Secretarial Compliances

What is Secretarial Compliances
  • Good Governance is the indicator of the good performance and sustainable development is the key for any entity to grow beyond generations. Compliance of law in true letter and spirit is the measure of good governance. We assist the business entities in timely compliance of law and our team will ensure that cost of compliance is kept at the minimum levels. Towards this end our services are:
    1. Maintaining records and Registers under Companies Act
    2. Maintaining records under other economic legislations
    3. Assistance in maintaining Accounting records
    4. Assistance in convening Board and Committee Meetings
    5. Assistance in General Meetings and arranging for appointment of Scrutinizers for Postal Ballots and e-voting
    6. Assistance in preparation of Board Papers, notices and Minutes
    7. Assistance in Board Evaluation Process
    8. Arranging for Annual Compliances and Event based filing of Forms with MCA, Stock Exchanges, RBI and Other Authorities
    9. Arrangement for Secretarial Audits, Due Diligence Audits and allied Compliance solutions
    10. Obtaining specific approvals with Registrar of Companies (RoC), Company Law Board (CLB)/National Company Law Tribunal (NCLT/NCALT), Central Government
    11. Arranging for Opinion on complex legal matters under various corporate legislations
    12. Representation services with various Central/ State Government and Local and Quasi-Governmental Authorities for resolution any legal issues

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Details of Documents to be Checked Register and Record
  • Register & Index of members
  • Register & Index of debenture holders
  • Foreign registers of members of debenture holders
  • Registers and returns
  • Minutes book of meetings
  • Minutes book of class meeting/creditors meeting
  • Register of investments
  • Register of deposits
  • Register of charges (creation)
  • Books of accounts & cost records
  • Register of contracts
  • Register of directors, MD, manager & secretary
  • Register of directors’ shareholding
  • Register of investments, loans made, guarantee given or security provided
  • Register of renewed & duplicate certificates
  • Register of directors’ attendance
  • Register of shareholders’ attendance
  • Register of proxies
  • Register of Transfer
  • Register of fixed assets
  • Register of debenture holders Returns
  • Annual Returns
  • Annual Accounts (Balance Sheet and Profit and Loss Account)
  • Return of Allotment
  • Notice of change in situation of Registered office
  • Court or CLB Order
  • Return of Appointment of MD/WTD/Manager
  • Return of Deposits
  • Registration of Resolutions and Agreements
  • Registration of Creation/ modification/ satisfaction of Charge Meetings
  • Board of Directors Meetings, as per section 173 of Companies Act, 2013
  • Extraordinary General Meeting, as per section 100 of Companies Act, 2013
  • Annual General Meeting, as per Section 96 of Companies Act, 2013
  • Committee Meetings duly convene as per provisions of Companies Act, 2013
  • Minutes of All Meetings maintained as per section 118 of Companies Act, 2013
Proof of Dispatch of Notices to Members/ Directors as per respective provisions of Companies Act, 2013
  1. e- Filing
  2. Check whether company has filed the following Documents
  3. MGT- 14 within 30 Days of passing Special Resolutions/Board Resolutions as the case may be
  4. File return of allotment in form PAS-3 within 30 days of allotment of share with ROC
  5. File SH -11 returns in respect of Buy back of Securities
  6. File form DPT 3 for return of deposit
  7. File CHG-1 in case of Application for registration of creation, modification of charge, within 30 days of its creation
  8. Particular for Satisfaction of Charge in form no CHG-4 filed with ROC
  9. For condonation of delay in filing of charges has been made to CG in form no CHG 8
  10. Whether MGT 7 (Annual Return) filed with ROC within 60 days of its AGM
  11. Whether company maintained AOC 2 for related party disclosure
  12. Whether company file ADT 1 within 30 days of Appointment of Auditors
  13. Whether application has been made to CG in ADT 2 for removal of Auditors
  14. Whether company received DIR 2 (consent to act as a director)
  15. Whether company Filed DIR 12 (particular for Appointment of Director, KMP and changes among them) with ROC within 30 days of appointment or changes
  16. Whether DIR 11 filed with ROC within 30 days of its Resignation
  17. Whether Company maintain Register of Loans and investment in MBP 2
  18. Whether Company Receive MBP 1 (nature of Interest) from all director in its first BM of Financial Year
  19. Whether company maintained register of Contract and arrangement in which director are interested in Form MBP 4
  20. Whether company file MR 1 with Roc within 30 days of appointment of MD/WTD/Manager
  21. Whether MR 2 filed with CG for approval of appointment or reappointment and remuneration or increase in remuneration or waiver for excess or over payment to managing director or whole time director or manager and commission or remuneration
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