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MANDATORY COMPLIANCES & PENALTY
Compliance to be done
1. Issue of Share Certificates
When is this compliance to be done?
The company must issue the Share Certificates to its shareholders within 2 months of its Incorporation or new allotment
2. Statutory Registers
7 to 8 Mandatory Registers to be maintained and updated from time to time
3. Board Meeting Compliances
- 1st Board Meeting thirty days of date of incorporation and
- One Board Meeting to be held in each quarter of the financial year.
- Minutes of meeting to be prepared,Notice of Meeting should be given
- Attendance Register of every meeting to be maintained.
4. Annual General Meeting (AGM) Compliance
- AGM to be held every year
- Minutes of AGM to be prepared
- Notice of AGM should be given in advance.
- Attendance Register of every General meeting to be maintained.
5. Annual ROC Filings
w.e.f 01/04/2014
- Filing Annual Return (MGT-7)
- Filing Financial Statements (AOC-4)
- ADT-1 (Auditor Appointment)
- Every company is required to file its Annual Return(MGT-7) with the ROC within 60 days of AGM.
- The Financials(AOC-4) also to be filed within 30 days of AGM.
- The Auditor Appointment (ADT-1) to be filled within 15 days from the AGM.
Penalty for Non-compliance
- Company: Fine from Rs. 25,000 which may extend to Rs.500,000.
- Directors: Fine from Rs. 10,000 which may extend to Rs. 100,000.
- Penalty: Rs. 50,000 which may extend to Rs. 3,00,000 and
- Further fine: Rs. 1,000 day for which the default continues.
- Company: Fine from Rs. 25,000 and
- Director in default: liable to a penalty of Rs. 5,000.
- Non-compliance in Issue of Notice of Meeting, Director shall be liable to a penalty of Rs. 25,000.
- Company: Fine from Rs. 25,000 and
- Director in default: liable to a penalty of Rs. 5,000.
- Non-compliance in Issue of Notice of Meeting, Director shall be liable to a penalty of Rs. 25,000.
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Default in holding AGM:
- Company and Directors: in default shall be punishable with fine which may extend to Rs. 1,00,000 and
- Rs. 5,000 for every day of delay
Minutes Book Maintenance:
- Company: Penalty upto Rs. 25,000
- Directors in default: shall be liable to a penalty of Rs. 5,000.
Additional ROC Filing Fees: Upto 12 times of normal filing fees for each Form separately i.e. MGT-7, AOC-4 & ADT-1 (Depending on the Delay time)Company: Shall be punishable with fine of Rs. 50,000 which shall extend to Rs. 5,00,000 and