What are the SEBI LODR compliance requirements for a company secretary?
Quarterly disclosures (Reg. 13/27/30), annual disclosures (Reg. 34/36), event-based intimations (Reg. 30) and structured digital database (Reg. 3) of UPSI — CS is Compliance Officer under Reg. 6.
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Disclosure obligations of a listed entity under LODR Regulation 30
Disclose material events/information to stock exchanges as soon as reasonably possible but not later than 30 minutes (Para A) or 24 hours / Schedule III timelines.
Secretarial compliance for listed companies — annual reporting matrix
Listed entities must file Annual Secretarial Compliance Report (Reg 24A) signed by a PCS, alongside MR-3, within 60 days of year-end. Covers all SEBI regulations applicable.
Continuous disclosures under PIT Regulations — Reg. 7 trading window
Designated persons cannot trade while window is closed (from UPSI emergence till 48 hours after announcement). Disclose trades > ₹10 lakh in a calendar quarter.
Event-based filings under the Companies Act
Filings triggered by specific events: PAS-3 (allotment), MGT-14 (resolutions), DIR-12 (director changes), CHG-1 (charges), SH-7 (capital changes), INC-22 (RO change).
What are the consequences of non-filing of annual returns (MGT-7) and financial statements (AOC-4)?
Additional fees, prosecution of directors under §92(5)/§137(3), disqualification of directors under §164(2), and possible strike-off by ROC.