1. Continuous Financial Reporting

• Quarterly and Annual Financial Statements: Public companies must file regular financial reports, such as quarterly (Form 10-Q) and annual reports (Form 10-K in the U.S.). This includes disclosing comprehensive income statements, balance sheets, and cash flow statements.
• Disclosure of Material Events: File disclosures for material events such as mergers, acquisitions, divestitures, or any significant changes that may impact the company’s financial status or market performance (e.g., Form 8-K in the U.S.).
• Audited Financial Statements: Ensure financial reports are audited by an independent firm to meet the regulatory standards of the exchange and maintain investor confidence.

2. Corporate Governance Compliance

• Board and Committee Requirements: Maintain a well-structured board of directors, often with independent members, and establish key committees (audit, compensation, and nomination committees) as required by the listing regulations.
• Annual General Meeting (AGM): Conduct annual general meetings, providing shareholders with financial updates, voting on key decisions, and presenting the overall performance and future strategy.
• Governance Policy Updates: Regularly review and update corporate governance policies to comply with regulations and maintain ethical business practices.

3. Disclosure and Investor Communication

• Investor Relations (IR) Program: Set up an investor relations program to maintain transparent communication with shareholders. This includes issuing press releases, conducting earnings calls, and responding to investor inquiries.
• Public Disclosures and Filings: Use company websites, stock exchange platforms, and regulatory bodies to keep shareholders informed. All material information affecting share prices or company performance must be disclosed to maintain transparency.
• Compliance with Insider Trading Laws: Establish a framework to prevent insider trading by employees, management, and board members. This includes implementing “blackout periods” and requiring the reporting of any insider transactions.

4. Internal Controls and Audit Compliance

• Internal Control Over Financial Reporting (ICFR): For companies listed in the U.S., comply with Sarbanes-Oxley Act (SOX) requirements by establishing strong internal controls over financial reporting. This includes regular evaluation and testing of these controls.
• Internal Audits: Conduct periodic internal audits to identify any discrepancies in financial reporting or operational inefficiencies, helping ensure regulatory compliance and minimizing risks.
• Risk Management Systems: Implement a risk management framework to proactively identify, assess, and mitigate financial, operational, and regulatory risks.

5. Tax and Regulatory Compliance

• Corporate Tax Filings: File tax returns in line with local and international tax laws. Public companies often face additional tax scrutiny, making accurate reporting critical.
• Employee Stock Options Compliance: If the company has an employee stock option plan (ESOP), ensure it complies with tax laws and securities regulations, including accurate reporting of employee holdings.
• Regulatory Changes Adaptation: Stay informed about regulatory changes and ensure all filings and corporate practices comply with updated regulations, including tax reforms or new reporting standards.

6. Periodic Reporting and Disclosure of Shareholding Patterns

• Shareholding Pattern Disclosure: Regularly disclose the shareholding pattern (e.g., promoters, institutional investors, public holding) as required by regulatory authorities. This helps investors understand changes in ownership concentration.
• Change in Promoters or Significant Shareholders: Report any substantial changes in shareholding, such as promoters increasing or decreasing their stake or institutional investors acquiring a significant portion of shares.
• Share Pledge Disclosures: If promoters or other key shareholders pledge shares, these must be disclosed, as they impact investor confidence and are considered a potential risk factor.

7. Compliance with Listing Agreement and Exchange Rules

• Ongoing Exchange Requirements: Meet all compliance obligations as per the stock exchange’s listing agreement, which may include periodic reporting, prompt disclosure of corporate actions, and maintaining minimum public shareholding.
• Listing Fees: Pay annual listing fees to the stock exchange and fulfill all administrative requirements to maintain the listing.
• Regular Compliance Filings: Submit filings mandated by the stock exchange, including disclosures on corporate actions, quarterly performance updates, and any other disclosures specified in the listing agreement.

8. Shareholder Meeting and Proxy Management

• Annual and Extraordinary General Meetings (AGM and EGM): Organize AGMs and EGMs, allowing shareholders to vote on significant corporate matters, including elections of directors, mergers, and acquisitions.
• Proxy Management: Coordinate proxy voting, which enables shareholders to participate in key decisions even if they cannot attend in person.
• Voting Results Disclosure: Disclose voting outcomes to regulators and the stock exchange, ensuring transparency in shareholder engagement.

9. Stock Performance Monitoring and Market Communication

• Monitoring Stock Performance: Regularly track stock performance and monitor market sentiment. This enables the company to respond proactively to investor expectations and market conditions.
• Media and Public Relations: Engage with media and maintain public relations to support the company’s image and credibility in the market.
• Market Analysts and Investor Communication: Collaborate with market analysts to ensure accurate and positive representation of the company’s financial performance and strategic outlook.

10. Data Security and Cyber Compliance

• Cybersecurity Framework: Implement and regularly update cybersecurity protocols to protect sensitive corporate and financial data, particularly due to public disclosure requirements.
• Data Privacy Compliance: Adhere to data privacy laws, such as GDPR in Europe, to secure shareholder and customer information, especially relevant for companies dealing with large amounts of personal data.
• Incident Response Plan: Establish an incident response plan to address potential data breaches or cyber threats swiftly and communicate appropriately with regulatory bodies and affected parties.