Consolidated list of Indicators (Surveillance & Others)

Sr.
Description Indicator
No.

1 Shortlisted under Graded Surveillance Measure GSM-0

2 Graded Surveillance Measure - Stage I GSM-1

3 Graded Surveillance Measure - Stage II GSM-2

4 Graded Surveillance Measure - Stage III GSM-3

5 Graded Surveillance Measure - Stage IV GSM-4

6 Graded Surveillance Measure - Stage VI GSM-6

Short Term Additional Surveillance Measure (STASM) -

7 ST ASM-1
Stage I
Short Term Additional Surveillance Measure (STASM) -
8 ST ASM-2
Stage II
Long Term Additional Surveillance Measure (LTASM) -
9 LT ASM-1
Stage I
Long Term Additional Surveillance Measure (LTASM) -
10 LT ASM-2
Stage II
Long Term Additional Surveillance Measure (LTASM) -
11 LT ASM-3
Stage III
Long Term Additional Surveillance Measure (LTASM) -
12 LT ASM-4
Stage IV
Insolvency and Bankruptcy Code (IBC) - Receipt of
13 IBC - Receipt
Disclosure or Recommenced scrip

14 Insolvency and Bankruptcy Code (ASM IBC) - Stage I IBC-1

15 Insolvency and Bankruptcy Code (ASM IBC) - Stage II IBC-2

Inter Creditor Agreement (ASM ICA) - Execution of Inter

16 ICA-0
Creditor Agreement

17 Inter Creditor Agreement (ASM ICA) - Stage I ICA-1

18 Inter Creditor Agreement (ASM ICA) - Stage II ICA-2

19 Enhanced Surveillance Measure (ESM) - Stage I ESM-1

20 Enhanced Surveillance Measure (ESM) - Stage II ESM-2

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 Consolidated list of Indicators (Surveillance & Others)

Sr.
Description Indicator
No.

21 Company with high promoter Encumbrance High promoter Encumbrance

Company with high promoter as well as non-promoter High Promoter/Non promoter

22
Encumbrance Encumbrance

23 Information list (unsolicited SMS) SMS Info. List

24 Current watch list (unsolicited SMS) SMS watch List

25 Unsolicited Video Unsolicited Video

The company has been loss making for at least the last
8 quarters for main board and last 2 years for SME
companies on consolidated basis.
26 Loss making for last 8 quarters
Where only standalone results are applicable to the
company, the same will be considered instead of
consolidated basis.
Encumbrance of Promoters/ promoter group The Overall encumbered share in the
27
shareholding of at least 50% of the total capital scrip is more than 50%
The company is in BZ/SZ series due to non-compliance
28 Scrip is in BZ/SZ series
with SEBI SOP Circular
Company has failed to pay Annual listing
29 The company has failed to pay Annual listing fee.
fee
The security is scheduled to move out of derivatives. No Derivative contracts in the scrip to be
30
fresh far month contracts shall be issued. moved out of F&O

31 The scrip PE is greater than 50 for previous 4 trailing Scrip PE is greater than 50 for prev. 4
quarters. trailing Qtrs.

32 EPS based on previous 4 trailing quarters in the scrip is EPS in the scrip is zero for prev. 4 trailing
zero. Qtrs.

33 Average daily number of unique Clients/PAN traded in Less than 100 unique PAN traded in prev.
the scrip in previous 30 days is less than 100. 30 days

Mandatory Market making period in this scrip is over, Mandatory Market making period in SME
34
exit may be difficult. scrip is over

The scrip is not regularly traded, and exit may be

35 SME scrip is not regularly traded
difficult.

Close to Close price movement was greater than 25% Close to Close price mov. greater than
36
in previous 5 trading days 25% in prev. 5 trdg. days

Close to Close price movement was greater than 40% Close to Close price mov. greater than 40
37
in previous 15 trading days % in prev. 15 trdg. days

Close to Close price movement was greater than 100% Close to Close price mov. greater than
38
in previous 60 trading Days 100% in prev. 60 trdg. days

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 Consolidated list of Indicators (Surveillance & Others)

Sr.
Description Indicator
No.
Close to Close price movement was greater than 25% Close to Close price mov. greater than
39
in previous 15 Days 25% in prev. 15 days

Close to Close price movement was greater than 50% Close to Close price mov. greater than
40
in previous 1 month 50% in prev. 1 mth.

Close to Close price movement was greater than 90% Close to Close price mov. greater than
41
in previous 3 months 90% in prev. 3 mths.

Close to Close price movement was greater than 25% Close to Close price mov. greater than
42
in previous 1 month 25% in prev. 1 mth.

Close to Close price movement was greater than 50% Close to Close price mov. greater than
43
in previous 3 months 50% in prev. 3 mths.

Close to Close price movement was greater than 200% Close to Close price mov. greater than
44
in previous 365 Days 200% in prev. 365 days

Close to Close price movement was greater than 75% Close to Close price mov. greater than
45
in previous 6 months 75% in prev. 6 mths.

Close to Close price movement was greater than 100% Close to Close price mov. greater than
46
in previous 365 Days 100% in prev. 365 days

High low price variation was greater than 75% in High low price var. greater than 75% in
47
previous 1 month prev. 1 mth.

High low price variation was greater than 150% in High low price var. greater than 150% in
48
previous 3 months prev. 3 mths.

High low price variation was greater than 75% in High low price var. greater than 75% in
49
previous 3 months prev. 3 mths.

High low price variation was greater than 300% in High low price var. greater than 300% in
50
previous 365 Days prev. 365 days

High low price variation was greater than 100% in High low price var. greater than 100% in
51
previous 6 months prev. 6 mths.

High low price variation was greater than 200% in High low price var. greater than 200% in
52
previous 365 Days prev. 365 days

High low price variation was greater than 150% in High low price var. greater than 150% in
53
previous 12 months prev. 12 mths.

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