Annual Secretarial Compliance Report for the Year Ended March 31, 2026
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Transwarranty Finance Limited has submitted its Annual Secretarial Compliance Report for FY 2025-26, reviewed by Practicing Company Secretary Yogesh Sharma. The report covers compliance with SEBI regulations and other applicable laws. The company has generally complied with statutory provisions across 11 of 13 compliance areas. One current deviation was noted: the trading window was not closed for a Board Meeting on June 30, 2025 convened to consider NCD fundraising, creating potential insider trading risk — no fine was imposed. Additionally, its subsidiary Vertex Securities Limited (VSL) received an advisory from NSE and action letters from MCX regarding incorrect reporting of client-level collateral segregation and monitoring data; VSL ceased to be a subsidiary from March 31, 2026 as the company's voting rights fell to 42.43%. The report also notes a past delay in filling the Compliance Officer vacancy beyond the prescribed three-month limit.
This is a routine regulatory filing. The sole current-year deviation (trading window breach) is minor with no monetary penalty. The change in subsidiary status from March 31, 2026 may have minor structural implications. Overall, the filing presents a clean compliance picture for shareholders.