Departments - Listing

 

Departments

 

 

Listing

 

The Listing Department guides prospective companies desirous of being listed on the Exchange by providing the knowledge base and information on the statutory requirements that have to be complied with. The major functions undertaken  by the department include post-listing monitoring and compliance with the listing agreement, monitoring the listing agreements and reviewing the provisions of listing agreement from time to time with specific reference to SEBI Regulations/Circulars that are in force. The department also ensures diligence in scrutinizing listing applications and adhering to the Listing Norms.

Compliance Monitoring is carried out with specific emphasis on the following clauses in the Listing Agreement.

  • Clauses 15/16  - Short/non intimation of BC/RD

  • Clause 19 � Intimation of Board Meeting including advance notice wherever required

  • Clause 20- Outcome of Board Meeting

  • Clause 24 � In-principle approvals

  • Clause 31 � Annual Reports

  • Clause 32 � Name Change, Cash Flow, Consolidated Financial Statement, Related Party Disclosures etc.

  • Clause 35 � Quarterly submission of Shareholding Pattern.

  • Clause 36 � Material Price sensitive Information

  • Clause 40 - Continuous Listing requirements

  • Clause 41 � Financial Results and Limited Review Reports

  • Clause 47 � Appointment of Compliance Officer

The department also performs the processing of the documents submitted by companies on new listings/additional listings and provides them with the listing approval/trading permission and also ensures that  listing fee/processing fee is paid at the stipulated time.
 

Cochin Stock Exchange, Kochi, India