MAHINDRA & MAHINDRA LTD. Integrated Annual Report 2023-24 118 ANNEXURE IV Secretarial compliance report of Mahindra and Mahindra Limited for the financial year ended March 31, 2024 To, The Board of Directors Mahindra and Mahindra Limited Gateway Building, Apollo Bunder, Mumbai 400001 I have conducted the review of the compliance of the applicable statutory provisions and the adherence to good corporate practices by Mahindra and Mahindra Limited (hereinafter referred as ‘the listed entity’), having its Registered Office at Gateway Building, Apollo Bunder, Mumbai 400001. Secretarial Review was conducted in a manner that provided me a reasonable basis for evaluating the corporate conduct / statutory compliances and to provide my observations thereon. Based on my verification of the listed entity’s books, papers, minutes books, forms and returns filed and other records maintained by the listed entity and also the information provided by the listed entity, its officers, agents and authorized representatives during the conduct of Secretarial Review, I hereby report that the listed entity has during the review period covering the financial year ended on March 31, 2024, complied with the statutory provisions listed hereunder in the manner and as reported hereinafter: I have examined: a) All the documents and records made available to me and explanation provided by the listed entity, b) The filings/ submissions made by the listed entity to the stock exchanges, c) Website of the listed entity, d) A ny other document / filing, as may be relevant, which has been relied upon to make this report for the financial year ended on March 31, 2024 (“Review Period”) in respect of compliance with the provisions of: a) The Securities and Exchange Board of India Act, 1992 (“SEBI Act”) and the Regulations, circulars, guidelines issued thereunder; and b) The Securities Contracts (Regulation) Act, 1956 (“SCRA”), rules made thereunder and the Regulations, circulars, guidelines issued thereunder by the Securities and Exchange Board of India (“SEBI”); The specific Regulations, whose provisions and the circulars/ guidelines issued thereunder, have been examined, include:- a) Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015; b) Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018 (Not applicable to the listed entity during the Review Period); c) Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011; d) Securities and Exchange Board of India (Buy-back of Securities) Regulations, 2018 (Not applicable to the listed entity during the Review Period); e) Securities and Exchange Board of India (Share Based Employee Benefits and Sweat Equity) Regulations, 2021; f) Securities and Exchange Board of India (Issue and Listing of Non-Convertible Securities) Regulations, 2021; g) Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015; h) Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018 to the extent applicable and based on the above examination, I hereby report that during the Review Period: I. (a) The listed entity has complied with the provisions of the above Regulations and circulars / guidelines issued thereunder except, in respect of matters specified below: Compliance Requirement Regulation/ Circular Deviations Action taken by Type of action Details of violations Fine Amount Observations/ Remarks of the Practicing Company Secretary Management response Remarks Not applicable
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