LODR Checklist
LODR Compliances Checklist as on 15.04.2019 Quarterly Compliances Sl. No. Chapter/Regulation Requirement Time frame Applicability 1. III- 13(3) A statement containing the number of investor complaints pending at the beginning of the quarter, those received during the quarter, disposed of during the quarter and those remaining unresolved at the end of the quarter. Statement to be also placed before Board on quarterly basis. Within 21 days from the end of each quarter 2. IV-27(2) A quarterly compliance report on corporate governance along with details of all material transactions with related parties. It can be signed either by Compliance Officer or the CEO. Format is Annexure I as given in SEBI CIR/CFD/CMD/ 5 /2015 dated Sept 24, 2015. Within fifteen days from close of the quarter This regulation shall not be applicable to: a.a listed entity having paid up equity share capital not exceeding rupees ten crore and net worth not excee...