SEBI listed company compliance: a 30-day starter map for new officers

The four pillars to map first

A new compliance officer at a listed entity faces a wide field, but it rests on four pillars. Map these in the first month and the rest of the work becomes maintenance rather than discovery.

• LODR: the continuing disclosure and governance obligations after listing.
• PIT: the Prohibition of Insider Trading Regulations, the code of conduct, and the trading window.
• SAST: the shareholding thresholds and takeover disclosures.
• Related party transactions: approval and disclosure of transactions with related parties.

Week 1: LODR disclosures

Start with LODR because it is the widest and drives the most recurring dates. Split it as periodic versus event-based.

1. Periodic: financial results, shareholding pattern, and corporate governance report on their cycles.
2. Event-based: outcomes of board meetings and material events, disclosed within the prescribed timelines.

By the end of the first week you should have the periodic dates on the calendar and a list of the event triggers with their windows, even if the exact numbers still need confirming against the regulation.

Week 2: insider trading under PIT

The PIT Regulations govern trading by people who may hold unpublished price sensitive information. For a compliance officer, three pieces matter first.

The trading window closure around results is the recurring operational task here. Tie it to the same results dates you placed on the calendar in week one so the two never drift apart.

Week 3: shareholding and SAST

The SAST Regulations set the thresholds at which shareholding and voting rights must be disclosed, and the obligations around substantial acquisitions and takeovers. In week three, establish:

• Where the company's shareholding data is maintained.
• Which disclosure thresholds and timelines the regulation sets, read from the regulation rather than a summary.
• Who is responsible when a threshold is crossed, so the disclosure is not missed.

SAST is where a summary is most dangerous, because the thresholds and timing are precise. Read the regulation directly and record the exact numbers in your own file.

Week 4: related party transactions and the calendar

Related party transactions carry an approval matrix across board, audit committee, and shareholders, alongside disclosure obligations. In the final week, map the approval path for an RPT and fold the disclosure dates into the calendar you have been building.

The month should end with one disclosure calendar covering all four pillars: periodic LODR dates, event triggers, the trading window schedule, SAST thresholds and owners, and the RPT approval and disclosure path. That single calendar is the deliverable.

Common early mistakes

• Reading the regulations in isolation without building a dated calendar out of them.
• Trusting a summary for SAST thresholds instead of the regulation text.
• Letting the trading window schedule drift out of sync with the results calendar.
• Treating related party approvals as a one-off rather than a recurring process with disclosure obligations.
• Not fixing a review rhythm, so SEBI updates pile up unread after the first month.

How to verify on official sources

1. Read the core regulations on the SEBI regulations page for LODR, PIT, and SAST.
2. Check the SEBI circulars page for the operative formats and timelines under each.
3. Confirm each threshold, cycle, and window against the source, then record it in your own calendar.
4. Set a fixed review rhythm to catch amendments and circulars as they issue.

Where Complied AI fits

Getting across listed company compliance in a month is mostly a gathering problem: the obligations sit across LODR, PIT, and SAST, and the updates arrive scattered. Complied AI keeps SEBI releases in one feed so you can open the amendment or circular behind a change and read the regulation it touches, which turns a first-month orientation into a calendar you can trust and maintain.