Quarterly, Half-yearly, Yearly Compliances

Quarterly, Half-Yearly, and Yearly Compliances for Listed Entities

“Compliance is not just about meeting regulations; it’s about building trust and paving the way for sustainable success.”

 At BlueRock Advisors LLP, we specialize in providing end-to-end compliance management solutions to ensure your organization remains fully compliant with all regulatory requirements. Our expertise ensures that you meet deadlines, avoid penalties, and maintain investor confidence while focusing on your core business operations.

Overview of Periodic Compliance Obligations

Quarterly Compliances

1. Financial Results
   Submission of quarterly financial results as per Regulation 33 of SEBI (LODR) Regulations, 2015. 
2. Shareholding Pattern
   Filing of shareholding patterns under Regulation 31 to provide transparency in ownership structures. 
3. Investor Grievance Report
   Submission of statement regarding investor complaints under Regulation 13(3) 
4. Corporate Governance Report
   Filing of quarterly corporate governance reports as per Regulation 27. 
5. Reconciliation of Share Capital Audit Report
   Submission of reports for reconciliation of total share capital.

Half-Yearly Compliances

1. Certificate on Transfer/Transmission
   Filing of certificate regarding timely issue of share certificates under Regulation 40(9).
2. Secretarial Audit Report
   Submission of secretarial compliance report, ensuring adherence to SEBI regulations.
3. Compliance with Codes of Conduct
   Disclosure of compliance with the company’s code of conduct for directors and senior management

Yearly Compliances

1. Annual Report Submission
   Filing the annual report, including financial statements, board reports, and management discussion analysis, as per Regulation 34.
2. Disclosure of Related Party Transactions
   Ensuring compliance with reporting requirements for related party transactions.

How BlueRock Advisors LLP Can Help

Comprehensive Compliance Solutions

We provide expert support to help your company meet all quarterly, half-yearly, and yearly compliance requirements:

• Compliance Calendar Management
  • Tracking and managing timelines for all periodic regulatory filings.
  • Ensuring on-time submission to avoid penalties.
• Documentation and Filing
  • Preparing and filing financial results, shareholding patterns, corporate governance reports, and other statutory documents.
• Audit and Review
  • Conducting internal reviews to ensure data accuracy and compliance with SEBI norms.
  • Coordinating with statutory and secretarial auditors.
• Regulatory Liaison
  • Managing communication with SEBI, stock exchanges, and other regulatory authorities.
• Investor Relations Support
  • Assisting in handling investor grievances and ensuring transparent communication.
• Advisory Services
  • Providing guidance on best practices for corporate governance and compliance management.

Why Choose BlueRock for Compliance Management?

• Regulatory Expertise: Extensive knowledge of SEBI regulations and compliance frameworks.
• End-to-End Support: From planning to filing and post-compliance advisory.
• Customized Solutions: Tailored services to meet your specific compliance needs.
• Timely Execution: Ensuring that all filings and disclosures are completed within prescribed timelines.
• Proactive Approach: Minimizing risks of non-compliance through regular monitoring and reviews.

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Stay ahead of regulatory requirements with BlueRock Advisors LLP. Partner with us for seamless compliance management and focus on driving your business forward.