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COMPLIANCE CERTIFICATE

Anil (1638 Points)

02 March 2008

1 ) Can anyone please send me checklist for issue of compliance certificate to a company? email : nkanil @ rediffmail.com

2) What is secretarial Audit ? Is it mandatory ? Is it done to issue a compliance certificate ?

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I AM JAYAYAVANTI SHAH

Anil (1638 Points)
Replied 03 March 2008

Hello Jayayavanthi Shah, Could you please clarify my doubts regarding compliance certificate?

Radhika (Company Secretary) (1238 Points)
Replied 03 March 2008

i have emailed u the check list

Radhika (Company Secretary) (1238 Points)
Replied 03 March 2008

Also pl.refer Sec 383A of the Companies Act.
Compliance Certificate is mandatory for a company ,having paidup capital 10 lacs or more and upto 2 crores.

Anil (1638 Points)
Replied 03 March 2008

Thank you very much. I have received the checklist you have mailed.

Can you please let me know :

What is secretarial Audit ? Is Secretarial Audit mandatory ? Is it done to issue a compliance certificate ? If not, in what way secretarial audit is different from audit done to issue compliance certificate?

Radhika (Company Secretary) (1238 Points)
Replied 03 March 2008

Secretarial audit is generally used in different paralances..like for issuance of compliance certificate called as Compliance audit...which is mandatory fr some companies as per sec 383A & in case of a listed companies this audit is done for issuance of Secretarial Audit report.
Let me know exactly the purpse for which u r conducting this audit.

Anil (1638 Points)
Replied 03 March 2008

Thanks for your response.

In my earlier employment I was working in a Pvt. Company which had to take a compliance certificate. I was looking after only the accounts and statutory compliances under some Acts. I had not maintained any of the registers required under companies Act. I gave the required details to a practicing company secretary and all the necessary registers were manually prepared by his office.

I myself want to comply with all requirements under companies Act including maintaining of registers this time. The checklist you sent is of great help in this regard. Few days back someone in the Caclub raised an issue concerning ‘Secretarial Audit’ which aroused my curiosity and made me ask the above question.

I wish I had the soft copy of the FORMAT of the registers either in MS excel or word. A Caclub member suggested I look for it in Share File section. But unfortunately I could not find it.