checklist compliance certificate

7/30/2019 Checklist Compliance Certificate

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2008 09

CHECK LIST FOR SCRUTINY FOR COMPLIANCE CERTIFICATE

GENERA INFORMATION ABOUT THE COMPANY:

COMPANY NAME: LIMITED / PRIVATE LIMITED

CIN:

DATE OF COI:

ADDRESS OF REGISTERED OFFCE:

AUTHO. CAPITAL: RS. DIVIDED INTO EQUITY SHARES OF RS.

PAID UP CAPITAL: RS. DIVIDED INTO EQUITY SHARES OF RS.

MAIN OBJECT OF THE COMPANY:

BUSINESS OF THE COMPANY:

Clause

1

Registers maintained by the Company

1. Register of Share application and allotment2. Register of Members u/s 1503. Register of share Transfers.4. Minutes Book of General Meetings.5. Minutes Book of Board Meetings.6. Directors Attendance Register.7. Register of Contracts u/s 301(1)8. Register of Disclosure of Interest u/s 301(3)9. Register of Directors u/s 303.10. Register of Directors shareholdings u/s 30711. Register of F. D.12. Registers of inter corporate Loans and Investments.13. Register of Charges u/s 14314. Register of Fixed Assets

Tick out the registers maintained by the Company and check whether the entries have been duly made and updated.Comment:

Clause 2 Forms uploaded on MCA Portal during 2006 07

Sr.No.

Doc. Name Date ofevent

Date ofChallan

WithinTime?

Challan No. Contents of Form in brief

1 Form 20B Y/N P

2 F 23AC/ACA Y/N P

3 Form 66 Y/N P

4 Form Y/N A

5 Form Y/N A

6 Form Y/N A

7 Form Y/N A

8 Form Y/N A

9 Form Y/N A

10 Form Y/N A


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Clause 3 Status of the Company PRIVATE

Maximum number of members during the year .. on .

Ledger of unsecured loans produced for verification?

If yes, check the ledger account of unsecured loans

From Whom Taken? Mention Name and category (whether Director or Member or Relative)

Comment:

Clause 4 Board Meetings: Check the notice and minutes of the Board Meeting

Date ofBoardMeeting

Business transacted Comment

Clause 5 Whether Register of Members closed during the year? NO

Clause 6 A. G. M. for the year 2007-08 held on at atA.G.M. for the year 2006 - 07 held on

Notice of AGM Checked? Yes/No Notice in order? Yes/NoMinutes Recorded? Yes/No Minutes signed? Yes/No

Transactions at AGM: 1. Adoption of Account 2. Appointment of Director3. Appointment of Auditor 4. Declaration of Dividend5. 6.

Comment: Whether AGM held in compliance of Act? Yes/No

Resolutions passed in AGM duly recorded in minutes? Yes/No

Other Comment, if any


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Clause 7 E.G.M. held during the year? YES/NO If yes date of E.G.M.

Notice of EGM Checked? Yes/No Notice in order? Yes/NoMinutes Recorded? Yes/No Minutes signed? Yes/No

Transactions at EGM: 1.2.3.

Comment: Whether EGM held in compliance of Act? Yes/NoResolutions passed in EGM duly recorded in minutes? Yes/No


Clause 8 Loans or Advances under section 295 YES/NO

Whether Ledgers of Loans & Advances to related party produced? YES/NO

Check whether Board Resolution is passed for granting a loan? Yes/NoIf yes, Date of Board Meeting:

Clause 9 & 10 Related party transaction under section 297, Register of Contract and Register of Disclosure ofInterest of Directors

Call for the list of related party as stated u/s 297 and check the ledger accounts of all these parties and Form No.24AA.

Any transacted covered u/s 297 entered into? Yes/No

If yes, State in brief the details of that transaction.

Approval of Board by way of Board Resolution obtained? Yes/No

Approval of RD Obtained? Yes/No/Not Applicable

The Contract with related party entered in the Register of Contract? Yes/No

Directors disclosed their interest in other firms/body corporate? Yes/No

The entry relating to disclosure of interest made in Register u/s 301(3)? Yes/NoComment:

Clause 11 Office or place of Profit under section 314.Check whether Director/relative or other parties mentioned u/s 314 has held place/office or profit during the year

If yes, state the details in brief:

State the details of payment made to him/her:

Necessary Board Resolution Passed? Yes/No If yes, Date of Meeting:Necessary S/R Passed? AGM/EGM Date:Approval of CG Obtained? Yes/No/Not Applicable If yes, details of order

Comment:


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Clause 12 Issue of Duplicate share certificates YES/NOIf yes, Check the request letter of the concerned shareholder, minutes of the Board Meeting for issue of duplicatecertificates, counter foil of the certificates etc. Also check the entry in ROM.

Comment:

Clause 13

Delivery of Share Certificates Allotment Date of AllotmentDate of Dispatch of Certi.Form 2 filed on

Delivery of Share Certificates Transfer/Transmission etc.Date of Transfer/Transmission/consolidation/SplitDate of Dispatch of Certi.

Share Application Form/Transfer Deed Checked? Yes/NoBoard Resolution Recorded? Yes/NoRegister of Members updated? Yes/No

Register of Transfer updated? Yes/NoEvidence or confirmation regarding date of dispatch?

Comment:Share Certi. dispatched within 3months of Allotment? Yes/No

Share Certi. dispatched within 2months of Transfer? Yes/No

Provisions of Act and ShareCertificate Rules complied?Yes/No


Dividend - Interim or Final during the year 2006-07

Declared? Yes/No Date:Check notice of Relevant Board/General MeetingCheck minutes Relevant Board/General MeetingAmount of dividend transferred to separate bank account? YES/NOIf yes, date of transfer Date of paymentIf no, date of paymentAlso check counter foil of Cheque book and/or Ledger of Dividend for the

date of payment

Comment:

Transfer of amount to Investor Education and Protection Fund

Report of Board of Directors Compliance of Section 217

Check report of B.O.D. (for the year 2006-07). Whether following details areproperly reported?

1. State of Companys affairs (Financial Affairs)2. Amount transferred to Reserves3. Amount, proposed to be paid as dividend4. Materials changes and commitments since the date of year ending to the

date of report5. Conservation of energy etc.6. Change in nature of business7. Employee details as per section 217(2A)8. Directors Responsibility Statement9. Explanation regarding Auditors qualification in his reportWrite Y if reported, N if not reported and N.A. if not applicableSigned by whom?

Whether signatory/ies authorised by Board to sign BOD Report? Yes/No(Check relevant minutes to determine who was/were authorised to sign the

report?

Is it compliance of Section 217(4) Yes/No

Comment whether Section 217 isduly complied with?

Yes/No

If No, state which sub section notcomplied with.


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Clause 14 Constitution of Board of DirectorsAOA is available for inspection? Yes/No

Provisions of Articles of Association as to number of Directors, provisions as to appointment of Directors, retirementof directors by rotation etc. checked in AOA? Yes/No

Quote Article No. which is relevant

Any director appointed during the year? Yes/No

Designation: Director/Additional Director/Alternate Director/ Director to fill casual vacancy

Appointed by the Board or General Meeting?

Date of Appointment? Date of filing Form 32: SRN:

Any Director appointed as Additional Director in past was again appointed as regular Director by the GeneralMeeting? Yes/No

Name the directors during the year 2007 08 and appointing authority (Board or GM):1. 2. 3.

4. 5. 6.

Does no. of present Directors exceed the maximum limit prescribed in the AOA? Yes/No

Provisions of Section 255/256 are applicable to the Company? Yes/No

Under which Article the relevant provisions of retirement specified? Article No.The order of retirement properly followed in past? Yes/No/Not Applicable

Comment: 1. Constitution: Proper/Not Proper

2. Director Appointed during the year duly appointed? Yes/No/Not Applicable

In case of negative comment, give the reason:

Clause 15 Appointment of Managerial Personnel

Under which Article Provision is given for appointment of MD and WTD? Article No.

Any director is appointed as MD or WTD? Yes/No

If yes, By Board or General Meeting? Date of BM/GM

Provisions of AOA complied with?

Comment as to Compliance:

Clause 16 Appointment of Sole selling agentInquire whether sole selling agent is appointed by the Company during the year? YES/NOIf yes, check the Compliance and comment

Clause 17 Approval of the Central Govt., C.L.B., R.D. or R.O.C.

APPROVAL OF R.O.C.

Change of Name: YES/NO Conversion from Private to Public: YES/NOConversion from Public to Private: YES/NO COB u/s 149: YES/NO


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Extension of time u/s 166 or 210 for holding A.G.M.

Comment as to compliance.

APPROVAL OF REGIONAL DIRECTOR

Under Section 297 Related party contracts if the paid up capital is Rs. 1.00 Crore or more

Check the compliance with reference to records as stated under clause 9

Comment Approval of RD: Obtained/Not obtained/ Not required

APPROVAL OF CENTRAL GOVT.

Office or place of profit u/s 314(1B) Check the compliance and comment if any person held office/place of profitand the salary, remuneration, commission or fees is Rs. 50,000/- per month or Rs. 6.00 Lakh or more per annum

Other Approval:

Comment Approval of CG: Obtained/Not obtained/ Not required

APPROVAL OF C.L.B.

Section 17 Shifting of Registered Office from one state to another Yes/No Section 43 Infringement of Articles of Association Yes/No1. Whether restriction as to transfer followed by the Company? Yes/No/ Not required2. Whether number of members exceed 50? Yes/No3. Whether deposit accepted by the Company from persons other than Members/Directors/their relatives.

Yes/No

Section 141 Failure to file the particulars of Creation/Modification/Satisfaction of charge Other Approval _______________________________ Yes/NoCall for ledgers of secured loans

Ledger of Secured Loans produced for verification? Yes/NoAny charge created during the year? Yes/NoAny charge modified during the year? Yes/NoAny charge Satisfied during the year? Yes/NoNecessary Form 8 or 17 filed with ROC Within time? Yes/No

Petition to CLB Was required to be made? Yes/No If yes made? Yes/No

Comment:

Clause 18 Disclosure of Interest Check Form 24AA and entry in the registerComment:

Clause 19 Allotment of Shares YES/NO

Date of Share Application Date of Allotment

Date of filing Form 2 Date of Dispatch of Certificates

Signatories to the Certificates

Share Application Form available for inspection? Yes/No


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