Listing Obligations and Disclosure Requirements (LODR)

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Description
Listing Agreement is not simply a contract between the issuer of the securities and the Stock Exchange but is a statutory requirement too. Section 21 of the Securities Contracts (Regulation) Act, 1956 (SCRA) describes that where securities are listed on the application of any person in any recognised stock exchange, such person shall comply with the conditions of listing agreement with that stock exchange. Section 12A of the SCRA empowers the SEBI to issue directions to any company whose securities are listed or proposed to be listed in a recognised stock, in the interest of investors, or orderly development of securities market.
Section 11A(2) of the SEBI Act, 1992 empowers the SEBI to specify the requirement for listing and transfer of securities and matters incidental thereto. Section 30 of the SEBI Act, empowers the SEBI to make Regulations with the SEBI Act and the Rules made thereunder to carry out the purposes of the Act.
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Table of Contents
Chapter 1: Introduction
Chapter 2: Preliminary
Chapter 3: Principles Governing Disclosures and Obligations of Listed Entity
Chapter 4: Common Obligations of Listed Entities
Chapter 4A: Frequently Asked Questions (FAQ): Complaints Redressal System (SCORES) SEBI
Chapter 5: Obligations of a Listed Entity which has listed its Specified Securities and Non-convertible Debt Securities
Chapter 6: Obligations of Listed Entity which has Listed its Non-convertible Securities
Chapter 7: Obligations of Listed Entity which has listed its Specified Securities and either Non-convertible
Chapter 8: Debt Securities or Non-convertible Redeemable Preference Shares or Both Framework for Voluntary Delisting of Non- convertible Debt Securities or Non-convertible Redeemable Preference Shares and Obligations ofthe entity on Such Delisting - Chapter VI-A Listed
Chapter 9: Obligations of Listed Entity which has Listed its Indian Depository Receipts
Chapter 10 Obligations of Listed Entity which has listed its Securitised Debt Instruments
Chapter 11 Obligations of Listed Entity which has listed its Security Receipts
Chapter 12 Obligations of Listed Entity which has listed it Mutual Fund Units
Chapter 13 Obligations of Social Enterprises
Chapter 14 Duties and Obligations of the Recognised Stock Exchange(s)
Chapter 15 Procedure for Action in case of Defaul
Chapter 16 Power to Relax Strict Enforcement of the Regulations
Chapter 17 Miscellaneous
Chapter 18 Compliance Calendar
Chapter 19 FAQS on SEBI (LODR) Regulations, 2015
Chapter 20 Secretarial Standard on Meetings of the Board of Directors (SS-1) (Effective from 1st April, 2014)
Chapter 21 Secretarial Standard on General Meetings (SS-2) Annexure 1 Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015

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Author Details
Dr. Rajeev Babel Company Secretary & Insolvency Professional
Educational Qualification:
FCS, Ph.D., MBA, AIIB, LLB, LLM (Bus. Laws), M. Com Diploma in Corporate Governance (ICSI)
Diploma in Internal Audit (ICSI-NIFM) Diploma in Bank Management (IIBF) Diploma in Financial Services (IIBF) Diploma in Training & Development (ISTD) Certificate Course in GST (ICSI-NIFM)
The author is a Company Secretary and Insolvency Professional. He had privilege of working for 30 years in banking domain in managerial capacity with Bank of Rajasthan Ltd and ICICI Bank Ltd. Having interest in academic field, he appeared as visiting faculty with various Professional & Management Institutes.