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CHAPTER I

Preliminary

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CHAPTER II

Principles Governing Disclosures And Obligations Of Listed Entity

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CHAPER III

Common Obligations Of Listed Entities

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CHAPTER IV

Obligations Of A Listed Entity Which Has Listed Its Specified Securities And Non-Convertible Debt Securities

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CHAPTER V

Obligations Of Listed Entity Which Has Listed Its Non-Convertible Securities

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CHAPTER VI

Obligations Of Listed Entity Which Has Listed Its Specified Securities And Either Non-Convertible Debt Securities Or Non-Convertble Redeemable Preference Shares Or Both

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CHAPTER VIA

Framework for Voluntary Delisting of Non-convertible Debt Securities or Non-Convertible Redeemable Preference Shares and Obligations of the Listed Entity on such delisting

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CHAPTER VII

Obligations Of Listed Entity Which Has Listed Its Indian Depository Receipts

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CHAPTER VIII

Obligations Of Listed Entity Which Has Listed Its Securitised Debt Instruments

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CHAPTER VIIIA

Obligations Of Listed Entity Which Has Listed Its Security Receipts

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CHAPTER IX

Obligations Of Listed Entity Which Has Listed Its Mutual Fund Units

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CHAPTER IXA

Obligations Of Social Enterprises

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CHAPTER X

Duties And Obligations Of The Recognised Stock Exchange(S)

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CHAPTER XI

Procedure For Action In Case Of Default

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CHAPTER XIA

Power To Relax Strict Enforcement Of The Regulations

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CHAPTER XII

Miscellaneous

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SCHEDULE I

SCHEDULE II

PART A

PART B

PART C

PART D

PARA A

PARA B

PARA C

PART E

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SCHEDULE III

PART A

PART B

PART C

PART D

PART E

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SCHEDULE IV

PART A

PART B

 

SCHEDULE V

SCHEDULE VI

SCHEDULE VII

SCHEDULE VIII

SCHEDULE IX

SCHEDULE X

SCHEDULE XI

CHAPTER I    PRELIMINARY

1    Short title and commencement

2    Definitions

3    Applicability of the regulations

 

CHAPTER II   PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS OF LISTED ENTITY

4    Principles governing disclosures and obligations

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CHAPTER III    COMMON OBLIGATIONS OF LISTED ENTITIES

5    General obligation of compliance

6    Compliance Officer and his /her Obligations

7    Share Transfer Agent

8    Co-operation with intermediaries registered with the Board

9    Preservation of documents

10   Filing of information

11   Scheme of Arrangement

12   Payment of dividend or interest or redemption or repayment

13   Grievance Redressal Mechanism

14   Fees and other charges to be paid to the recognized stock exchange(s)

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CHAPTER IV    OBLIGATIONS OF A LISTED ENTITY WHICH HAS LISTED ITS SPECIFIED                                        SECURITIES AND NON-CONVERTIBLE DEBT SECURITIES

15    Applicability

16    Definitions

17    Board of Directors

17A Maximum number of directorships

18    Audit Committee

19    Nomination and remuneration committee

20    Stakeholders Relationship Committee

21    Risk Management Committee

22    Vigil mechanism

23    Related party transactions

24    Corporate governance requirements with respect to subsidiary of listed entity

24A Secretarial Audit and Secretarial Compliance Report

25    Obligations with respect to independent directors

26    Obligations with respect to employees including senior management, key managerial                     personnel, directors and promoters

26A  Vacancies in respect of certain Key Managerial Personnel

27     Other corporate governance requirements

28     In-principle approval of recognized stock exchange(s)

29     Prior Intimations

30     Disclosure of events or information

30A   Disclosure requirements for certain types of agreements binding listed entities

31      Holding of specified securities and shareholding pattern

31A   Conditions for re-classification of any person as promoter / public

31B   Special rights to shareholders

32      Statement of deviation(s) or variation(s)

33      Financial results

34      Annual Report

35      Annual Information Memorandum

36      Documents & Information to shareholders

37      Draft Scheme of Arrangement & Scheme of Arrangement

37A    Sale, lease or disposal of an undertaking outside Scheme of Arrangement

38      Minimum Public Shareholding

39      Issuance of Certificates or Receipts/Letters/Advices for securities and dealing with                         unclaimed securities

40    Transfer or transmission or transposition of securities

41    Other provisions relating to securities

41A Other provisions relating to outstanding SR equity shares

42    Record Date or Date of closure of transfer books

43    Dividends

43A Dividend Distribution Policy

44    Meetings of shareholders and voting

45    Change in name of the listed entity

46    Website

47    Advertisements in Newspapers

48    Accounting Standards

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CHAPTER V    OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS NON-CONVERTIBLE                           SECURITIES

49   Applicability

50   Intimation to stock exchange(s)

51   Disclosure of information having bearing on performance/operation of listed entity and/or             price sensitive information

52   Financial Results

53   Annual Report

54   Security Cover

55   Credit Rating

56   Documents and Intimation to Debenture Trustees

57   Intimations/ other submissions to stock exchange(s)

58   Documents and information to holders of non - convertible Securities

59   Structure of non convertible debt securities and non convertible redeemable preference                shares

59A Draft Scheme of Arrangement and Scheme of Arrangement

60   Record Date

61   Terms of non convertible debt securities and non convertible redeemable preference shares

61A Dealing with unclaimed non-convertible securities and benefits accrued thereon

62   Website

62A Listing of subsequent issuances of non-convertible debt securities

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CHAPTER VI      OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SPECIFIED                                           SECURITIES AND EITHER NON-CONVERTIBLE DEBT SECURITIES OR NON-                                  CONVERTBLE REDEEMABLE PREFERENCE SHARES OR BOTH

63   Applicability of Chapters IV and V

64   Delisting

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CHAPTER VIA    FRAMEWORK FOR VOLUNTARY DELISTING OF NON-CONVERTIBLE DEBT                                  SECURITIES OR NON-CONVERTBLE REDEEMABLE PREFERENCE SHARES                                     AND  OBLIGATIONS OF THE LISTED ENTITY ON SUCH DELISTING

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CHAPTER VII    OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS INDIAN                                                 DEPOSITORY RECEIPTS

65   Applicability

66   Definitions

67   General Obligations of listed entity

68   Disclosure of material events or information

69   Indian Depository Receipt holding pattern & Shareholding details

70   Periodical Financial Results

71   Annual Report

72   Corporate Governance

73   Documents and Information to IDR Holder

74   Equitable Treatment to IDR Holders

75   Advertisements in Newspapers

76   Terms of Indian Depository Receipts

77   Structure of Indian Depository Receipts

78   Record Date

79   Voting

80   Delisting of Indian Depository Receipt

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CHAPTER VIII    OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SECURITISED                                        DEBT INSTRUMENTS

81   Applicability

82   Intimation and filings with stock exchange(s)

83   Disclosure of information having bearing on performance/operation of listed entity and/or            price sensitive information

84   Credit Rating

85   Information to Investors

86   Terms of Securitized Debt Instruments

87   Record Date

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CHAPTER VIIIA    OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SECURITY                                             RECEIPTS

87A  Applicability

87B  Intimations and Disclosure of events or information to Stock Exchanges

87C  Valuation, Rating and NAV disclosure

87D  Terms of Security Receipts

87E  Record Date

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CHAPTER IX    OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS MUTUAL FUND                                    UNITS

88   Applicability

89   Definitions

90   Submission of Documents

91   Dissemination on the website of stock exchange(s)

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CHAPTER IXA    OBLIGATIONS OF SOCIAL ENTERPRISES

91A  Applicability

91B  Disclosures by a For Profit Social Enterprise

91C  Disclosures by a Not for Profit Organization

91D  Intimations and disclosures by Social Enterprise of events or information to Social Stock                 Exchange(s) or Stock Exchange(s)

91E  Disclosures by a Social Enterprise in respect of social impact

91F  Statement of utilisation of funds

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CHAPTER X    DUTIES AND OBLIGATIONS OF THE RECOGNISED STOCK EXCHANGE(S)

92    Dissemination

93    Transferability

94    Draft Scheme of Arrangement & Scheme of Arrangement in case of entities that have listed          their specified securities

94A  Draft Scheme of Arrangement & Scheme of Arrangement in case of entities that have                     listed their non-convertible debt securities or non-convertible redeemable preference                    shares

95    Statement on Impact of Audit Qualifications accompanying Annual Audit Report

96    Grievance Redressal

97    Monitoring of Compliance/Non Compliance & Adequacy/ Accuracy of the disclosures

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CHAPTER XI    PROCEDURE FOR ACTION IN CASE OF DEFAULT

98    Liability for contravention of the Act, rules or the regulations

99    Failure to pay fine

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CHAPTER XIA    POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS

99A  Exemption from enforcement of the regulations in special cases

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CHAPTER XII    MISCELLANEOUS

100   Amendments to other regulations

101   Power to remove difficulties

102   Power to relax strict enforcement of the regulations

103   Repeal and Savings

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SCHEDULES     

SCHEDULE I    TERMS OF SECURITIES

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SCHEDULE II    CORPORATE GOVERNANCE

PART A    

MINIMUM INFORMATION TO BE PLACED BEFORE BOARD OF DIRECTORS

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PART B    

COMPLIANCE CERTIFICATE

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PART C   

ROLE OF THE AUDIT COMMITTEE AND REVIEW OF INFORMATION BY AUDIT COMMITTEE

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PART D  

ROLE OF COMMITTEES (OTHER THAN AUDIT COMMITTEE)

PARA A     ROLE OF NOMINATION AND REMUNERATION COMMITTEE

PARA B     STAKEHOLDERS RELATIONSHIP COMMITTEE

PARA C     RISK MANAGEMENT COMMITTEE

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PART E    

DISCRETIONARY REQUIREMENTS

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SCHEDULE III     

PART A  

DISCLOSURES OF EVENTS OR INFORMATION: SPECIFIED SECURITIES

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PART B 

DISCLOSURE OF INFORMATION HAVING BEARING ON PERFORMANCE/OPERATION OF LISTED ENTITY AND/OR PRICE SENSITIVE INFORMATION: NON-CONVERTIBLE SECURITIES

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PART C 

DISCLOSURES OF MATERIAL EVENTS OR INFORMATION: INDIAN DEPOSITORY RECEIPTS

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PART D 

DISCLOSURE OF INFORMATION HAVING BEARING ON PERFORMANCE/ OPERATION OF LISTED ENTITY AND/OR PRICE SENSITIVE INFORMATION: SECURITISED DEBT INSTRUMENT

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PART E 

DISCLOSURE OF EVENTS OR INFORMATION TO STOCK EXCHANGES: SECURITY RECEIPTS

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SCHEDULE IV     

PART A  

DISCLOSURES IN FINANCIAL RESULTS

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PART B

PREPARTION AND DISCLSOURES IN FINANCIAL RESULTS OF LISTED ENTITY WHICH HAS LISTED ITS INDIAN DEPOSITORY RECEIPTS

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SCHEDULE V    ANNUAL REPORT

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SCHEDULE VI    MANNER OF DEALING WITH UNCLAIMED SHARES

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SCHEDULE VII    TRANSFER AND TRANSMISSION OF SECURITIES

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SCHEDULE VIII MANNER OF REVIEWING FORM B ACCOMPANYING ANNUAL AUDITED RESULTS

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SCHEDULE IX    AMENDMENTS TO OTHER REGULATIONS

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SCHEDULE X     LIST OF SEBI CIRCULARS WHICH STAND RESCINDED

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SCHEDULE XI    FEE IN RESPECT OF DRAFT SCHEME OF ARRANGEMENT

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