Knowledge Sharing - Professional Updates

Name of the Company:

Authorised Share Capital:

Paid Up Share Capital:







Checklist for Issue of Compliance Certificate














1. Registers and Records

NOT

Page 1 of 4














March 10, 2008








Year:

SR.
NO.

REGISTERS

APPLIC-
ABLE

APPLIC-
ABLE

AVAIL-
ABLE

NOT AVAIL-
ABLE

REMARKS

1. REGISTERS OF
INVESTEMENTS US/ 49
2. REGISTER OF DEPOSITS
3. REGISTER OS SECURITIES
BOUGHT BACK U/S 77 A
4. REGISTER OF CHARGES U/S
143/ COPIES OF
INSTRUMENTS CREATING
CHARGE
5. REGISTER OF MEMBERS U/S
150 AND INDEX U/S 151
6. REGISTER AND INDEX OF
DEBENTURE HOLDER U/S 152
7. FOREIGN REGISTER OF
MEMBERS U/S 157
8. REGISTERS AND RETURNS
U/S 163 – ANNUAL RETURN
9. MINUTES BOOK OF MEETING
10. MINUTES BOOK OF CLASS
MEETING / CRS. MEETING
11. BOOKS OF ACCOUNTS AND
COST RECORDS U/S 209
12. REGISTER OF PARTICULARS





































20/02/2008




OF CONTRACTS IN WHICH
DIRECTORS ARE
INTERESTED U/S 301
13. REGISTER OF DIRECTORS,
M.D. MANAGER AND
SECRETARY U/S 303
14. REGISTER OD DIRECTOR’S
SHAREHOLDINGS U/S 307
15. REGISTER OF
INVESTEMENTS OR LOANS
MADE, GUARANTEE GIVEN
OR SECURITY PROVIDED U/S
372A
16. REGISTER OF RENEWED
AND DUPLICATE
CERTIFICATES
17. REGISTER OD DESTRUCTION
OF RECORDS/ DOCUMENTS
18. REGISTER OF INSEPCTION
19. REGISTER OF DIRECTORS
ATTENDANCE
20. REGISTER OF
SHAREHOLDERS
ATTENDANCE
21. REGISTER OF PROXIES
22. REGISTER OF TRANSFERS
23. REGISTER OF FIXED ASSETS
24. REGISTER OF DOCUMENTS
SEALED

* SPECIAL REMARKS, IF ANY:

*
*
*


2. Forms, Returns and Documents

FILED

Page 2 of 4

SR. NO. RETURNS
1. ANNUAL RETURN
2. BALANCE SHEET

R.O.C.

NOT FILED AVAILABLE REMARKS

3.
4.
5.

6.

COMPLAINCE CERTIFICATE U/S 383A
RETURN OF ALLOTMENT
RETURN ON BUY BACK OF
SECURITIES
NOTICE OF REDEMPTION OF PREF.
SHARES, CONSOLIDATION, DIVISION,








20/02/2008




INCREASE IN SHARE CAPITAL,
CANCELLATION OF SHARES AND
INCREASE IN NO. OF MEMBERS
7. NOTICE OF SITUATION / CHANGE IN
SITUATION OF REGD. OFFICE
8. COURT /CLB ORDERS
9. REGISTRATION OF RESOLUTIONS
AND AGREEMENTS
10. RETURN OF APPOINTMENT OF M.D./
W.T.D/ MANAGER
11. CONSENT TO ACT AS DIRECTOR
12. PARTICULARS OF APPOINTMENT OF
DIRECTORS, M.D., MANAGER OR
SECRETARY AND CHANGES MADE
13. RETURN OF DEPOSITS U/S 58A
14. PARTICULARS OF BENEFICIAL
INTEREST IN SHARES
15. REGISTRATION OF
CREATION/MODIFICATION /
SATISFACTION OF CHARGE
16. TO BE FILED WITH OTHER
AUTHORITIES
1. CLB IN RESPECT OF DEFAULT OF
DEPOSITS
2. NBFC DEPOSITS WITH RBI
3. TEXT OF ADVT. OF NBFC WITH RBI
4. BUY BACK RETURNS WITH SEBI
5. INTIMATION TO OL IN WINDING
UP / AMALGAMATION ETC.



3. STATUS OF THE COMPANY:
Total Number of Members:
Articles Contain Restricting Provisions:



4. MEETING OF DIRECTORS AND MINUTES:
Date of Meetings Directors Present Main business transacted:



5. ANNUAL GENERAL MEETING AND MINUTES:

Date of AGM Date of Previous AGM Time Gap



Date of Dispatch of Notice:








Page 3 of 4




































































20/02/2008




6.EXTRA-ORDINARY GENARAL MEETING AND MINUTES:

Date of EGM Notice Date Business



7.

IF APPL.

Page 4 of 4

SR.
NO. PARTICULARS

1. CLOSURE OF REGISTER OF MEMBERS
2. LOANS TO DIRECTORS
3. CONTRACTS U/S. 297
4. ENTRY IN REGISTER OF CONTRACTS
U/S. 299
5. HOLDING PLACE OF PROFIT U/S. 314
6. ISSUE OF DUPLICATE SHARE
CERTIFICATE

APPLI.
(Y/N)

COMPLD?
(Y/N)

NO EVENTS/
TRANSA.

REMARKS




7.
8.
9.

10.

11.
12.
13.
14.
15.

16.

17.

18.

19.
20.
21.

TRANSFER/TRANSMISSION OF SHARES
DELIVERY OF ALL CERTIFICATES
DEPOSIT OF DIVIDEND IN SEPARATE
BANK A/C.
POSTING OF DIVIDEND WARRANTS
within30 days
UNPAID DIVIDEND A/C.
INVESTOR EDU. & PROT. FUND
DIRECTORS’ REPORTS –217
APPOINTMENTS OF DIRECTORS
APPOINMENTS OF MANAGERIAL
PESONNEL
APPOINMENTS OF SOLE SELLING
AGENTS
APPROVALS OF VARIOUS
AUTHORITIES
DISCLOSURE OF INTREST U/S. 299
(FORM- 24AA)
ISSUE OF CAPITAL & SECURITIES
BUY-BACK OF SHARES OR SECURITIES
REDEMPTION OF PREF. SHARES OR
DEBENTURES