Listed Compliance

LODR results, shareholding pattern, investor grievances, governance filings and website disclosures.

Compliance Calendar Hub · D05

Listed Compliance

LODR results, shareholding pattern, investor grievances, governance filings and website disclosures.

Section-wise decoding

1. Objective

A compliance calendar converts statutory obligations into an operating rhythm: owner, due date, evidence, approval and escalation.

2. Applicability

Relevant for private companies, LLPs, listed entities, startups, audit teams, finance teams and compliance officers.

3. Core Rules

Due dates must be checked against live portal notifications, entity-specific applicability, turnover thresholds, state laws and event triggers.

4. Practical Example

A company holding AGM on 30 September must compute AOC-4 and MGT-7 timelines from AGM date, while DIR-3 KYC and DPT-3 have separate annual rhythms.

5. Common Mistake

Using a static calendar without tracking event-based filings like allotment, charge creation, director changes or auditor resignation.

Practical compliance map

Area	What to check	Evidence
Applicability	Entity type, thresholds, exemptions, board/audit committee requirements	Entity profile note, statutory registers, portal master data
Process	Owner, maker-checker, approval route, timeline and escalation	SOP, tracker, reviewer sign-off
Documentation	Working paper, calculation, source extract, management approval	PDF evidence pack and version history
Review	Legal freshness, numerical accuracy, final upload test	QA checklist and upload screenshot

Exceptions and red flags

Risk: Applying generic rules without entity-specific threshold checks.
Risk: Missing event-based triggers while focusing only on monthly/annual items.
Risk: Not preserving evidence for future audit, inspection or investor diligence.

Implementation checklist

✓ Assign owner and reviewer.
✓ Maintain evidence folder.
✓ Set T-15/T-7/T-1 reminders.
✓ Refresh from official portals before each month.

Q&A

What is the first step?	Identify applicability. A rule may exist, but the entity may be exempt or subject to a threshold.
What makes this Finin2min-ready?	Plain-English decoding plus source base, examples, Q&A, summary and implementation checklist.
Can this be used as professional advice?	No. It is an educational upload asset; final action should rely on live law, circulars, forms and professional judgement.
What should be refreshed before publishing?	Dates, thresholds, circular amendments, portal utilities and any regulator FAQs issued after the source-log date.

Finin2min Summary

Listed Compliance in 2 minutes: Know the rule, check applicability, document the evidence, assign accountability, review exceptions, and refresh from official sources before filing, reporting or board use.

Source log

Income Tax Department tax calendar — https://www.incometaxindia.gov.in/tax-calendar
MCA portal and Companies Act filings — https://www.mca.gov.in/
NSE compliance calendar for listed entities — https://www.nseindia.com/static/companies-listing/compliance-information-compliance-calendar-main-board
SEBI LODR master circular — https://www.sebi.gov.in/sebiweb/home/HomeAction.do?doListing=yes&sid=1&smid=0&ssid=6
EPFO/ESIC/GST portal checks to be refreshed before publication — https://www.gst.gov.in/