Name of the Company :
Date of incorporation :
Authorised Share Capital :
Paid up Share Capital :
(1).
Does the Company maintain the following registers:
_________________________________________________________________________
Name of the registers Under section Completed upto
Name of the registers Under section Completed upto
a) Register of Investment 49
b) Register of Deposits Rule
7 of Deposit Rule
c) Register of Securities bought
back 77A
d) Register of charges &copies
of 143 &136
instrument creating charges
e) Register of Members & Index 150
&151
thereof
f)
Register & index of Debentureholders 152
g) Foreign Register of Members or 157
Debentureholders
h) Minutes books of Meetings 193
i) Minutes book of class meeting/
Creditors meetings
j) Books of Accounts & Cost
Records 209
k) Register of particulars of
Contracts 301
in which Directors are interested
l) Register of Directors, Managing 303
Director, Manager and Secretary
m) Register of Director’s
shareholding 307
n) Register of Investment and Loans
etc. 372A
o) Register of Duplicate
Certificates Rule-7
p) Register of destruction of
records/ Rule-4
Documents
q) Other registers, if any
(2).
List of the Forms and Returns filed with ROC, CLB or any
other authority / department under Companies Act, 1956.
______________________________________________________________________________________Forms /Returns Matter Due Date of filing Filing date
______________________________________________________________________________________
i)
ii)
iii)
iv)
v)
vi)
vii)
viii)
ix)
x)
(3)
A. In case of private Limited Company
i) Number of Members
ii) If
any deposit accepted from persons other than Member, Directors and their
relatives
B.
In case of Public Limited
Company
Has the Company
accepted Deposit u/s 58Aand 58AA of the Act and complied with relevant
provisions of the Act .
(4)
Number of
Board Meetings held :-
Dates
Agenda
If minutes recorded and signed
(including
any resolution passed by
circulation )
i)
ii)
iii)
iv)
(5)
Has the
Company closed its Register of Members, if so the period of closure
(6) Details of AGM /EGM held during the year
Type of the meeting Date of notice Date of meeting Agenda If minutes
recorded
(7) Details of loan given to Directors etc.
under section 295, if any.
(8) I) Details
of contracts entered into with Directors /Companies /firms in which Directors
are
interested, if any.
II) Form
number 24AA received from Directors, if any.
(9) Details of Directors /relatives holding
office or place of profit under section 314, if any.
(10) Details of duplicate share certificates
/debenture certificate issued after allotment, in time.
(11) If any transfer or transmission has taken
place, if so, whether in time and recorded in Board
meeting.
(12) If any dividend declared –
i) Whether deposited
within 5 days in a separate bank account.
ii) Whether
paid / Dividend warrant posted within 30 days of declaration.
(13) If any unpaid or unclaimed dividend
transferred to unpaid or unclaimed dividend account after 30
days of declaration .
(14) Whether the Company has transferred amount
of—
a)
Unpaid dividend account If remain unpaid for
7years To the
Investor
b)
Application money due for refund
Education
c)
Matured deposits and
d)
Matured debentures
Protection
e)
Interest thereon Fund
(15) If any Director appointed /resigned or any
Managing or Wholetime Director appointed, if so, the
Compliance of provisions of the Act.
(16) The appointment of Sole Selling Agent was made in compliance of
the provisions of the Act.
(17) Details of any shares or
securities issued during the year.
In case of Private Companies:
a)
the relevant provisions in Articles of Association have
been complied with
b)
return of allotment was filed with the ROC
c)
share certificates have been issued to the
allottees within the prescribed period.
d)
where the Company has issued preference shares,
provisions of Section 80(5A) and 80A have been complied with.
e)
any other relevant matters
In case of Public Companies:
a)
at first instance the shares are offered to the
existing shareholders in proportion to the capital paid-
up on shares held.
b)
in case shares are offered to any persons whether or
not those persons include existing
shareholders, special resolution was passed, Form no. 23
was filed with ROC
c)
any other relevant matters
(18) If any Sharers were bought back ?
a)
Whether authorised by the Articles
b)
Special resolution was passed at a General Meeting,
Form no.23 filed with ROC
c)
the aggregate value of buy back was not exceeding 25%
of the total paid up capital and free
reserves
d)
the buy back was completed within 12 months from the date of passing of
the special resolution.
(19) Detail of Preference shares or Debenture
redeemed
(20) Right to dividend, right shares, bonus
shares kept in abeyance .
(21) If Company has borrowed money , provisions
of Sections 292 and 293 (1) (d) have been
complied with.
(22) Details of investment made ,guarantee given
or security provided under section 372A, and formalities complied with .
(23) Has the Company during the year :
Altered its Memorandum of
Association with respect to:-
a)
Changed the registered office
b)
Changed its object clause
c)
Changed the name
Altered its Articles of
Association after obtaining approval of
members in the general meeting and the
amendments to the Articles of Association have been duly registered with the
Registrar of Companies.
If yes , all formalities
complied with.
(24) Any prosecution
initiated against or show cause notices received by the Company for
alleged offences under the Act and
also the fines and penalties or any other punishment imposed on the Company
(25) Whether the Company
received any security from its employees during the year under certification
and the same has been deposited as per the provisions of Section 417(1) of the
Act.
The amount of security has been deposited by the company within 15 days
from the date of deposit-
1) a) in a post office savings
bank account, or
b) in a special account to be
opened by the Company for the purpose in
the State Bank of
India or in a Scheduled Bank, or
c) where the company
itself is a Scheduled Bank, in a special account to be opened by the Company for the purpose either in itself or in the
State Bank of India or in any other Scheduled Bank.
II) No portion of such money or securities
shall be utilised by the Company except for the
purposes agreed to in the contracts of service.
(26)
Whether the Company has deposited both
employee’s and employer’s contribution to the Provident Fund with the
prescribed authorities pursuant to Section 418 of the Act.
Contribution to the fund has been deposited by the Company within 15
days from the date of contribution ,
receipt or accrual, as case may be, either-
I) a) in a post office savings bank account, or
b) in a special account to
be opened by the Company for the purpose
in the State Bank of
India or in a Scheduled Bank, or
c) where the company itself is a Scheduled
Bank, in a special account to be opened by the Company for the purpose either in itself or in the
State Bank of India or in any other Scheduled Bank.
II) be invested in the securities mentioned or
referred to in clauses (a) to (e) of Section 20 of the Indian Trust Act, 1882 (2 of 1882).
(27)
Whether there was conversion of :
a)
Public Company into Private Company (other than Section
43A) or
b)
Public Company into Private Company ( Section 43A)
c)
Private company into a public Company (Section 44)
d)
Continuation of a Section 43A Public company as a
Public Company
e)
Private Company (which is a subsidiary of a Public
Company) into a Public Company.
Whether the
provisions have been complied with.
(28)
Whether the company has
obtained all necessary approvals of the Central Government, Company Law Board, Regional Director, Registrar or
such other authorities as may be prescribed under the various provisions of the
Act
(29)
Register of Companies, Contract
and Firms in which Directors are interested, whether signed by the Directors
present at the next Board Meeting.
(30)
Whether the Company is a NBFC,
does it has a capital of Rs. 25 Lacs or more & if it has accepted deposit
the Credit Rating has been obtained or not.
No comments:
Post a Comment