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Case Study on Corporate Secretarial Services to a Listed Entity

January 27, 2020

About the client:

R&A Associates has been providing Corporate Secretarial services to a Listed Entity (“Client”). The client is primarily engaged in property development, civil construction contracts and infrastructure projects development and construction work.

Our Association and work- We have been associated with the client and rendered the following services:

  • Ensuring compliances as per the provisions of Companies Act, 2013 (Act) including rules made thereunder, Secretarial standards (SS) issued by the Institute of Company Secretaries of India (ICSI) and Securities and Exchange Board of India (SEBI) Regulations.
  • Advisory and support to the inhouse company secretary on various reporting requirements to the stock exchanges pursuant to SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (SEBI (LODR) Regulations, 2015), SEBI Takeover Regulations 2011, Delisting of Shares and SEBI (Prohibition of Insider Trading) Regulations, 2015 viz. Shareholding pattern, Corporate Governance, Investor complaints, details of promoter shareholding, inter-se transfer of shares among promoters, pledge of shares, release of pledge, Corporate Social Responsibility (CSR) report, related party transactions, issue of duplicate share certificates, etc.,
  • Certification services including but not limited to the following: -


Name of the Certificate Reference
Half-yearly compliance certificate Regulation 40 (9) SEBI (LODR) Regulations, 2015
Quarterly Reconciliation of share capital audit report Regulation 55A of the SEBI (Depositories and Participants) Regulations, 1996
Corporate Governance certificate Regulation 34(3) of SEBI (LODR) Regulations, 2015
Certificate for non-disqualification of director` Schedule V Part C (10)(i) of SEBI (LODR) Regulations, 2015
  • Acting as Scrutinizer in their general meetings and for resolutions passed through postal ballot resolutions issuance of Scrutinizer report.
  • Conducting Secretarial Audit on half yearly basis to check compliance of applicable laws and issuance of Secretarial Audit report pursuant to Section 204 of the Act.
  • Advising the client on the various reporting to be done to the ROC, SEBI, RBI, IEPF and other government agencies at regular intervals and vetting and certifying the forms filed by the client.

We have been serving the client and its other group companies for the last couple of years and during this period we have helped the client improve its compliance reporting’s, handled quiet a few critical issues and assisted them in forming a structured compliance tracker to ensure timely compliances.

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