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Master Checklist For Listing

The document outlines the master checklist for listing requirements for equity, including IPOs, FPOs, and various types of equity issues such as rights, bonus, and preferential issues. It also details processes for direct listings, delisting, and listing of debt securities, along with specific guidelines for mutual funds and alternative investment funds. Additionally, it includes master circulars related to commercial paper and operational guidelines for the BSEBOND platform.

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26 views8 pages

Master Checklist For Listing

The document outlines the master checklist for listing requirements for equity, including IPOs, FPOs, and various types of equity issues such as rights, bonus, and preferential issues. It also details processes for direct listings, delisting, and listing of debt securities, along with specific guidelines for mutual funds and alternative investment funds. Additionally, it includes master circulars related to commercial paper and operational guidelines for the BSEBOND platform.

Uploaded by

appliedenglishclass
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
You are on page 1/ 8

Initial Listing - Equity (IPO&FPO)

Sr. Particular Checklist


No.
1.1 IPO/FPO Draft Prospectus/DRHP clearance -In
Principle Approval

1.2 Issue Opening - (Book Building and Fixed Price Issue)

1.3 Basis of Allotment

1.4 Listing and Trading Approval

1.5 No Objection Certificate for release of 1% of issue


amount

Master Checklist for Listing Requirements (As on June 30, 2023)

1) Further Listing – Equity


Sr. No. Particular Checklist
2.1. Scheme of Amalgamation/ Arrangement/
Demerger, etc. (Regulation 37 of the SEBI
(LODR), Regulations, 2015)

2.2. Listing of securities issued pursuant to the


scheme of amalgamation/ arrangement/
reduction of capital (Post allotment)

2.3. Listing of an unlisted company pursuant to the


scheme of amalgamation/ demerger (Post
allotment)

2.4. i. Qualified Institutional Placement (QIPs)


– Pre and Post issue
ii. Qualified Institutional Placement (QIPs)
– Pre and Post issue (For OFS by
promoters as per Reg 173 of ICDR)

Page 1 of 8

BSE - Public
2.5. ESOP/ESOS/ESPS Pre and Post Issue Checklist

2.6. Scheme of Amalgamation/ Arrangement/


Demerger, etc for debt listed companies
(Regulation 59 of the SEBI (LODR), Regulations,
2015)
2.7. Rights – Pre-Issue and Post issue (Equity/
ReITs/InvITs)

2.8. Bonus- Pre-Issue and Post issue

2.9. Sweat Equity Pre and Post Issue

2.10. ADR-GDR-FCCB Pre and Post Issue

2.11. Preferential Issue Pre-Issue (Equity/


ReITs/InvITs)

2.12. Preferential Issue Post Issue (Equity/


ReITs/InvITs)

2.13. Application Format for Capital Confirmation

2) Direct Listing
Sr. No. Particular Attachment of Check List

3.1. Companies listed on nationwide Stock Exchange


having average daily turnover more than Rs 500 crore
in equity segment in immediate preceding Financial
Year, seeking listing under Direct Listing at BSE
3.2. Companies listed on recognized stock exchange /
nationwide stock exchange having average daily
turnover less than Rs. 500 crore in equity segment in
immediate preceding Financial Year/ Companies

Page 2 of 8

BSE - Public
which are on Dissemination Board of the Exchanges
having nationwide terminals.
3.3. Companies listed on the SME platform of other stock
exchange and seeking listing at BSE under Direct
Listing at the time of simultaneously migrating to
Main Board at that stock exchange.
3.4. Companies listed on other Nationwide Stock
Exchanges which were initially listed on SME platform
and seeking listing at BSE under Direct Listing.

3) Issue of units ReITs and InvITs


Sr. No. Particular Attachment of Check List
4.1.  Public issue of InVITs

 Private placement of InVITs

4.2. Public issue of ReITs

4) Institutional Placement of REITs and InvITs


Particular Attachment of Check List
5.1. Institutional Placement of REITs

5.2. Institutional Placement of InvITs

5) Delisting
Particular Attachment of Check List
6.1 Checklist for Proposed Delisting of Equity Shares as
per Chapter IV of SEBI (Delisting of Equity Shares)
Regulations, 2021
6.2 Delisting-Small Company

Page 3 of 8

BSE - Public
6.3 Delisting-through NCLT

6.4 Check List for Delisting of Equity Shares as per


Chapter III (Part-A) of SEBI (Delisting of Equity
Shares) Regulations, 2021 – No Exit Opportunity

6) Social Stock Exchange


Particular Attachment of Check
List
7.1 Registration

7) Buyback of Equity Shares


Sr. No. Particular Attachment of Check List
8.1 Buyback of Equity Shares

8) Listing Debt Securities – Privately Placed Debt Issue (PPDI)


Sr. No. Particular Attachment of Check List
9.1 Privately Placed Debt Issue

9.2 Restructuring of Debt Securities

9) PPDI Municipal Bonds


Sr. No. Particular Attachment of Check List
10.1 List of documents/Information to be submitted for
seeking listing of privately placed debt securities
issued under SEBI (Issue and Listing of Debt
Securities by Municipalities) Regulations, 2015

10) Listing of Debt Securities – Public Issue

Sr. No. Particular Attachment of Check List

Page 4 of 8

BSE - Public
11.1 Debt Public Issue

11.2 Debt Public Issue_REITS_InvITs

11) Commercial paper


Particular Attachment of Check List

Listing of Commercial papers

12) SME IPO


Sr. No. Particular Attachment of Check List
13.1 SME IPO (Public)–Check list for:
1. DRHP
2. In principle
3. Issue opening
4. Basis of Allotment
5. Listing and Trading Approval

13) SME Start-up


Sr. No. Particular Attachment of Check List
14.1 SME START-UP (Public)–Check list for:
1. DRHP
2. In principle
3. Issue opening
4. Basis of Allotment
5. Listing and Trading Approval

14) Mutual Funds (MFs)


Sr. No. Particular Attachment of Check List
15.1 Mutual Funds-Checklist for
1. In-Principle Approval
2. Listing Approval

Page 5 of 8

BSE - Public
15) Offer For Sale (OFS)
Sr. No. Particular Attachment of Revised Guidlines
16.1 Offer for Sale (OFS)

16) Offer to Buy (OTB)


Sr. No. Particular Attachment of Revised Guidelines
17.1 Offer to Buy (OTB)

17) Alternative Investment Funds (AIFs)


Sr. No. Particular Attachment of Check List
18.1 List of documents to be submitted for seeking In-
principle approval for listing units of AIF scheme

18.2 List of documents to be submitted for Listing of


units of AIF (Post allotment of units)

18) Name Change


Sr. No. Particular Attachment of Check List
19.1 In-principle Approval

19.2 Final Name Change

19) Stock Split


Sr. No. Particular Attachment of Check List

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BSE - Public
20.1. Checklist for Fixing of Record date / Book Closure
for the purpose of Stock Split

20) Consolidation
Sr. No. Particular Attachment of Check List
21.1. Check List for Pre and Post Consolidation of Shares

Page 7 of 8

BSE - Public
Master Circulars

Sr.No Particulars BSE Notice


Link
1. Guidelines on Framework for listing of Commercial Paper 20191226-32
2. Clarification on timelines for disclosures and listing of Commercial Paper 20200109-24
3. Framework on Contribution by eligible Issuers of debt securities to Settlement 20230428-18
Guarantee Fund
4. Guidance note on inclusion of “Object of the issue” in case of Preferential issues (in 20221213-47
the Explanatory statement to the notice to the shareholders) and in Qualified
Institutions Placement (“QIP”) (in the preliminary and final placement document)
under Chapter V and VI of SEBI (ICDR) Regulations, 2018, respectively.
5. Revised Standard Operating Procedure (SOP) on application filed under Regulation 37 20221220-62
and 59A of SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015
w.r.t. Scheme of Arrangements
6. Revised Standard Operating Procedure (SOP) on application filed under Regulation 37 20220928-13
of SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015 w.r.t.
Scheme of Arrangements
7. Operational Guidelines for participation on BSEBOND platform (Updated as on April 20230417-35
17,2023)

Page 8 of 8

BSE - Public

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