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Company Related

1.   Format for Company Details
2.   Compliance Format under Listing Regulations (LODR) 2015.
   
A. Specified Securities
  1 Regulation 27 (2) : Corporate Governance Report
  2 Regulation 31 : Shareholding Pattern
  3 Regulation 33 : Financial Result
  4 Regulation 34 : Business Responsibility Report
  5 Regulation 44 : Voting Result
B.   Indian Depository Receipts
  1 Regulation 69 : Shareholding pattern & Regulation 72 – Corporate Governance
C.   Debt securities and/or non-cumulative redeemable preference shares
  1 Regulation 52 : Financial Result
D.   Securitised Debt Instruments
  1 Regulation 82(3) – Filing of Statements/reports for securitized debt instruments
E.   Others Format
  1 SEBI Regulation (DP) 55A - Reconciliation of Share Capital Audit Report
  2 Top 100 Companies as on 31/03/2015 based on Market Capitalisation
  3 Top 500 Companies as on 31/03/2015 based on Market Capitalisation
  4 Top 100 Companies as on 31/03/2016 based on Market Capitalisation
  5 Top 500 Companies as on 31/03/2016 based on Market Capitalisation
3.   Disclosure Format under SEBI SAST Regulation 2011 & PIT Regulation 2015
   
1. Format under Regulation 10(5)-Intimation to Stock Exchanges in respect of acquisition under Regulation 10(1)(a) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.
2. Format under Regulation 10(5)-Intimation to Stock Exchange in respect of acquisition under Regulation 10(4)(e)of SEBI (Substantial Acquisition of Shares and Takeovers) SAST Regulations, 2011.
3. Format under Regulation 10(5) - Intimation to Stock Exchanges in respect of acquisition under Regulation 10(4)(f) of SEBI (Substantial Acquisition of Shares and Takeovers) SAST Regulations, 2011.
4. Format under Regulation 10(6)-Report to Stock Exchanges in respect of any acquisition made in reliance upon exemption provided for in Regulation 10 of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.
5. Format under Regulation 18(6) - Disclosure by acquirer for shares/ voting rights acquired during the offer period under Regulation 18 (6) in terms of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 .
6. Format under Regulation 29(1) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011– Disclosure of acquisition to the Stock Exchanges and the Target Company.
7. Format under Regulation 29(2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 – Disclosure of acquisition and disposal to the Stock Exchanges and the Target Company.
8. Format under Regulations 30(1) & (2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011- Continual Disclosures at the end of each financial year to the Stock Exchanges and the Target Company.
9. Format under Regulations 31(1) & (2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 - Disclosure of encumbered shares and details of any invocation / release of such encumbrances to the Stock Exchanges and the Target Company. ( Format revision w.e.f 5th Aug, 2015)
10. Format for Disclosures under SEBI (Prohibition of Insider Trading) Regulations, 2015
4.   Listing Agreement
  Simplified Listing Agreement uniform across all types of securities/listed entities ( Listing Regulations 2015.)
(Compulsory for all listed entities to sign with the Exchange latest before March 1st, 2016. )
5.   Checklist & Forms (Guideline to help companies to ensure compliance)
   
1. Qualified Institutional Placement (QIPs) - Pre issue
2. Qualified Institutional Placement (QIPs) - Post issue
3. GDRs/ADRs/FCCBs - Pre issue
4 GDRs/ADRs/FCCBs - Post issue
5. Preferential Issue - Pre Issue
6 Preferential Issue - Post Issue
7 Scheme of Amalgamation/ Arrangement/ Demerger, etc. (Regulation 37 of the SEBI (LODR), Regulations, 2015)
8 Listing of securities issued pursuant to the scheme of amalgamation/ arrangement/ reduction of capital (Post allotment)
9 Listing of an unlisted company pursuant to the scheme of amalgamation/ demerger (Post allotment)
10 Rights Issue - Pre Issue and Post issue formalities
11. Bonus Pre-Issue Checklist
12. Bonus Post Issue Checklist
13 ESOP/ESOS/ESPS Pre-Post Issue Checklist
14. Forfeiture of Securities Checklist
15. Re-issue of Forfeited Shares – Pre & Post Issue Checklist
16. Checklist for listing of Privately placed Debt issuances
17. Checklist for listing of Privately Placed NCRPS
18 Check List of Stock Split – Fixing of Record Date
19 Checklist In-principle Stage Name Change
20. Check list for Change of Name of Company
21. Listing Application form (By Listed Companies For New Original Or Further Issues)
22. Application Format for Capital Confirmation
23. Checklist for Application for Reclassification under 31 A of SEBI Listing regulations 2015
6.   Formalities/Formats for Buyback of shares by a company
7.   No Objection Certificate for release of 1% of issue amount
8.   Historical Agreements & Historical Formats
   
A. Historical Formats
 
1. Clause 35 : Shareholding Pattern
2. Clause 35A : List of 500 companies to whom Clause 35A is applicable.
3. Clause 47 (c) : Certificate from Practicing Company Secretary
 
3.1. A)Format- Applicable till half year ended September 2012
3.2. B) Format- Applicable from half year ended March 2013
4. Clause 49 : Quarterly Corporate Governance Report
 
4.1. Clause 49 (VI)(C): List of Top 100 listed companies as on 31.03.2015 to whom Clause 49 (VI)(C) is applicable w.e.f. 01.10.2014.
4.2. Clause 49 : Quarterly Corporate Governance Report - applicable upto Quarter ended September 30, 2014
4.3. Clause 49 : Quarterly Corporate Governance Report - applicable w.e.f. Quarter ended December 31, 2014
5. Clause 41 - Financial Result
 
5.1. A) Format - Applicable effective from 31st March, 2012
6. Clause 55: List of Top 100 Companies - Business Responsibility Reports as part of the Annual Report.Other listed entities may voluntarily disclose Business Responsibility Reports as part of their Annual Reports.
7. Disclosure Format under Prohibition of Insider Trading Regulations 1992.
 
7.1. Form A - SEBI - Prohibition of Insider Trading Regulations,1992
7.2. Form B - SEBI - Prohibition of Insider Trading Regulations,1992
7.3. Form C - SEBI - Prohibition of Insider Trading Regulations,1992
7.4. Form D - SEBI - Prohibition of Insider Trading Regulations,1992
B. Historical Listing Agreement
 
1. Equity Listing Agreement - applicable w.e.f. October 1, 2014
2. Equity Listing Agreement - applicable upto September 30, 2014
3. Listing Agreement for Equity
4. Listing Agreement for Debt Securities
5. Listing Agreement for Securitized Debt Instruments
6. Listing Agreement for Indian Depository Receipts
 
6.1. For issuing companies whose securites market regulator issignatory of MMOU of IOSCO
(For Indian Depository Receipt)
6.2. For other companies (For Indian Depository Receipt)
7. Listing Agreement for Privately Placed NCRPS
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