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TMI BlogFORMS/RETURNS UNDER COMPANIES ACT, 2013X X X X Extracts X X X X X X X X Extracts X X X X ..... FORMS/RETURNS UNDER COMPANIES ACT, 2013 - By: - Mr. M. GOVINDARAJAN - Corporate Laws / IBC / SEBI - Dated:- 24-6-2021 - - Introduction The officials working in all sorts of companies, working professionals, practicing professionals and stakeholders may aware the many forms and returns are prescribed for filing purpose in MCA website or before Authorities. Numerous forms are prescribed subject wise. The returns may be filed by the authorized representative of the company by passing required resolution. Some are to be certified by practicing professionals such as Chartered Accountants, Company Secretaries, Cost Accountants and Advocates. The Ministry of Corporate Affairs also issued certificates to the stakeholders and National Company Law Tribunal passes orders in certain forms for certain purposes. In this articles various forms that- requires the certifications by practicing professionals; not required the certifications of practicing professionals; certificates issued by the Ministry of Corporate Affairs; Orders issued by the National Company Law Tribunal. Returns to be certified by practicing professionals The following returns are requir ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ed to be certified by the practicing professionals- Chapter II Incorporation of company matters and incidental thereto- INC 8 Declaration for the formation of a company; INC 14 Declaration for the memorandum of association and articles of association; INC 15 Declaration for the memorandum of association and articles of association for section 8 companies; INC 20A Commencement of business; INC 22 Notice of situation or change of situation of registered office; INC 32 SPICe. RD GNL 5 - Form for filling Addendum for rectification of defects or incompleteness Chapter III Prospectus and allotment of securities Part I Public Offer- PAS 6 - Reconciliation of Share Capital Audit Report (half-yearly); Chapter IV Share Capital and Debentures- SH 15 Certificate in compliance in respect of buy back of securities; Chapter VI Registration of charges CHG 1 - Application for registration of creation, modification of charge (other than those related to debentures) including particulars of modification of charge by Asset Rec ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... onstruction Company in terms of Securitization and Reconstruction of Financial Assets and Enforcement of Securities Interest Act, 2002. CHG 4 - Particulars of satisfaction of charges thereof. CHG 9 - Application for registration of creation or modification of charge for debentures or rectification of particulars filed in respect of creation or modification of charge for debentures; Chapter VII Management and Administration- MGT 7 Annual Returns; MGT 7A Abridged Annual Return for OPCs and Small Companies; MGT 8 Certificate as to the correctness of Annual Returns; MGT - 13 Report of scrutinizers. BEN 2 - Return to the Registrar in respect of declaration under section 90 ; Chapter IX Accounts of Companies- AOC 4 - Form for filing financial statement and other documents with the Registrar; AOC 4 CFS - Form for filling consolidated financial statements and other documents with the Registrar; AOC 4 CFS NBFC (Ind AS) - Form for filing consolidated financial statements and other documents with the Registrar; CSR 1 - Registration of ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Entities for undertaking CSR Activities; NFRA 2 - Annual Return to be filled by Auditor with the National Financial Reporting Authority; Chapter X Audit and Auditors - CRA 3 Cost Audit Report by Cost Accountant; Chapter XIII Appointment and remuneration of Managerial Personnel- MR 1 - Return of appointment of managerial personnel; MR 2 - Form of application to the Central Government for approval of appointment of managing director or whole time director or manager. MR 3 Secretarial Audit Report Practising Company Secretary; Chapter XV Compromises, arrangements and amalgamations- CAA 8 - Statement to be filed with Registrar of Companies Chapter XVIII Removal of names of companies from Register of Companies- STK 2 - Application by company to ROC for removing its name from register of companies; Chapter XXI Part I - Companies authorized to register under this Act- URC 1 - Application by a company for registration under section 366 ; Chapter XXIV Registration ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... of offices and fees- GNL 4 Form for filing addendum for rectification of defects or incompleteness; Chapter XXVI Nidhi Companies- NDH 1 Return of statutory compliances; NDH - 3 Half yearly return; NDH 4 - Form for filling application for declaration as Nidhi Company and for updation of status by Nidhis; Chaper XXVIII Special Courts- MDC 1 - Application for Empanelment of Mediator or Conciliator on the Panel (by practicing professionals only); Chapter XXIX Miscellaneous- MSC 3 Return of dormant companies. Returns/Forms not required to be certified by practicing professionals Chapter I Preliminary Section 2 Definitions- CRL 1 Return regarding number of layers section 2(87) ; Chapter II Incorporation of companies and matters incidental thereto- INC 1 Selection of name of the company; INC 3 - Consent of the person to become a nominee in OPC to be signed by the said person; INC -4 Change in nominee/member to be signed by the officer of the company Director/Manager/Comp ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... any Secretary/CEO/CFO; INC 5 Intimation exceeding threshold limit; INC 6 Conversion of OPC into private limited company or public limited company; INC 9 Declaration by subscribers and first directors; INC 12 Application for grant of licence to an existing company under Section 8; INC 13 Memorandum of Association; INC 18 Application to Regional Director for conversion of section 8 company into company of any other kind; INC 19 Notice under section 8(5); INC 20 Intimation to Registrar of revocation/surrender of license issued under section 8 ; INC 23 Application to Regional Director for approval to shift the registered office from one State to another State or from jurisdiction of one Registrar to another Registrar within the same State. INC 24 Application for approval of Central Government for change of name. INC 25A Advertisement to be published in the newspaper for conversion of public company into a private company. INC 26 Advertisement to be published in the newspaper for change of registered office of the company from one State to another State. INC 27A - Ad ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... vertisement to be published in the newspaper for conversion of unlimited liability into Limited Liability Company; INC 30 Memorandum of Association; INC 31 Articles of Association; INC 33 e-Memorandum of Association; INC 34 e-Articles of Association; INC 35 AGILE- PRO; RD 1 - Form for filing application to Regional Director; Chapter III Prospectus and allotment of securities Part I Public Offer- PAS 1 - Advertisement giving details of notice of special resolution for varying the terms of any contract referred to in the prospectus or altering the objects for which the prospectus was issued; PAS 2 Information Memorandum; PAS 3 Return of allotment; PAS 4 Private placement offer cum application form; PAS 5 - Record of a private placement offer to be kept by the company; Chapter IV Share capital and debenture- SH 1 Share certificate; SH 2 Register of renewed and duplicate share certificates; SH 3 Register of Sweat Equity shares; SH 4 Securities transfer form; SH 5 - Notice for transfer of partly paid securi ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ties; SH 6 Register of Employees Stock Option; SH 7 Notice to register of any alteration of share capital; SH 8 Letter of Offer; SH 9 Declaration of Solvency; SH 10 Register of shares or other securities bought back; SH 11 Return in respect of buy back of securities; SH 12 Denture Trust Deed; SH 13 Nomination form; SH 14 Cancellation of variation of nomination; RSC 1 - Application under section 66 for confirming the reduction of share capital; RSC 2 Notice to Central Government etc for reduction of share capital; RSC 3 Notice to creditors; RSC 4 Publication of notice; RSC 5 Affidavit on dispatch and publication of notice; Chapter V Acceptance of deposits by companies- DPT 1 Circular or circular in the form of advertisement inviting deposits; DPT 2 Deposit Trust Deed; DPT 3 Return of Deposit; DPT 4 Statement regarding deposits existing on the commencement of the Act; Chapter VI Registration of charges- CHG -6 Notice of appointment or cessation of receiver or ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... manager; CHG 7 Register of charges; CHG 8 - Application to Central Government for extension of time for filing particulars of registration of creation / modification /satisfaction of charge OR for rectification of omission or misstatement of any particular in respect of creation/ modification/ satisfaction of charge; Chapter VII Management and Administration- MGT 1 Register of Members; MGT- 2 Register of debenture holders/other securities holders; MGT 3 - Notice of situation or change of situation or discontinuation of situation, of place where foreign register shall be kept; MGT 4 - Declaration by the registered owner of shares who does not hold the beneficial interest in such shares; MGT 5 - Declaration by the beneficial owner who holds or acquires beneficial interest in shares but whose name is not entered in the register of members; MGT 9 Extract of Annual Return; MGT - 11 Proxy form; MGT 12 Polling paper; MGT 14 Filing of resolutions and agreements to the Registrar; MGT 15 Forms for filing report on Annual General Meeting; ..... 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BEN 1 - Declaration by the beneficial owner who holds or acquires significant beneficial ownership in shares; BEN 3 - Register of beneficial owners holding significant beneficial interest; BEN 4 Notice under section 90(5) of the Companies Act, 2013 and the rules made there under; Chapter VIII Declaration of payment of dividends- DIV 5 - Statement of amounts credited to investor education and protection fund; IEPF 1 - Statement of amounts credited to Investor Education and Protection Fund; IEPF 1 A - Statement of amounts credited to Investor Education and Protection Fund; IEPF 2 - Statement of unclaimed and unpaid amounts and details of Nodal Officer; IEPF 5 - Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund (IEPF); IEPF 6 - Statement of unclaimed or unpaid amounts to be transferred to the Investor Education and Protection Fund; IEPF 7 - Statement of amounts credited to IEPE on. Account of shares transferred to the fund; Chapter IX Acco ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... unts of Companies- AOC 1 - Statement containing salient features of the financial statement of subsidiaries or associate companies or joint ventures; AOC 2 - Form for disclosure of particulars of contracts/arrangements entered into by the company with related parties referred to in sub-section (1) of section 188 of the Companies Act, 2013 including certain arms length transactions under third proviso thereto; AOC 3 - Form of Abridged Financial Statements; AOC 3A - Statement containing salient features of the financial statements; AOC 5 - Notice of address at which books of account are to be maintained; NFRA 1 Notice to the authority by a body corporate regarding his auditor; Chapter X Audit and Auditors- ADT 1 Notice to the Registrar for appointment of auditor; ADT 2 Application for removal of auditor(s) from his/their office before expiry of term; ADT 3 Notice of resignation by Auditor; ADT 4 Report to the Central Government; CRA 1 - Particulars relating to the Items of Costs to be included in the Books of Accounts; CRA 2 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... - Form of intimation of appointment of cost auditor by the company to Central Government; CRA 4 - Form for filing Cost Audit Report with the Central Government ; Chapter XI Appointment and Qualifications of Directors- DIR 2 Consent to act as a director of the company; DIR 3 Application for allotment of Director Identification Number before appointment in an existing company or LLP; DIR 3A Declaration to be submitted along with the application for LLP if last name is not available to the applicant; DIR 3B Intimation of allotment of Director Identification Number to the company by the Director; DIR 3C Intimation of information of directors, managing director, manager and secretary of the Indian company; DIR 3 KYC KYC of Directors; DIR 3 KYC WEB KYC of Directors; DIR 5 Surrender of Director Identification Number; DIR 6 Intimation of change in particulars of Director/Designated partner to be given to the Central Government; DIR 8 Intimation by Director; DIR 9 Report by company to Registrar; DIR 10 Application for removal of disqualifi ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... cation of directors; DIR 11 Notice of resignation of a Director to the Registrar; DIR 12 Particulars of appointment of Directors and the key managerial personnel and the changes among them; Chapter XII Meetings of Board and its powers- MBP 1 Notice of disclosure by interested director; MBP 2 - Register of loans, guarantee, security and acquisition made by the company; MBP 3 Register of investments not held in its own name by the company; MBP 4 Register of contracts with related party and contracts and bodies etc., in which directors are interested; Chapter XV Compromises, arrangements and amalgamations- CAA 1 Creditors responsibility statement; CAA 2 Notice and Advertisement of notice of the meeting of creditors or members; CAA 3 - Notice to Central Government, regulatory authorities; CAA 4 Report of result of meeting by Chairperson; CAA 5 - Petition to sanction compromise or arrangement; CAA 9 - Notice of the scheme inviting objections or suggestions; CAA 10 Declaration of solvency; CAA 11 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... - Notice of approval of the scheme of merger; CAA 12 - Confirmation order of scheme of merger or amalgamation between the parties; CAA 14 - Notice to dissenting shareholders; CAA 15 - Information to be furnished along with circular in relation to any scheme or contract involving the transfer of shares or any class of shares in the transferor company to the transferee company; Chapter XVIII Removal of names from the register of companies- STK 1 - Notice by Registrar for removal of name of a company from the register of companies; STK 3 Indemnity bond; STK 3A Indemnity bond; STK 4 Affidavit; STK 8 Statement of Accounts; Chapter XXI Part I Companies authorized to register under this Act- URC 2 - Advertisement giving notice about registration under Part I of Chapter XXI of the Act; Chapter XXIV Registration Offices and fees- GNL 1 - Form for filing an application with Registrar of Companies; GNL 2 Form for submission of documents with the Registrar; GNL 3 Particulars of person(s) charged fo ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... r the purpose of sub-clause (iii) or (iv) of clause 60 section 2 ; Chapter XXV Companies to furnish information or statistics MSME FORM 1 - Form for furnishing half yearly return with the registrar in respect of outstanding payments to Micro of Small Enterprises; Chapter XXVI Nidhi Companies- NDH 2 Application for extension of time; Chapter XXVIII Special Courts- MDC 2 - Application for referring the matter to the Panel; Chapter XXIX Misc- MSC 1 - Application to Registrar for obtaining the status of the dormant company; MSC 4 - Application for seeking status of active company. Certificates issuing by the Ministry of Corporate Affairs Chapter II Incorporation of company and matters incidental thereto- INC 11 Certificate of incorporation; INC 11A Certificate of incorporation pursuance to conversion of unlimited company to limited company; INC 11B Certificate of incorporation pursuance to conversion of limited by a guarantee to limited by shares; INC 16 License issued under section 8; ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... INC 17 License issued under section 8(5); INC 25 Certificate of incorporation pursuant to change of name; Chapter VI Registration of charges- CHG -2 Certificate of registration of charges; CHG 3 Certificate of registration of modification of charges; CHG 5 Memorandum of satisfaction of charges; Chapter XVIII Removal of names from the register of companies- STK 5 Public Notice; STK 5A Public Notice; STK 6 Public Notice; STK 7 Notice of striking off and dissolution; Chapter XV Compromises, arrangements and amalgamations- CAA 13 - Application by the Central Government to the Tribunal; Chapter XXIX Misc- MSC 2 - Certificate of status of a Dormant Company; MSC 5 - Certificate on active status of the company. Orders issued by the National Company Law Tribunal. Chapter IV Share capital and debenture- RSC 6 Order confirming the reduction of share capital; RSC 7 Certificate of Registration order and minute; Chapter XV Compromises, arrangements and amalg ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... amations- CAA 6 Order on petition; CAA 7 Order under section 232 . - - Scholarly articles for knowledge sharing authors experts professionals Tax Management India - taxmanagementindia - taxmanagement - taxmanagementindia.com - TMI - TaxTMI - TMITax ..... X X X X Extracts X X X X X X X X Extracts X X X X
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