Compliance Checklist registration with NSDL or CDSL based on requirements


List of documents required for NSDL:

  1. Application for admission as Issuer of Eligible Securities (Part I - Issuer Details and Part II - Security Details for Equity Shares) along with list of documents.
  2. Net worth certificate from a Chartered Accountant as per audited annual report for the last Financial Year (format enclosed).
  3. Certified true copy of Board Resolution.
  4. Tri-partite Agreement: 3 set of Tripartite agreement executed on Stamp Paper of Rs. 200/-each (Stamp Paper/Franking) duly stamped and signed by the Company & RTA on all the pages. Execution date should be kept blank.
  5. Certified true copy of Audited annual report for the last Financial Year.
  6. Certified true copies of Memorandum & Articles of Association along with Certificate of Incorporation. Incorporation Certificate pursuant to change of name of company, if applicable.
  7. Certified true copy of TAN, PAN & GST allotment letter. If GST Letter is not obtained, declaration on Letterhead of the company required indicating the reason.
  8. NSDL Undertaking form for Private Limited Companies.

List of documents required for CDSL:

  • Master Creation Form Part - A & B
  • Tri-partite agreement (franking/stamp paper of Rs.600/-). Total 3 sets (1 original & 2 Xerox copies) duly stamped and signed by the Company & RTA on all the pages. Execution date should be kept blank.
  • Certified copy of the Board Resolution for admission of securities with CDSL mentioning the details about authorized signatory (ies) and appointment of RTA.
  • Undertaking on the letterhead of the company duly stamped and signed by the authorized signatory (attached for reference).
  • Certified copies of Memorandum & Articles of Association along with Certificate of Incorporation. Incorporation Certificate pursuant to change of name of company, if applicable.
  • Declaration for freezing / unfreezing of securities (applicable in case of Private Limited Company).
  • Certified copy of PAS-3 and SH-7 filed with MCA for issue of securities or variation in face value of shares or reduction in capital after the last balance sheet date.
  • Certified true copy of Audited annual report for the last Financial Year.

9)  Soft copy of security details.

10)  Net worth certificate from a Chartered Accountant as per audited annual report for the last Financial Year (format enclosed).

11) Certified true copy of TAN, PAN & GST allotment letter. If GST Letter is not obtained, declaration on Letterhead of the company required indicating the reason.

 


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