COMPLIANCE CHECKLIST FOR THE COMPANIES ACT 2013 (THE ACT)

CHAPTER XI

S.N SECTION/ APPLICATION SUBJECT STEPS TO BE CHECKED COMPLIANCE

O RULES STATUS (WITH
REMARKS , IF
ANY)
1. 149(3) All Companies Resident Director Check that the Company has at least one resident
director who has stayed in India for at least 136 days in
the previous calendar year.
2. 150 Listed Public Appointment of Check that the Company maintains a data bank giving
Company Independent the details specified in Rule 6(2) of Companies
Directors (Appointment and Qualifications of Directors) Rules,
2014.
3. 161 All Companies Appointment of Check that an additional or nominee director is
alternate, appointed only if the articles authorise the Board to do
additional and so.
nominee directors
164(2) All Companies Disqualification of Check that where the Company
Director  has failed to file financial statements or annual
returns for any continuous period of three
financial years or
 there is default w.r.t deposits received,
debentures issued or dividend declared, then
the Company has filed Form DIR 9 within with the
ROC within thirty days of such failure or default.
4. 165 All Companies Number of Check that no director of the Company holds office of a
directorship director in more than twenty companies at the same
time and maximum number of public companies in
 which the director is appointed as a director does not
exceed ten.
5. 168(1) All Companies Resignation of 1. Check that the company has filed Form DIR 11
director with the ROC within 30 days along with a copy of
resignation letter.
2. Check that the Company has intimated the ROC in
Form DIR 12 within 30 days of receipt of
intimation from the director and posted the same on
its website, if any.
5. 170 (1) All Companies Register of Check that the register is maintained specifying details
Directors and Key as given in Rule 17 of Companies (Appointment and
Managerial Qualifications of Directors) Rules, 2014.
Personnel
6. 170 (2) All Companies Register of Check that for any appointment or changes therein, of
Directors and key directors or key managerial personnel, a return in filed
Managerial in Form DIR 12 within 15 days of such appointment or
Personnel change.