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Date: 2019-06-27 Category: Extra Ordinary State: Union Government Country: India

In exercise of the powers conferred by section 11 sub section 2 of section 11A and section 30 of the Securities and Exchange Board of India Act

Issued by Securities and Exchange Board of India · Not Applicable

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Executive Summary & Key Takeaways

Executive Summary: This document contains the Securities and Exchange Board of India (SEBI) Listing Obligations and Disclosure Requirements Third Amendment Regulations, 2019. It was published by authority on June 27, 2019. It amends the 2015 regulations, and comes into force on the date of its publication in the Official Gazette. Key Points / Main Content: * **Title and Authority:** * These are the Securities and Exchange Board of India Listing Obligations and Disclosure Requirements Third Amendment Regulations, 2019. * These regulations are issued in exercise of powers conferred by Section 11, subsection 2 of Section 11A, and Section 30 of the Securities and Exchange Board of India Act, 1992, read with Section 31 of the Securities Contracts Regulation Act, 1956. * **Effective Date:** * The regulations come into force on the date of their publication in the Official Gazette. * **Amendment to 2015 Regulations:** * In the Securities and Exchange Board of India Listing Obligations and Disclosure Requirements Regulations, 2015, Regulation 23, subregulation 1A is amended. * The word "five" shall be substituted for the word "two" appearing after the word "exceed" and before the word "percent". * **Footnote References:** * The document lists previous publications and amendments to the Securities and Exchange Board of India Listing Obligations and Disclosure Requirements Regulations from 2015 to 2019. Impact Analysis: * **Listed Entities:** * Impact: Listed entities are subject to the amended regulations regarding disclosure requirements. Specifically, changes to Regulation 23 subregulation 1A. * Action Required: Listed entities must adhere to the new percentage mentioned in the amended regulation. * **Securities and Exchange Board of India (SEBI):** * Impact: SEBI is responsible for enforcing the amended regulations. * Action Required: Ensure compliance with the updated regulations and monitor listed entities accordingly.

Key Entities Referenced

Securities and Exchange Board of India (SEBI): A regulatory body for securities market in India. This notification is issued by SEBI. Securities and Exchange Board of India Act, 1992: An act of the Parliament of India that established the Securities and Exchange Board of India (SEBI). Securities Contracts Regulation Act, 1956: An act to prevent undesirable transactions in securities by regulating the business of dealing in securities. Securities and Exchange Board of India Listing Obligations and Disclosure Requirements Regulations, 2015: Regulations pertaining to listing obligations and disclosure requirements for listed entities. Securities and Exchange Board of India Listing Obligations and Disclosure Requirements Third Amendment Regulations, 2019: The specific amendment to the 2015 regulations that is the subject of this notification. Mumbai, Maharashtra: The city and state where SEBI is located and the notification was issued. Official Gazette: The official government publication where the regulations are published. Ajay Tyagi: Chairman of SEBI at the time of notification.
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िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ िविनयम, 2015 म,5 िविनयम 23 म,5 उप-िविनयम (1क) म,5 श;द “दो” के िलए श;द “पाँच” (cid:5)ित$थािपत हो जाएगा । अजय <यागी, अ&य+ [िव=ापन-III/4असा./114/78] 3175 GI/2019 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] पपपपाााादददद (cid:31)(cid:31)(cid:31)(cid:31)टटटट पपपपणणणण :::: 1. भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अप+े ाए]ँ िविनयम, 2015, सं. सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2015-16/013, 2 िसत>बर 2015 को भारत के राजप4 म 5 (cid:5)कािशत (cid:27)ए थ े । 2. भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ िविनयम, 2015 त<प?ात् : क) 22 @दस>बर, 2015 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (संशोधन) िविनयम, 2015, अिधसूचना सं. सेबी/एल.ए.डी.-एन.आर.ओ./ जी.एन./2015-16/027, (cid:17)ारा ख) 25 मई, 2016 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (संशोधन) िविनयम, 2016, अिधसूचना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/001, (cid:17)ारा ग) 8 जुलाई, 2016 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (दसू रा संशोधन) िविनयम, 2016, अिधसूचना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016- 17/008, (cid:17)ारा घ) 4 जनवरी, 2017 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (तीसरा संशोधन) िविनयम, 2016, अिधसूचना सं. सेबी/एल.ए.डी.- एन.आर.ओ./जी.एन./2016-17/025, (cid:17)ारा ङ) 15 फरवरी, 2017 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (संशोधन) िविनयम, 2017, अिधसूचना सं. सेबी/एल.ए.डी./एन.आर.ओ./ जी.एन./2016-17/29, (cid:17)ारा च) 6 माच,(cid:4) 2017 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (फ(cid:11)स का भुगतान और भुगतान का मा&यम) (संशोधन) िविनयम, 2017, अिधसूचना सं. सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/037 [तारीख 29 माच(cid:4), 2017 को अिधसूिचत भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (फ(cid:11)स का भुगतान और भुगतान का मा&यम (संशोधन) िविनयम, 2017, अिधसूचना सं. सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/038 के साथ प(cid:13)ठत], (cid:17)ारा छ) 9 मई, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (संशोधन) िविनयम, 2018, अिधसूचना सं. एसईबीआई/एलएडी-एनआरओ/जीएन/2018/10, (cid:17)ारा ज) 30 मई, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अप+े ाए]ँ (दसू रा संशोधन) िविनयम, 2018, अिधसचू ना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./ 2018/13, (cid:17)ारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3 झ) 1 जून, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (तीसरा संशोधन) िविनयम, 2018, अिधसूचना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./ जी.एन./ 2018/21, (cid:17)ारा ञ) 8 जून, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाए]ँ (चौथा संशोधन) िविनयम, 2018, अिधसूचना सं. सेबी/एल.ए.डी.-एन.आर.ओ./ जी.एन./ 2018/24, (cid:17)ारा ट) 6 िसत>बर, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सूचीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाएँ] (पाँचवा संशोधन) िविनयम, 2018, अिधसूचना सं. सेबी/एल.ए.डी. एन.आर.ओ./ जी.एन./2018/30, (cid:17)ारा ठ) 16 नव>बर, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड(cid:4) [सूचीब!ता (िल#$टग) बा&यताएँ और (cid:5)कटीकरण अपे+ाएँ] (छठा संशोधन) िविनयम, 2018, अिधसूचना सं. सेबी/एल.ए.डी. एन.आर.ओ./ जी.एन./2018/47, (cid:17)ारा ड) 29 माच(cid:4), 2019 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सचू ीब!ता (िल#$टग) बा&यताएँ और (cid:5)कटीकरण अपे+ाएँ] (संशोधन) िविनयम, 2019, अिधसूचना सं. सेबी एल.ए.डी.-एन.आर.ओ./जी.एन./2019/07, (cid:17)ारा ढ) 7 मई, 2019 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) [सचू ीब!ता (िल#$टग) बा&यताए ँ और (cid:5)कटीकरण अपे+ाएँ] (दसू रा संशोधन) िविनयम, 2018, अिधसूचना सं. सेबी/एल.ए.डी.एन.आर.ओ./जी.एन./2019/12, (cid:17)ारा संशोिधत (cid:14)ए थे । SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 27th June, 2019 SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) (THIRD AMENDMENT) REGULATIONS, 2019 No. SEBI/LAD-NRO/GN/2019/22.—In exercise of the powers conferred by section 11, sub-section (2) of section 11A and section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) read with section 31 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956), the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, namely,– 1. These regulations may be called the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Third Amendment) Regulations, 2019. 2. They shall come into force on the date of their publication in the Official Gazette. 3. In the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, in regulation 23, in sub-regulation (1A), for the word "two" appearing after the word "exceed" and before the word "percent", the word "five" shall be substituted. AJAY TYAGI, Chairman [ADVT.-III/4/Exty./114/78]4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] Footnote: 1. The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 were published in the Gazette of India on 2nd September 2015 vide No. SEBI/LAD- NRO/GN/2015-16/013. 2. The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, were subsequently amended on: a) December 22, 2015 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2015 vide notification no. SEBI/LAD-NRO/GN/2015-16/27. b) May 25, 2016 by Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2016 vide notification no. SEBI/LAD-NRO/GN/ 2016-17/001. c) July 8, 2016 by Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2016 vide notification no. SEBI/ LAD- NRO/GN/2016-17/008. d) January 4, 2017 by Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Third Amendment) Regulations, 2016 vide notification no. SEBI/ LAD-NRO/GN/ 2016-17/025. e) February 15, 2017 by Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2017 vide notification no. SEBI/LAD/NRO/GN/2016-17/029. f) March 6, 2017 by the Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017 vide Notification No. LAD-NRO/GN/2016- 17/037 read with March 29, 2017 by Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017 vide notification no. SEBI/LAD/NRO/GN/2016-17/38. g) May 9, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2018 vide notification SEBI/LAD-NRO/GN/2018/10. h) May 30, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2018 vide notification no. SEBI/LAD-NRO/GN/ 2018/13. i) June 1, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Third Amendment) Regulations, 2018 vide notification no. SEBI/LAD-NRO/GN/2018/21. j) June 8, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Fourth Amendment) Regulations, 2018 vide notification no. SEBI/LAD-NRO/GN/2018/24. k) September 6, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2018 vide notification no. SEBI/LAD-NRO/GN/2018/30. l) November 16, 2018 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Sixth Amendment) Regulations, 2018 vide notification no. SEBI/LAD-NRO/GN/2018/47. m) March 29, 2019 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2019 vide notification no. SEBI/LAD-NRO/GN/2019/07. n) May 7, 2019 by the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2019, vide notification no. SEBI/LAD-NRO/ GN/2019/12. Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064 and Published by the Controller of Publications, Delhi-110054.

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