Company & Securities Related Laws

Company Law & Securities Related Laws

A. Basic Services
Incorporation of New Companies
Joint Venture in India or Outside India and related policies of Govt. of India
Liaison and co-ordination with the Registrar and Share Transfer Agents, Stock Exchange(s), Depositories and the Securities and Exchange Board of India
Merger / Amalgamation / Demerger
Secretarial Compliance Audit
Company Law issues relating to – holding of meetings, maintenance / filing of records / returns, Corporate Governance, ESOP, Buy back, Takeover, Insider Trading etc.
Drafting of Director’s Report, Corporate Governance Report, Annual Report presentation Periodical advisory and / or retainer basis for Private Company / Closely held Company / Listed Company / Joint Venture Company / Section 25 Company for Company law related matters
Matters related to Investor Grievances
B. Statutory Certification
Statutory Declaration in Form 1 for Incorporation of new company in India
Verification of declaration in Form 19, 20 and 20A for compliances to commencement of business / es
Signing of Annual Return of Private / Public / Listed companies
Certify compliance of requirement under Schedule XIII
Certify all documents to be filed with Registrar of Companies to take on record within 10 days
Issue of Compliance Certificate as to whether the company has complied with all the provisions of Companies Act, 1956 for all types of companies including u/s. 383A
Declaration for registration of Memorandum and Articles of Section 25 companies
Certify extinguishments and physical destruction of share certificates bought back by company
Certify From 1 and 2 under Investor Education and Protection Fund Rules
Certify allotment as approved by Stock Exchange

Certify issue of certificates within one month of lodgement
Procedural Compliance relating to Securities laws i.e. Stock Exchange / SEBI requirements
Liaison and co-ordinate with the Registrar and Share Transfer Agents, stock exchange, Depositories and the Securities and Exchange Board of India including the following:
Listing of Securities – Equity or Debt Instrument
Monthly submission of details of dematerialisation of securities
Co-ordination and submission of the quarterly certificate relating to Secretarial Audit relating to dematerialisation
Co-ordination and Submission of Certificate relating to transfer-cum-demat of shares as required under NSDL / CDSL Bye laws
Submission of quarterly shareholding pattern
Presentation and publication of quarterly results
Submission of Distribution Schedule
Submission of information under Regulation 8 of the SEBI (Substantial Acquisition of Shares & Transfers) Regulations
Co-ordination and submission of half yearly certificate as required under Clause 47 of the Listing Agreement
Managing the formalities related to Book Closure
Payment of Annual Listing fees
Preparation of Annual Report incorporating the necessary requirements of Clause 49 of Corporate Governance
Certificate relating to the quarterly Secretarial Audit for reconciliation as required under notification issued by SEBI
Certificate as required for transfer-cum-demat of Shares as required under the NSDL / CDSL Bye laws
Certificate as required for completion of the transfers as required under Clause 47 of the Listing Agreement
Preparation of the Status and Search Report from Registrar of Companies for Banks / Financial Institutions
Services for specific assignments like obtaining Central Government Approval, SEBI Approval, ROC Approval, Written opinion, Certification etc.
C. Advisory & co-ordination on Forms /Return and Registers
Return of Allotment (intimation of issue of Shares)
Return of Change of Directorship
Yearly Annual Return
Intimation to R.O.C. of any Special Resolution passed by the company
Return of Increase in the Authorized Share Capital
Return for registration of creation / modification / satisfaction of Charges on the Assets of the company
Return of intimation of having beneficial interest in the shares not held in the company’s name
Return of appointment of Managing Director / Whole time Director / Manager etc.
Register of Members u/s 150
Register of Directors, Manager, Managing Director and Secretary u/s 303
Register of Directors’ Shareholdings u/s 307
Register of Charges u/s 143
Register of Investments not held in Company’s name u/s 49
Register of Contracts and Arrangements in which the Directors are interested u/s 301
Register of Applications and Allotments
Register of Transfers
Register of Attendance of Board and General Meetings
Minutes Books of Board and General Meetings etc.
D. Services for Specific Assignments
Co-ordination and assistance to obtain Central Government Approval
Co-ordination and assistance to obtain SEBI Approval
Co-ordination and assistance to obtain Regional Director Approval
Co-ordination and assistance to obtain Roc Approval
Providing written opinion
Certification for specific assignments
E. Services for Banks and Financial Institutions
Preparation of the status and Search Report from Registrar of Companies
Registration of Charges
Modification of Charges
Satisfaction of Charges
Providing Digital Signature Certificates
Recovery-consultant in banking and financial sector.
Planning, supervision and carrying out of internal audit, systems audit, labour audit, management audit, operational audit, quality audit etc.
Risk management of properties, profits, resources, know-how and operations.