NAME OF REGISTER & FORMAT

APPLICABLE PROVISIONS

Renewed and duplicate share certificates (Form No. SH-2)

Section 46 (3) read with Rule 6 (3) of Companies (Share Capital and Debentures) Rules, 2014

Sweat equity shares (Form No. SH-3)

Section 54 read with Rule 8 (14) of Companies (Share Capital and Debentures) Rules, 2014

Employee Stock Options (Form No. SH-6)

Section 62 (1) (b) read with Rule 12 (10) of Companies (Share Capital and Debentures) Rules, 2014

Shares/ securities bought back (Form No. SH-10)

Section 68 (9) read with Rule 17 (12) of Companies (Share Capital and Debentures) Rules, 2014

Deposits

Section 73 read with Rule 14 of Companies (Acceptance of Deposits) Rules, 2014

Charges (Form No. CHG.7)

Section 85 (1) read with Rule 10 of Companies (Registration of Charges) Rules, 2014

Members (Form No. MGT-1)

Section 88 (1) (a) read with Rule 3 of Companies (Management and Administration) Rules, 2014

Debenture holders/ Other Securities holders (Form No. MGT-2)

Section 88 (1) (b) & (c) read with Rule 4 of Companies (Management and Administration) Rules, 2014

Foreign Register of the members, debenture-holders, other security holders or beneficial owners residing outside India. (if Authorised by Articles of Company) [Form No. MGT-1 or Form No. MGT-2 (as may be applicable)]

Section 88 (4) read with Rule 7 of Companies (Management and Administration) Rules, 2014

Significant Beneficial Owners (Form No. BEN-3)

Section 90 (2) read with Rule 5 of Companies (Management and Administration) Rules, 2014

Directors and Key Managerial Personnel and their Shareholding

Section 170 read with Rule 17 of Companies (Appointment and Qualifications of Directors) Rules, 2014

Contracts or Arrangements in which Directors are interested (Form MBP 4)

Section 189 read with Rule 16 of Companies (Meetings of Board and its Powers) Rules, 2014

Loans, guarantee, security and acquisition made by the company (Form MBP 2)

Section 186(9) read with Rule 12 of Companies (Meetings of Board and its Powers) Rules, 2014

Investments not held in its own name by the company (Form MBP – 3)

Section 187(3) read with Rule 14 of Companies (Meetings of Board and its Powers) Rules, 2014

DESCRIPTION

APPLICABLE PROVISIONS

Minutes Book of Proceedings of General Meeting, Board Meeting, Committee Meeting, Other Meeting and Resolutions passed by Postal Ballot

Section 118 read with Rule 25 of Companies (Management and Administration) Rules, 2014 read with Secretarial Standards 1 & 2

SR. NO.

NAME OF REGISTER

IMPORTANT ASPECTS

1.

Deposits

- Contents: It should contain the following particulars as specified in rules: -

·   Name, Address, PAN of depositor(s)

·   In case of Minor- Guardian’s particulars

·   Nominee Particulars

·   Deposit Receipt Number

·   Date and amount of deposit

·   Duration and repayment date

·   Rate of Interest

·   Due date for payment of interest

·   mandate and instructions for payment of interest and for non-deduction of tax at source, if any;

·   date or dates of interest payment

·   details of security or charge created for repayment

·   any other relevant particulars

- Place of Keeping Register: Registered Office of the Company

- Time Period for making entries: Within 7 days from the date of issuance of Receipt

- Authentication: Director/ Company Secretary/ Other Person authorised by Board

- Preservation Period: 8 years from the financial year in which latest entry is made in the register

2.

Charges

- Contents: - It should contain the following details as specified in Form CHG-7

·   W.r.t CREATION: Charge ID, Date of Creation or date of acquisition of property subject to charge, Date of Registration of creation of charge, Description of Property charged, Period & Amount secured by charge, Names and addresses of Charge holder, Terms and conditions of charge; Description of instrument creating charge; Reasons for delay in filing (if any), Facts and date of condonation of delay, (if any)

·  W.r.t MODIFICATION: Date of Modification, Date of Registration of modification of charge, Particulars of modification, Reasons for delay in filing (if any), Facts and date of condonation of delay, (if any)

·  W.r.t SATISFACTION: Date of Satisfaction, Date of Registration of satisfaction of charge, Reasons for delay in filing (if any), Facts and date of condonation of delay, (if any)

- Place of Keeping Register: Registered Office of the Company

- Time Period for making entries: Forthwith after Creation, Modification or satisfaction of charge as the case may be

- Authentication: Director/ Company Secretary/ Other Person authorised by Board

- Preservation Period: Permanently

- Right of Inspection: During business hours

o   Members/ Creditors – Free of Charge

o   Others- On payment of such fees and subject to restrictions as may be imposed by Articles of the Company

3.

Members

- Contents: It should contain the following details as specified in Form MGT-1:

- IN CASE OF COMPANY LIMITED BY SHARES:

·   W.r.t SHARES: Class of shares, Nominal value per share, Total number of shares;

·   W.r.t PERSONAL DETAILS OF MEMBER: Name, Name of joint holder (if any); Address; E-mail Id; CIN/ Registration No.; Unique identification number; Father’s/ Mother’s/ Spouse’s Name; Status; Occupation; Nationality; In case of minor- Name of guardian and Date of Birth of minor;

·   DETAILS OF MEMBERSHIP: Date of becoming member; Declaration in Respect of Beneficial Interest in any Share (if any); Name and address of beneficial owner; date of receipt of nomination(if applicable); Name and address of nominee; Shares kept in abeyance (if applicable); lien on shares (if applicable); Date of cessation of membership;

·   INSTRUCTIONS: Particulars of dividend mandates, power of attorney and other instructions, if any; Instruction for sending notices etc., if any;

·   DETAILS OF SHAREHOLDING: Allotment No./ Transfer No.; Date of allotment/ transfer; No. of shares allotted/ transferred; Distinctive Numbers; Folio No. & Name of transferor (if applicable); Date of issue or endorsement of share certificate; Certificate No. ; Lock-in period (if any); Amount- Payable/paid/deemed to be paid/ due; Particulars if shares are issued for consideration other than cash; Number of shares and date of transfer/ transmission/ forfeiture/ redemption; Distinctive Number; Name & Folio No. of transferee; Balance shares; Remarks and Signature;

- IN CASE OF COMPANY LIMITED BY GUARANTEE:

Apart from personal details of members, instructions as mentioned above; the details such as date of becoming member; date of cessation; amount of guarantee and any other interest if any;

- Index of Register: If number of members exceeds fifty

- Place of Keeping Register:

o   Registered office

o   If Special Resolution is passed then it can be kept at any other place:

- within same city, town, village where registered office is situated or

- any other place in India- where 1/10^th of total number of members reside

- Time Period for making entries in register and index (if applicable): 7 days after Board/ Committee approval w.r.t allotment, transfer

- Authentication: Company Secretary/ Other Person authorised by Board

- Inspection/ Copies:

o   Free for members- during business hours- atleast for 2 hours

o   Other Person- Payment of such fees as prescribed in AOA not exceeding Rs. 50/- for each inspection

o   In case of if member requires copy of such register/ entry- Payment of such fees as prescribed in AOA not exceeding Rs. 10/- for each page;

- Custody: Company Secretary/ Other Person authorised by Board

- Preservation Period: Permanently

- Penalty: On Company: Rupees Three Lakhs, On every Officer in default: Rupees Fifty Thousand

4.

Directors and Key Managerial Personnel and their Shareholding

- Contents: It should contain the following particulars as specified in rules: -

- DETAILS OF DIRECTOR AND KEY MANAGERIAL PERSONNEL: Personal Details like DIN, name, surname, former name if any, father’s name, mother’s name, spouse name (if married), date of birth, residential address, nationality, occupation;

Other details like Date of Board Resolution in which appointment was made, Date of appointment and reappointment; date of cessation and reasons; whether such office is held or relinquished in any other body corporate; Membership no. of ICSI in case of CS if applicable; PAN of KMP if not having DIN

· DETAILS OF SECURITIES: Securities held by Directors or KMP in Company, its holding, subsidiary, associate, subsidiary of Company’s holding containing details of securities such as name, description and nominal value; date of acquisition, price or other consideration paid; date of disposal and price and other consideration received; cumulative balance and number of securities held after each transaction, mode of acquisition, mode of holding, whether such securities have been pledged or encumbered

- Place of Keeping Register: Registered Office of the Company;

- Preservation Period: Permanently

5.

Contracts or Arrangements in Which Directors are Interested

- Contents: It should contain the following details as specified in Form MBP-4:

·   Part A: DISCLOSURE OF RELATED PARTY TRANSACTIONS: Date of contract/ arrangement; Name of party with which contract is entered; Relation with director/ company/ nature of concern or interest; Principal terms and conditions; whether the transaction is at arm’s length basis; Date of Board Approval along with details of voting on such resolution; Date of next Board Meeting in which register was placed for signature; Reference of sub-section of section 188 under which such transaction falls; Amount, date of shareholders’ approval, if any, Signature and Remarks.

·   Part B: DISCLOSURE OF INTEREST OF DIRECTORS: Names of the Companies/bodies corporate/ firms/ association of individuals; Name of Interested Director; Nature of Interest or Concern; Change in interest or concern; Shareholding, Date on which interest or concern arose/changed.

- Place of Keeping Register: Registered Office of the Company

- Time Period for making entries: On receipt of necessary information/ whenever there is cause to make entry; The entries should be made in chronological order

- Custody: Company Secretary/ Other Person authorised by Board

- Authentication: Company Secretary/ Other Person authorised by Board

- Preservation Period: Permanently

- Penalty: Every Director in default- Rupees Twenty-Five Thousand

6.

Loans, guarantee, security and acquisition made by the company

- Contents: It should contain the following details as specified in Form MBP-2:

· DETAILS W.R.T LOANS/GUARANTEE/SECURITIES/ ACQUISITIONS: Nature of transaction; Date; Name and address of person/ body corporate to whom it is made or given or whose securities have been acquired; Amount; Time Period; Purpose; Percentage of such transaction as to paid up capital, free reserves and securities premium and percentage of free reserves and securities premium; Date of Board Resolution, Date of Special resolution (if required);

· ADDITIONAL DETAILS IN CASE OF LOANS - rate of interest, date of maturity;

· ADDITIONAL DETAILS IN CASE OF ACQUISITION: - number and kind of securities, nominal and paid up value, cost of acquisition, date of selling investment, selling price, signature and remarks

- Place of Keeping Register: Registered Office of the Company

- Time Period for making entries: Chronologically within seven days of making such loan or giving guarantee or providing security or making acquisition.

- Custody: - Company Secretary/ Other Person authorised by Board

- Authentication: Company Secretary/ Other Person authorised by Board

- Preservation Period: Permanently

- Inspection: Free for members and Extracts may be furnished to member on payment of fees as prescribed in AOA which shall not exceed Rs. 10/- per page

- Penalty: Company- Minimum Twenty-Five Thousand which may extend to Rupees Five Lakhs; Every Officer in Default- Imprisonment upto 2 years and fine Minimum Twenty-Five Thousand which may extend to Rupees One Lakh