SEBI Compliance – carmfid

The Securities and Exchange Board of India (SEBI) is the primary regulatory authority that oversees and regulates the securities market in India to protect the interests of investors and ensure the development and regulation of the securities market. Here’s a brief note on SEBI Compliances in India:

SEBI Compliances for Listed Companies:

Companies must adhere to the LODR Regulations, 2015, which impose a range of requirements on listed companies, including compliance with disclosure obligations, shareholder rights, and board responsibilities¹.

Listed companies are required to conduct a secretarial audit, submit annual reports, and
disclose the outcomes of general meetings within specified timelines².

There are specific reporting requirements that need to be met on a quarterly and half-yearly basis².

Compliance with Regulation 30 (1) and 30 (2) related to the disclosure of acquisitions and takeovers².

Ensuring good corporate governance practices as per the principles governing disclosures and obligations of listed companies¹.

Listed entities are required to form a Risk Management Committee and comply with the revised risk management committee requirements as per SEBI LODR (Second Amendment) Regulations, 2021³.

Compliance with SEBI’s Prohibition of Insider Trading regulations to prevent insider trading activities².

Appointment of a compliance officer to oversee and ensure adherence to SEBI regulations and to interface with SEBI⁴.

Certain compliances are applicable based on the company’s market capitalization, such as the Business Responsibility and Sustainability Report, which is mandatory for the top 1000 companies by market cap from FY 2022-23².

SEBI’s regulations are designed to ensure transparency, fairness, and accountability in the securities market, thereby enhancing investor confidence. Companies must stay vigilant and up-to-date with these regulations to avoid penalties and maintain their reputation in the market. For a detailed understanding of SEBI compliances, it is advisable to consult the SEBI Act, 1992, and the various regulations issued thereunder. Ifyou need more detailed information or assistance, please let me know!