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Sebi

This document outlines the obligations and disclosure requirements for listed entities in India as per SEBI regulations. It covers various chapters on preliminary aspects, common obligations, obligations for entities that have listed different types of securities, duties of recognized stock exchanges, and procedures for handling non-compliance. The document provides a detailed framework for corporate governance and disclosures.

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32 views

Sebi

This document outlines the obligations and disclosure requirements for listed entities in India as per SEBI regulations. It covers various chapters on preliminary aspects, common obligations, obligations for entities that have listed different types of securities, duties of recognized stock exchanges, and procedures for handling non-compliance. The document provides a detailed framework for corporate governance and disclosures.

Uploaded by

saket
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as XLSX, PDF, TXT or read online on Scribd
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SEBI (Listing Obli

Chapter I (Preliminary)
S.No. Regl.No.
1
2
3
Chapter II (Principles Governing Disclosures and Obligations of listed Entity)
4(1)
4(2) (a)
(b)

(d)
(e)
(f)
4(3)
Chapter III (Common Obligations of the listes Entities)
5 General Obligation of Compliance
6
7
8
9
10
11
12
13
14
Chapter IV (Obligations of Listed Entities Which has Listed its Specified securities)
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
31A

32
33
34
35
36
37
38
39
40
41
42
43
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45
46
47
48
Chapter V (Obligations of Listed Entity which has listed its Non-Covertible Debt Securities

Chapter VI (Obligations of Listed Entity which has Listed specefied Securities and either N
Both )

Chapter VII (Obligations of Listed Entity which has Listed its Indian Depository Receipts)

Chapter VIII (Obligations of Listed Entity which has listed its Securitised Debt Instruments
Chapter IX (Obligation of Listed Entity which has Listed its mutual Fund Units
Chapter X (Duties and Obligations of the Recognised Exchange)
92
93
94
95
96
97
Chapter XI (Procedure for Action In case of Default)
98
99
Chapter XII

SEBI (Listing Obligation and Disc

Chapter I (Preliminary)
Heading
Short title and Commencement
Definitions
Applicability of Regulation
r II (Principles Governing Disclosures and Obligations of listed Entity)
Principles Governing Disclosures and Obligations
Rights of shareholders
Timely information
Equitable treatment
Role of Stakeholders in Corporate Governance
Disclosure and Transparency
Responsibilities of Board Of Directots

r III (Common Obligations of the listes Entities)


General Obligation of Compliance
Compliance Officer and his Obligations
Share Transfer Agent
Co-Operation with intermediaries registered with Board
Preservation of Documents
Filling of information
Scheme of Arrangement
Payment of dividend or interest or redemption or repayment
Grievance Redressal Mechanism
Fees and other Charges to be paid to the recognized stock exchanges(s)
r IV (Obligations of Listed Entities Which has Listed its Specified securities)
Applicability
Definitions
Board of Directors
Audit Commmittee
Nomination and remuneration Committee
Stakeholder relationship Committee
Risk Management Committee
Vigil Mechanism
Relatede party Transactions
Corporate Governance requirements with respect to Subsidiary of Listed Entity
Obligation w.r.t Independent
Obligation w.r.t directors and Senior Management
Other Corporate Governance Requirements
In-Principle Approval of recognized stock exchange(s)
Prior Intimations.
Disclosure of events or information
Holding of Specified securities and shareholding pattern
Disclosure of Class of Shareholders and Conditions for Reclassification

Statement of deviation(s) or variation(s)


Financial Result
Annual Report
Annual Information Memorandum
Documents and Information to Shareholders
Draft Scheme of Arrangement & Scheme of Arrangements
Minimum Public Shareholding
Unclaimed Securities
Transfer or Transmission or Transposition of Securities
Other provisions relating to Securities
Record Date or date of Closure of Transfer Books
Dividends
Voting of shareholders
Change in the name of Listed Entity
Website
Advertisements in Newspapers
Accounting Standards
r V (Obligations of Listed Entity which has listed its Non-Covertible Debt Securities Or Non-covertib
Not Applicable

r VI (Obligations of Listed Entity which has Listed specefied Securities and either Non-Convertible D
Not Applicable

r VII (Obligations of Listed Entity which has Listed its Indian Depository Receipts)
Not Applicable

r VIII (Obligations of Listed Entity which has listed its Securitised Debt Instruments)
Not Applicable
r IX (Obligation of Listed Entity which has Listed its mutual Fund Units
Not Applicable
r X (Duties and Obligations of the Recognised Exchange)
Dissemination
Transferability
Draft Scheme of Arrangement & Scheme of Arrangement
Form B accompanying Annual Report
Grievance Redressal
Monitoring of Compliance/Non Compliance and Adequacy/ Acccuracy of Disclosures
r XI (Procedure for Action In case of Default)
Liability for contravention of the Act, Rules or the Regulations
Failure to pay fine
r XII

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