance calendar through our expertise in enhancing the SEBI regulations by dividing the responsibilities among our teams handled holistically. Here are the major SEBI compliance requirements that our team of professionals often engaged in providing the service to various organizations.

SEBI Compliance Quarterly

Our team of professionals in SEBI compliance shall assist the concerned listed company in filing a statement of grievances received from the investors to a recognized stock exchange(s) within twenty-one days from the end of each quarter year. Such quarterly deadlines are July 21st, October 21st, January 21st, and April 21st.

We shall also help a listed company to submit the report of the corporate governance as per the SEBI compliance calendar within a timeframe of fifteen days from the close of the quarter unless it has been expected based on a specific criterion.

According to the SEBI compliance regulation, a company must submit a statement of every class of securities of the shareholding and securities pattern every quarter within twenty-one days from the end of each quarter.

Our team shall also assist the listed companies in disclosing the statement of deviation or variation of significant beneficial owners within forty-five days from the quarter end or within sixty days from the last quarter end.

We have a team of experienced auditors helping various companies or organizations to evaluate and audit their financial statements. Here, under the SEBI compliance regulation, a company must conduct an audit on their financial statements and submit the same within forty-five days from the end of each quarter, addressing both limited review reports and audit reports. Moreover, within sixty days from the end of the financial year, a company must submit an annual audit on standalone financial statements.

SEBI Compliance Half-Yearly

Enterslice has an experience of 10 years in the field of consulting and advising various startups and business across the globe. Here we also help listing companies to meet the half-yearly SEBI compliance by helping companies to disclose and evaluate various related party transactions within the stipulated time frame.

A SEBI compliance requirement is that every listed company submit a share transfer certificate from the practising company secretary within one month of the end of each half of the financial year. At Enterslice, we provide the same through our in-house company secretary, who has a dozen years of experience dealing with such listing organizations.

Annual SEBI Compliance

Some of the major annual SEBI compliance is to submit a report on the compliance certificate ensuring a physical and electronic transfer facility maintenance by the concerned listed companies within thirty days from the end of the financial year.

Our team of professionals in SEBI compliance will help the company to disclose or submit a report on the various business responsibilities and sustainability report within a time frame fixed according to the SEBI compliance calendar.

Our auditors will also assist the company in submitting a report on various results and reports on the company’s financial statements and strengths within 60 days from the end of the financial year.

Why do you need the SEBI Compliance Calendar?

For any company, it is indeed important to meet the compliance requirements according to the statutory laws and regulations to stay relevant and valid in the market. So, the listing company or a securities organization has to meet SEBI compliance to avoid any legal liabilities, penalties, and various other non-compliance consequences. Given below are some of the major reasons the SEBI compliance calendar helps the securities-based company or a listed organisation:

  1. The professional team of Enterslice shall help the organizations meet the mandatory requirements for reporting specific funds. We ensure that our service provides an accurate and prompt generation of compliance reporting methods meeting an alignment with the statutory standards of regulation.
  2. We at Enterslice prioritize the privacy and confidentiality of our clients or organizations to a great extent, ensuring strict data security and meeting the various industry-leading practices. Our method consists of robust security measures and precautions that assist the company in conducting a regular audit to detect and identify potential risks and downfalls. Thus, choose us to safeguard your confidential, sensitive information along with the service in SEBI compliance regulations.
  3. Keeping updated with the SEBI compliance calendar helps the company monitor and track actions across various domains of regulatory and compliance requirements, meeting the stipulated time frame.
  4. By keeping updated with the SEBI compliance calendar, the company remains compliant with the evolving requirements of regulatory standards. We ensure with our service; companies will meet all the compliance obligations. Our team will collaborate closely with clients and assist in framing a robust effective navigation and mitigating various other regulatory risks.

Why choose Enterslice for SEBI compliance service

Enterslice is a consultancy company comprised of various professionals in CA, CS, auditors, lawyers, etc. We have many years of experience in SEBI compliance service, ensuring a company with systematic management in SEBI compliance of a listed company in India. Besides SEBI compliance services, we are also engaged in providing advisory assistance to listed companies in India, complying with the various guidelines under the SEBI and other related laws and regulations connected to stock exchange business operations.

  1. We assist the company by advising and coordinating with the IPO (Initial Public Offerings) listing in the market.
  2. Assisting listed companies while listing securities, including both equity-based and debt instruments.
  3. Our team of professionals assures that such listed companies meet the compliance statutory requirements.
  4. We also handle the legal issues of the companies by coordinating with various statutory bodies such as SEBI, Stock exchanges, RBI, ROC, and NSDL/CDSL to sort out the legal conflicts.
  5. The Enterslice team also ensures that listed companies meet compliance requirements according to the Investor Protection Rules, Insider Trading, SEBI takeover regulations, Depositors Act, 1996, and various other SEBI regulations and laws.
  6. We also issue a certificate through our chartered accountant's in-house professionals.
  7. At enterslice, our compliance team shall assist the company in preparing all kinds of documentation like the lifting of the suspension of a listed company and various other undertakings of re-listing of securities on the stock exchange.
  8. A quarterly secretarial audit certificate shall be issued by the team Enterslice SEBI compliance team for reconciliation required under the SEBI notifications.
  9. We shall also issue a certificate under the NSDL or CDSL by-laws on various transfers of shares and dematerialization.
  10. A systematic report is also prepared by our expert professional team on the quarterly pattern of shareholding to the authorized stock exchanges.
  11. Enterslice experts’ team in SEBI compliance also provides a company with various advice related to securities laws such as the Securities Contract Regulation Act, the Securities and Exchange Board of India Act, etc.
  12. We shall also help the listed companies maintain coordination with the registrar, share transfer agents, stock exchange, depositors, and SEBI regulatory bodies.

Approach & Process of SEBI Compliance

To ensure a listed company with the SEBI compliance calendar, we at Enterslice consultancy company divide our procedures or methods according to the requirement of the company meeting the SEBI compliance and regulation statutory laws by protecting the interest of the investors. Given below are the basic procedures taken by our expert team:

  1. A preliminary evaluation shall be conducted in the beginning by closely working with the organization in order to collect and gather information on how the business operations are conducted. Here a team of Enterslice professionals will evaluate and assess the policies, procedures, documentation, etc.
  2. With the due evaluation of the company's business operations evidence shall be collected to spot the gaps and loopholes and thus accordingly a suggestion will be recommended preventing various legal liabilities and heavy penalties.
  3. A report shall be prepared by our team on various SEBI compliance requirements and points on compliance and non-compliance.
  4. Finally, after evaluating the company's SEBI compliance a report shall be presented to the concerned company and thus accordingly sent to the statutory concerned authority on their request.

SEBI  COMPLIANCE CALENDAR

OBJECTIVE

The Enterslice team took the initiative to create a comprehensive guide for Compliance Officers, CFOs, and Company Secretaries to provide a comprehensive overview of compliance reporting dates for various applicable laws in India.

This version covers the most important laws under (the Securities Exchange Board of India) SEBI, i.e.,

  • SEBI (LODR) Regulation, 2015
  • SEBI (Substantial Acquisition of Shares and Takeovers) Regulation, 2018
  • SEBI (Depositories & Participants) Regulation, 2018

and provide dates specified by various regulatory authorities.

Our team is committed to constantly updating the compliance calendar by adding laws and ensuring regular updates. We encourage users to visit our website frequently to access the latest versions of the calendar.

DISCLAIMER

  • It is important to note that the relevant authorities can often change the regulations.
  • Therefore, the reader/user should perform their own due diligence before relying on this information.

SEBI (LODR) REGULATION, 2015

S.No.

PARTICULARS

COMPLIANCE DESCRIPTION

FREQUENCY

FILING DATES

1

Statement of Grievance Redressal Mechanism

Details of Investor Complaints

Quarterly

· 21st April

· 21st July

· 21st October

· 21st January

2

Corporate Governance Report

Compliance report on corporate governance

Quarterly

· 15th April

· 15th July

· 15th October

· 15th January

3

Share Holding Pattern

Statement showing holding of securities and shareholding pattern

Quarterly

· 21st April

· 21st July

· 21st October

· 21st January

4

Submission of Deviations or Variations

Indicating Deviations in public issues, rights issues, preferential issue

Quarterly

· 14th August

· 14th November

· 14th February

· 30th May

5

Financial Results

Standalone financial results based on accrual accounting policy

Quarterly

· 14th August

· 14th November

· 14th February

· 30th May

6

Indian Depository Receipt Holding Pattern

Detailed holding pattern for an Indian Depository Receipt

Quarterly

· 15th April

· 15th July

· 15th October

· 15th January

7

Compliance Certificate in relation to share transfer facility

Ensuring share transfer facilities are maintained

Half-Yearly

· 30th April

· 31st October

8

Certificate related to the timely issue of Share Certificate

Certificate from Practicing Company Secretary

Half-Yearly

· 31st October

9

Secretarial Compliance Report

Broad check on compliances with SEBI Regulations and Circular

Annual

· 30th May every year

10

Financial Results

Standalone financial results based on accrual accounting policy

Annual

· 30th May every year

 

SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATION, 2011

S.No.

PARTICULARS

COMPLIANCE DESCRIPTION

FREQUENCY

FILING DATES

1

Disclosure of Aggregate Shareholding

Details of aggregate shareholding and voting rights as of the thirty-first day of March 31

Annual

7th April every year

 

SEBI (DEPOSITORIES & PARTICIPANTS) REGULATION, 2018

S.No.

PA1RTICULARS

COMPLIANCE DESCRIPTION

FREQUENCY

FILING DATES

1

Audit Report under Sebi(D&P) Regulation

Details of change in Share Capital

Quarterly

·         30th July

·         30th October

·         30th January

·         30th April

 

Conclusion

Thus, the SEBI compliance calendar is an important aspect of a listed company for maintaining corporate governance. A company, by keeping up-to-date with such a compliance calendar, can keep track of various frequent updates on various statutory deadlines and thus avoid legal liabilities and various heavy penalties for not complying with the statutory regulations. Moreover, SEBI compliance will help the company to smoothly get through the intricate legal obligations and statutory deadlines. Therefore, keep this calendar handy and ensure that you keep your company updated with various compliance changes from time to time.

Frequently Asked Questions

SEBI compliances are those compliances for organizations who have listed their securities in the stock exchange and thus are to be complied with according to the SEBI laws to protect the interest of investors and to regulate the securities market.

The primary objective of a SEBI is to monitor or to eye on the business operations of the capital and securities market in India along with the protection of investors investing in such securities.

Some of the major activities of SEBI are regulating the stock market, training and awareness programs, market regulations, and checking financial intermediaries such as banks.

SEBI is a statutory regulatory body that was established on 12th April 1992.

SEBI stands for Securities and Exchange Board of India.

SEBI was formed under the government of India to regulate and check the Indian markets in securities and protect investors' interests.

SEBI, being a statutory regulatory body, plays a key role in India's financial system, regulating the securities market, maintaining transparency, and protecting the interests of investors. Moreover, it regulates the operations and functioning of stockbrokers, sub-brokers, portfolio managers, and other securities market intermediaries.

The importance of SEBI in the financial market is to maintain transparency and fair market practices, boosting the nation's overall economic growth.

A compliance calendar is a kind of tool that a company uses to stay up to date with the comprehensive dynamic changes in the regulations, ensuring that the top deadlines are met and preventing legal liabilities and heavy penalties.

Every listed securities company shall file a compliance report annually within 60 days of the end of the financial year, as mentioned in the SEBI compliance and regulation framework.

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