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Secretarial Compliance Audit – A Complete Guide for Listed Companies

A Partnership Deed is a legal agreement between partners of a Limited Liability Partnership (LLP) that outlines rights, responsibilities, profit-sharing ratios, and operational protocols. This document forms the foundation of a legally binding partnership and ensures smooth business operations.

In this comprehensive blog, we’ll cover:

  • What is Secretarial Compliance Audit?
  • Applicability and legal requirements
  • Penalty for non-compliance
  • Process & documentation checklist
  • Sample format with key clauses
  • FAQ to help you stay informed

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What is Secretarial Compliance Audit?

Secretarial Compliance Audit is a statutory audit conducted under Regulation 24A of SEBI (LODR) Regulations, 2015. It ensures that a company has complied with:

  • SEBI Circulars
  • Securities Contracts (Regulation) Act, 1956
  • Depositories Act, 1996
  • Companies Act, 2013
  • Other applicable securities laws

The audit is conducted by a Practicing Company Secretary (PCS) and is submitted as a Secretarial Compliance Report within 60 days from the end of the financial year (i.e., by 30th May every year).

Applicability of Secretarial Compliance Audit

This audit is mandatory for:

  • All listed entities in India
  • Material unlisted subsidiaries of listed companies (if their income exceeds 10% of consolidated income)

Private limited companies and LLPs are NOT required to undergo this audit.

Legal Framework & Deadlines

  • SEBI Regulation 24A
  • SEBI Circular No. CIR/CFD/CMD1/27/2019 dated 8th Feb 2019
  • Companies Act, 2013 (governance compliance)

Due Date: Secretarial Compliance Report must be filed by 30th May every year.

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Penalty for Non-Compliance

Failure to file the report on time may result in:

  • Monetary penalty by SEBI
  • Suspension of trading or compliance rating impact
  • Reputational damage
  • Potential action against Compliance Officer/Board

Format of Secretarial Compliance Report (Sample)

The Secretarial Compliance Report includes:

  • Review of compliance with SEBI Regulations
  • Any non-compliance observed
  • Actions taken by the company
  • Previous year’s observations and corrective actions
  • Penalties imposed by regulators (if any)

Process to Conduct Secretarial Compliance Audit

  1. 1Appoint a PCS
    • Pass a board resolution and engage a Practicing Company Secretary.
  2. 2Document Review
    • Share the following:
    • • Board Meeting minutes
    • • Listing agreement & SEBI circulars
    • • Compliance tracker
    • • Stock exchange filings
  3. 3Conduct of Audit
    • PCS checks all statutory records and identifies non-compliance, if any.
  4. 4Issue of Report
    • A detailed report is issued in the prescribed format with UDIN.
  5. 5Filing with Stock Exchange
    • Upload the signed report on BSE/NSE portals by 30th May.

Key Checklist for Companies

Failure to file the report on time may result in:

  • Appoint PCS
  • Keep SEBI circulars & compliance logs ready
  • Review Board & Shareholder meeting records
  • Submit report on or before 30th May

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