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Checklist for Issue of Compliance Certificate

[Submitted by Sachin Manohar Dumbre,
B.Com., CA(Final) Student,
Mumbai, Maharashtra]

February 12, 2008

Name of the Company:

Authorised Share Capital:

Paid Up Share Capital:

Year:

1. Registers and Records

SR. NO.	REGISTERS	APPLIC-ABLE	NOT 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 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

SR. NO.	RETURNS	FILED R.O.C.	NOT FILED	AVAILABLE	REMARKS
1.	ANNUAL RETURN
2.	BALANCE SHEET
3.	COMPLAINCE CERTIFICATE U/S 383A
4.	RETURN OF ALLOTMENT
5.	RETURN ON BUY BACK OF SECURITIES
6.	NOTICE OF REDEMPTION OF PREF. SHARES, CONSOLIDATION, DIVISION, 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:

6.EXTRA-ORDINARY GENARAL MEETING AND MINUTES:

Date of EGM Notice Date Business

SR. NO.	PARTICULARS	APPLI. (Y/N)	IF APPL. COMPLD? (Y/N)	NO EVENTS/ TRANSA.	REMARKS
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
7.	TRANSFER/TRANSMISSION OF SHARES
8.	DELIVERY OF ALL CERTIFICATES
9.	DEPOSIT OF DIVIDEND IN SEPARATE BANK A/C.
10.	POSTING OF DIVIDEND WARRANTS within30 days
11.	UNPAID DIVIDEND A/C.
12.	INVESTOR EDU. & PROT. FUND
13.	DIRECTORS' REPORTS -217
14.	APPOINTMENTS OF DIRECTORS
15.	APPOINMENTS OF MANAGERIAL PESONNEL
16.	APPOINMENTS OF SOLE SELLING AGENTS
17.	APPROVALS OF VARIOUS AUTHORITIES
18.	DISCLOSURE OF INTREST U/S. 299 (FORM- 24AA)
19.	ISSUE OF CAPITAL & SECURITIES
20.	BUY-BACK OF SHARES OR SECURITIES
21.	REDEMPTION OF PREF. SHARES OR DEBENTURES

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