Introduction
The Registrars and Transfer Agents (RTA) Compliance Calendar serves as a structured and time-bound reference tool to help Registrars and Transfer Agents (RTA) and related intermediaries, ensure timely adherence to regulatory obligations as prescribed under the Securities and Exchange Board of India (Registrars and Transfer Agents (RTA) Regulations, 2025, and various Master Circulars issued by Securities and Exchange Board of India (SEBI) from time to time.
These regulations, supplemented by circulars and operational guidelines, lay down the compliance framework governing the activities of Registrars and Transfer Agents (RTA) in India, covering areas such as Registration and Capital Adequacy, Unlisted Business Segregation, Enhanced Disclosures, raud Prevention Mechanism, Code of Conduct, Maintenance of Books and Accounts, Grievance Redressal Mechanism, Investor Charter, Whistleblower Policy. The Calendar is designed to:
- Track periodic compliance requirements (daily, weekly, monthly, quarterly, half-yearly, and annual)
- Ensure timely submissions to SEBI and other regulatory bodies
- Promote accountability among compliance officers and relevant departments.
| S. No. | Compliance Description | Forms and Formats | Submitted By | Submitted To | Filing Dates | Regulating Document |
|---|---|---|---|---|---|---|
| Yearly Filings/ Intimations | ||||||
| 1 | Balance Sheet, Profit and Loss Accounts and Other Statements | NA | RTA | SEBI | 30th September | SEBI RTA Regulations, 2025 |
| 2 | Certified Copy of NetWorth Certificate | NA | RTA | SEBI | 30th June | Master Circular for RTAs |
| 3 | Display Annual Investor Satisfaction Survey | NA | QRTA | Website | 31st March | Master Circular for RTAs |
| 4 | Digital Accesibilty Compliance | NA | RTA | SEBI | '30th April | SEBI Circular on Compliance Guidelines for Digital Accessibility Circular - RPWD (Dated: 31st July, 2025) |
| Half-Yearly Filings/ Intimations | ||||||
| 5 | Half-Yearly Compliance Report | Format (Half-Yearly Reports Regarding Regulatory Compliance and Investor Grievances Redressal) | Compliance Officer of RTA | SEBI |
|
SEBI RTA Regulations, 2025 |
| 6 | Compliance of Advisory on SaaS Solutions | Annexure A (Compliance Certificate) | RTA | NSDL |
|
SEBI Circular on Advisory for Financial Sector Organizations regarding Software as a Service (SaaS) Based Solutions (Dated: Nov 19, 2020) |
| Quarterly Filings/ Intimations | ||||||
| 7 | Quarterly Compliance Reports | Annexure A | RTA | SEBI |
|
Master Circular for RTAs |
| 8 | Compliance Report of Enhanced Norms | Annexure 1 | RTA/QRTA | SEBI |
|
Master Circular for RTAs |
| 9 | Report on Cyber Attacks, Threats, Cyber Security Incidents and Breaches | NA | RTA | SEBI |
|
SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| Monthly Filings/ Intimations | ||||||
| 10 | Disclosure of Complaints and Redressal | Annexure-B (Format for Disclosing Data on Complaints and Redressal) | RTA | Website | 7th Day of Succeeding Month | SEBI RTA Regulations, 2025 |
| 11 | Cash Transaction Report | NA | RTA | FIU-IND | By 15th of Succeeding Month | Master Circular on AML Standards and CFT |
| 12 | NA | RTA | FIU-IND | By 15th of Succeeding Month | Master Circular on AML Standards and CFT | |
| 13 | Debenture Holder Details | NA | RTA/ Issuers | Debenture Trustees | 7th Working Day of Next Month | SEBI RTA Regulations, 2025 |
| Event-Based Filings/ Intimations | ||||||
| 14 | Approval for Any Change in Control | Annexure A (Declaration-Cum-Undertaking) | RTA | SEBI | Immediately | Master Circular for RTAs |
| 15 | Material Changes Affecting Registration | NA | RTA | SEBI | Immediately | SEBI RTA Regulations, 2025 |
| 16 | Execution of Transmission of Securities | Annexure – G (Letter of Confirmation) | RTA | Claimant | Within 30 days of Receipt of Request | Master Circular for RTAs |
| 17 | Declaration of Incident of Distruption of Critical Systems as Disaster | NA | QRTA | NA | Within 30 minutes of Incident | Master Circular for RTAs |
| 18 | Results and Observations of Disaster Recovery Drills | NA | QRTA | SEBI | Within a month of Disaster Recovery Drill | Master Circular for RTAs |
| 19 | Details of Compliance Officer | NA | RTA | SEBI | As soon as possible | Master Circular for RTAs |
| 20 | Forward Debenture Holders Details on Allotment | NA | RTA | Debenture Trustees | At the time of allotment | Master Circular for RTAs |
| 21 | VAPT Report | Annexure-A (VAPT Report Format) | RTA | SEBI | Within 1 month of Completion of VAPT Activity | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 22 | Closure of Findings Identified during VAPT | NA | RTA | SEBI | Within 3 months of Submission of VAPT Report | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 23 | Complete Revalidation of VAPT | NA | RTA | SEBI | Within 5 months of Completion of VAPT | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 24 | Report on Cyber Audit | Annexure-B (Cyber Audit Report Format) | RTA | SEBI | Within 1 month of Completion of Cyber Audit | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 25 | Closure of Findings Identified during Cyber Audit | NA | RTA | SEBI | Within 3 months of Submission of Cyber Audit Report | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 26 | Follow-On Cyber Audit | NA | RTA | SEBI | Within 5 months of Completion of Cyber Audit | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 27 | Evidence for Self-Assessment of Cyber Resilience | Annexure-K (Cyber Capability Index (CCI)) | RTA | SEBI | Within 15 Days of CCI Assessment Completion | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 28 | Addition/ Deletion or Change in Existing Asset in Asset Inventory | NA | RTA | NA | Within 3 Working Days of Change | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 29 | Interim Report | NA | RTA | SEBI | Within 3 Working Days from Reporting of Incident | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 30 | Mitigation Measure Report | NA | RTA | SEBI | Within 7 Days from Reporting of Incident | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 31 | RCA Report | NA | RTA | SEBI | Within 30 Days from Reporting of Incident | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 32 | Forensic Audit Report | NA | RTA | SEBI | Within 75 Days from Reporting of Incident | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 33 | Post-Cyber Incident VAPT | NA | RTA | SEBI | Within 45 Days from Reporting of Incident | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 34 | Lessons Learned from Red Teaming Exercise | NA | RTA | SEBI | Within 3 months after Completion of Exercise | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 35 | Lessons Learned from Cyber Resilience Testing | NA | RTA | SEBI | Within 3 months after Completion of Exercise | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
| 36 | Cyber Security Incident Falling under CERT-In Cybersecurity Directions | NA | RTA | SEBI | Within 6 hours of noticing/ detecting incidents | SEBI Circular on CSCRF (Dated: 20th August, 2024) |
Abbreviations
| Particular | Description |
|---|---|
| SEBI | Securities and Exchange Board of India |
| RTA | Registrar and Transfer Agent |
| QRTA | Qualified Registrar and Transfer Agent |
| KRA | KYC Registration Agency |
| IAAP | International Association of Accessibility Professionals |
| VAPT | Vulnerability Assessment & Penetration Testing |
| CSCRF | Cyber Security Cyber Resilience Framework |
| RCA | Root Cause Analysis |
| FIU-IND | Financial Intelligence Unit – India |
| AML | Anti-Money Laundering |
| CFT | Combating the Financing of Terrorism |
| NSDL | National Securities Depository Limited |
| CCI | Cyber Capability Index |
| RPWD | Rights of Persons with Disabilities Act, 2016 |
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Disclaimer
The information provided in this article is intended for general informational purposes only and should not be construed as legal advice. The content of this article is not intended to create and receipt of it does not constitute any relationship. Readers should not act upon this information without seeking professional legal counsel.
