CHECK LIST
FOR PREPARING COMPLIANCE CERTIFICATE
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S.No
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Particulars
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Details
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1.
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NAME OF THE COMPANY
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2.
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COMPANY IDENTIFICATION NUMBER
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3.
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DATE OF INCORPORATION
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4.
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REGISTERED OFFICE
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5.
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ACCOUNTING PERIOD
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6.
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AUTHORISED CAPITAL
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6(a)
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Equity Share Capital
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Preference
Share Capital
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7.
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PAID UP CAPITAL
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7(a)
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Equity
Share Capital
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Preference
Share Capital
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8.
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AUDITOR(s)
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BOARD OF DIRECTORS
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S. No
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NAME &
DESIGNATION
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DIN
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DATE OF APPOINTMENT
AT BOARD
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DATE OF
CONFIRMATION AT AGM/EGM
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REMARKS
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1.
REGISTERS MAINTAINED BY THE COMPANY
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S.NO
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NAME OF
THE REGISTER
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SECTION/RULE
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MARK (√) IF MAINTAINED
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Updated /
To Be Updated
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1.
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Register of
Investments
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49
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2.
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Register of
Deposits
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RULE 7
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3.
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Register of
Securities Bought Back
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77A
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4.
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Copies of
Instrument Creating Charges
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136
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5.
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Register of
Charges
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143
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6.
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Register of
Members & Index of Members
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150 &
151
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7.
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Register
& Index of Debenture Holders
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152
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8.
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Registers
and Returns
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163
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9.
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Minutes
book of board
& General Meeting
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193
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10.
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Books of
Accounts and Cost Records
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209
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11.
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Registers
of Contracts, Companies and Firms in which Directors are interested
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301
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12.
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Register of
Directors
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303
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13.
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Register of
Directors Shareholdings
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307
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14.
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Register
of Investments or Loans, Guarantee given
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372A
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15.
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Register of
Renewed and Duplicate Certificates
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RULE 7
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OTHER
REGISTERS
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S.NO
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NAME OF
THE REGISTER
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MARK (√) IF MAINTAINED
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REMARKS
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1.
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Register of
Inspection
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2.
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Register of
Directors Attendance
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3.
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Register of
Shareholders Attendance
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4.
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Register of
Proxies
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5.
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Register of
Transfers
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6.
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Register of
Fixed Assets
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7.
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Register of
Documents Sealed
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ANY
OTHER REGISTERS/MINUTES
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S.NO
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NAME OF
THE REGISTER
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REMARKS
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2.
(a) FORMS, RETURNS AND DOCUMENTS FILED WITH ROC AND OTHER AUTHORITIES
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Form No.
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Particulars with section
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Filed on
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Receipt
Number
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Fees Paid
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If any
Additional Fee Give Details
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Date
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23AC&
ACA
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Balance
Sheet
Sec-220
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66
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Secretarial
Compliance Certificate Sec-383A
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20B
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Annual
Return
Sec-160
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(b)
FORMS, RETURNS AND DOCUMENTS FILED WITH CENTRAL GOVERNMENT/CLB
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Form No.
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Particulars with section
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Filed on
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Receipt
Number
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Fees Paid
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Remarks
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Date
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Total
Forms:
3.
STATUS OF THE COMPANY: (Kindly (√))
Public:
Listed / Unlisted or Private Company
If
Private Company Fill the Following Details:
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Name of
the Member
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Folio
Number
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No. of
Shares
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Percentage
of Holding
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Directors
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Relatives
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Employees
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Others
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Total:
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4.
MEETING OF BOARD OF DIRECTORS AND MINUTES:
A)
Minutes in Hand Written/Binder
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S.No.
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Date
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Subject/Remarks
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a) Whether
proper Notices were given :
b) Whether
proceedings are properly recorded in minutes Book and signed
:
c) Whether
Board has constituted any Committees:
If Yes:
1) Does
committee meeting are duly complied with :
2) Minutes of
committee meetings are regularly
placed before the
Board
:
B)
Any Circular Resolution:
If
Yes date(s) of Resolution(s):
Date of
Board Meeting at which
The
Resolution was passed :
5.
CLOSURE OF REGISTER OF MEMBERS OR DEBENTURE HOLDERS:
If
closed period of closure:
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Language
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Name of
Newspaper
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Date of
Advertisement
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Regional
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English
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6.
ANNUAL GENERAL MEETING AND MINUTES:
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Date of
AGM
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Place,
Venue & Time
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No. of
Members present
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In Person
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In proxy
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a) Whether
proper Notices were given :
b) Whether
proceedings are properly recorded in minutes Book and signed
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Subjects:
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Ordinary
Business
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Subject
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Details on
Forms Filed
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Special
Business
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7.
EXTRA ORDINARY GENERAL MEETING AND MINUTES:
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Date of
EGM
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Place,
Venue & Time
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No. of
Members present
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In Person
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In proxy
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a) Whether
proper Notices were given :
b) Whether
proceedings are properly recorded in minutes Book and signed
:
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Subject
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Details on
Forms Filed
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8.
LOANS TO DIRECTORS
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a) Whether
the Company has advanced loans to its Directors or persons or Firms or
Companies referred to under Section 295 of the Act
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b)If yes
whether Central Government Approval is received
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9.
CONTRACTS SPECIFIED U/S 297
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a) Whether the Company has entered into any
contract U/S 297 of the Act.
If Yes
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b)
Whether B.O.D consent obtained by
passing resolution
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c) Whether
prior approval of RD is obtained if the paid –up share capital is not less
than rupees 1 Crore.
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10.
REGISTER OF CONTRACTS U/S 301
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a)Whether
necessary entries are made in Register of Contracts U/S 301 of the Act
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b)Whether
it is signed by the Directors
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11.
HOLDING OFFICE OR PLACE OF PROFIT
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Whether
company was required to obtain any necessary approvals from the Board,
members and Central Government U/S 314. If yes
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Name of
the Director
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Whether
prior Approval of Central Government is obtained if monthly remuneration has
exceeded Rs.50,000
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Date of
Board resolution
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Date of
Special resolution
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Date of
Filing Form 23
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12.
ISSUE OF DUPLICATE SHARE CERTIFICATE
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Whether
company has issued any Duplicate Share Certificates. If yes give Details
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Whether
Board of resolution has been passed
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Whether
appropriate Indemnity Bond and Affidavit
have been obtained
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Whether
all entries are updated in Register of members
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Whether
advertisement is released if Articles require
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13.
WHETHER THE COMPANY HAS:
A)
Delivered all the certificates on Allotment/Transfer:
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Allotment
Details
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No. of
Shares Allotted
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Date of
allotment
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No. of
Allottees
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Date of
Delivery of Share Certificates
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Transfer
Details
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No. of
Transfers
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Date of
Meeting(s)
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Date of
Dispatch of Certificates
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Pending
Transfers if any
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Transmission
Details
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No. of
Transmissions
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Date of
Meeting(s)
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Date of
Dispatch of Certificates
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Pending
Transmissions if any
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Split/Consolidation
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No. of
Split/Consolidation
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Date of
Meeting(s)
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Date of
Dispatch of Certificates
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Pending if
any
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B)
Declaration of Dividend:
If
yes –
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Percentage
of Dividend Declared
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Amount
Transferred to General Reserve
(within 5
days)
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Date of
opening of Bank Account
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Date of
Deposit in the Bank Account
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Date of
Dispatch of Warrants (within 30 days of date of declaration)
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Whether
Dividend /Warrants are posted in time to members:
Whether
unpaid Dividend is transferred to Separate Bank Account:
Whether
any amount is required to transfer to IEPF:
Whether
duly complied with the requirements of Sec 217 of the Act:
14.
APPOINTMENT OF DIRECTORS
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Name of
the Director
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Designation
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Relevant
Form
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Date of
Filing
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32
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32
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15.
APPOINTMENT OF MANAGERIAL PERSONNEL
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Name of
the Director
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Designation
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Period of
Appointment
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Remuneration
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Relevant
Form
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Date of
Filing
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23
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32
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25C
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25A
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Details on
Revision of Remuneration if any:
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16. APPOINTMENT
OF SOLE SELLING AGENT
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Whether
Company has appointed any Sole Selling Agent: If yes
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Whether
Section 294AA is complied with
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Whether
agreement is approved in first General Meeting after the date of Appointment
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Form No 23
duly Filed
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Whether
details are furnished to Central Government
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Whether
special resolution is passed and approval from Central Government is obtained
when paid up share up Share Capital is more than 50Lakhs.
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17. APPROVALS
FROM VARIOUS AUTHORITIES
Whether
Company was required to obtain approvals from various Authorities, if yes
Details of
Approval From
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Regional
Director
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Company
Law Board
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Registrar
of Companies
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18. DISCLOSURE
OF INTEREST
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Disclosures
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Received
from all the Directors
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Remarks
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24AA
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274(1)(g)
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DDA
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Date of
Board meeting in which it was Placed
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19. ISSUE OF
CAPITAL AND SECURITIES
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19.
Whether Company has issued any shares, debentures or other securities during
the financial year:
If yes
give Details
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Increase
is within Authorized Capital
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Whether
Board Resolution is Passed for allotment of Shares
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Form 2 –
return of Allotment was filed
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Register
of Members is updated & if Private number of Shareholders is less than 50
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Whether
Share Certificates are issued to Allottees
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20. BUY BACK OF SHARES/SECURITIES
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Whether Company has bought back any shares
during the financial year:
If yes give
Details
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Whether
Articles authorize buy back of securities
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Whether
Special Resolution is passed if Buy Back is more than 10% of the total
Paid-up Equity capital and Free Reserves
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Whether
Form 23 is filed within 30Days of Passing Resolution
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If it less
than 10% whether authorized by Board
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Other
details
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21. REDEMPTION
OF PREFERENCE SHARES/DEBENTURES
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Number of
Preference Shares/Debentures redeemed during the Year
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Date of
Redemption
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Whether
provisions contained in Articles of Association compiled with
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Whether
Form 5 is filed within 30 days from the date of Redemption
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22. Any
transaction necessitating the company to keep in abeyance the right to
Dividend, Right shares and Bonus shares:
23. BORROWINGS
BY WAY OF DEPOSITS
Whether
Company has accepted any Deposits, If Yes
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Date
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58A
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58AA
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Whether
provisions contained in Articles of Association compiled with
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Whether
written Declaration is obtained
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24.
BORROWINGS
Amount borrowed by the company
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Paid up
Capital
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Secured
Loan
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Free
Reserves
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Unsecured
Loan
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Total
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Total
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If Amount
of Borrowings exceeds the limit check Date of passing of 293(1)(d)
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Date of passing 293(1)(d) Resolution
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Amount
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Receipt date of Filing of form 23
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25. LOANS,
INVESTMENTS, GUARANTEES AND SECURITIES
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Paid up
Capital
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Investments
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Free
Reserves
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Loans
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Total
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Total
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Remarks
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(Note: It
should not exceed 60% of Paid-up share Capital and Free reserves or 100% of
free reserves whichever is more)
26-29
ALTERATION OF MEMORANDUM OF ASSOCIATION
Whether the
Company has altered its Memorandum with respect to the following? If yes give
details
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Provisions
of Memorandum
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Particulars of Alteration
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Has duly
filed the Following Forms
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Form
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Filing Date
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26
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Situation
Clause
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Date(s) of
Passing of Resolution:
Board: GM:
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23
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CLB Petition
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61
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21
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18
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27
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Object
Clause
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Date(s) of
Passing of Resolution:
Board: GM:
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23
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28
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Name
Clause
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Date(s) of
Passing of Resolution:
Board: GM:
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1A
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1B
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23
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29
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Capital
Clause
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Date(s) of
Passing of Resolution:
Board: GM:
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23
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5
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Whether
every copy of Memorandum and Articles is updated after Alteration
30.
ALTERATION OF ARTICLES OF ASSOCIATION
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30.
Whether the Company has altered its Articles of Association?
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If yes
details of Alteration
Whether
Board Resolution is Passed
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Has
obtained Approval from GM
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Form 23
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Alteration
incorporated in all copies of Articles
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31.
PROSECUTION OR SHOW CAUSE NOTICES
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I) Any Prosecution or Show Cause notice been
received:
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II) Fine,
Penalty or punishment imposed on the Company in such Cases
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32. SECURITIES
FROM ITS EMPLOYEES
Whether
Company has received any money as Security from its Employees? If Yes Details.
33. DEPOSIT
OF CONTRIBUTION TO PROVIDENT FUND
Whether the
Company has constituted a Provident Fund for its employees, If Applicable -
Details on Deposit of Contribution to Provident Fund
