SEBI Compliance

Statutory Registers for Companies in India

Statutory Registers for Companies in India A Complete Legal Compliance Resource Under the Companies Act, 2013 | Updated for 2026 In 2026, with the Ministry of Corporate Affairs (MCA) intensifying its compliance scrutiny and digital audits, it has become more critical than ever for businesses to maintain these registers accurately and make them available for inspection whenever required. Failure to comply can lead to heavy penalties, director disqualification, and even criminal prosecution. This comprehensive guide breaks down everything you need to know about statutory registers for companies in India — what they are, which ones are mandatory, where and how to maintain them, and the penalties for non-compliance. What Are Statutory Registers? Statutory registers are official records that every company incorporated under the Companies Act, 2013 is legally required to maintain. These registers contain crucial information about a company’s shareholders, directors, charges, loans, contracts, investments, and other vital corporate activities. Unlike operational records (such as accounting ledgers or HR files), statutory registers are specifically mandated by law. They must be: Maintained at the Registered Office of the company (or another approved location) Updated within prescribed time limits after every relevant transaction Made available for inspection by members, creditors, and government authorities Preserved for the period specified under the Companies Act, 2013 These registers serve as a source of truth for regulators, investors, and stakeholders. They ensure accountability and transparency in corporate operations across India. Legal Basis: Companies Act, 2013 The obligation to maintain statutory registers primarily derives from the Companies Act, 2013 and the Companies (Management and Administration) Rules, 2014. Key sections include: Section / Rule Subject Matter Section 88 Register of Members, Debenture Holders & Other Security Holders Section 85 Index of Members and Debenture Holders Section 170 Register of Directors and Key Managerial Personnel (KMP) Section 184 Register of Contracts/Arrangements with Related Parties Section 186 Register of Investments Section 187 Register of Monies/Securities Section 189 Register of Contracts in which Directors have Interest Section 85 & Rule 3 Index of Members Section 85 & Rule 7 Foreign Register (for global companies) Chapter VI (Sections 77-87) Charges — Registration and Satisfaction Section 160, Rule 16 Register of Director Shareholdings Section 143 Auditor’s Right to inspect registers Section 91 Power to Close Register of Members / Security Holders Types of Statutory Registers: Detailed Breakdown Below is a detailed overview of all the statutory registers that a company must maintain in India as of 2026: 1. Register of Members (Section 88) This is arguably the most fundamental statutory register. It contains the complete record of all shareholders of the company. Key Information Recorded: Name, address, and occupation of each member Date of becoming a member / date of cessation Number and class of shares held Amount paid or agreed to be paid on shares Folio number and distinctive share numbers For companies having share capital, this register must be maintained in Form MGT-1. For companies without share capital, it is maintained in Form MGT-2. Any company must update the register within 7 days of the AGM if any changes are made. 2. Register of Debenture Holders / Other Security Holders (Section 88) Similar to the Register of Members, this register records details of all debenture holders and holders of other securities (bonds, warrants, etc.). Key Contents: Name and address of each debenture/security holder Date of becoming a holder and date of cessation Amount of debentures/securities held Date of transfer and details of consideration paid 3. Register of Charges (Section 81) Every company must maintain a Register of Charges, recording all mortgages, charges, and encumbrances on the company’s assets. This register is maintained in Form CHG-7 and must include: Date of creation of the charge Short particulars of the property charged Amount secured by the charge Name of the charge-holder (lender/bank/creditor) Date of satisfaction of the charge (when loan is repaid) Filing Obligation: Every charge must be registered with the Registrar of Companies (ROC) within 30 days of its creation. Late registration attracts additional fees. As of 2026, the penalty for non-registration can go up to ₹25 lakhs for the company and ₹1 lakh per day for continuing default by officers. 4. Register of Directors and Key Managerial Personnel (Section 170) This register maintains a record of all Directors and Key Managerial Personnel (KMPs) of the company, along with their shareholding in the company and its holding, subsidiary, and associate companies. Maintained in Form MBP-4, it must include: Name and address of each director/KMP Date of appointment and cessation DIN (Director Identification Number) Details of shares/debentures held by the director in the company or related entities Details of offices held in other companies 5. Register of Contracts / Arrangements (Section 189) All contracts in which directors are directly or indirectly interested must be recorded in this register, maintained in Form MBP-4. Contents Include: Name of the director/partner/relative with interest Nature of concern or interest Date of the contract/arrangement The value of the transaction Every director must disclose their interest in writing (Form MBP-1) to be placed in the register. This prevents conflicts of interest and ensures transparency in related-party transactions. 6. Register of Loans and Investments (Section 186) Companies making loans, giving guarantees, providing securities, or making investments must maintain a register of all such transactions. Details Required: Name of the entity in which loan/investment is made Nature and purpose of the loan/investment Amount involved (in Indian Rupees) Date of the transaction Terms and conditions, rate of interest Threshold: Section 186 applies when a company’s aggregate of loans, guarantees, securities, and investments exceeds 60% of its paid-up capital plus free reserves, or 100% of free reserves — whichever is higher. Board approval is mandatory for such transactions in 2026. 7. Register of Related Party Transactions (Section 184) Every company must maintain a register where directors disclose their directorships, partnerships, or substantial interests in other companies, firms, or body corporates. All related-party transactions must be reported to the Board at every meeting. This register is central to compliance with Section 177 (Audit

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SEBI Registration for Investment Advisors

SEBI Registration for Investment Advisors: The Complete Step-by-Step Guide (2026) In India, financial advisory is one of the most regulated professions, and rightly so. With millions of retail investors entering the stock market every year, the Securities and Exchange Board of India (SEBI) ensures that those who guide them are qualified, accountable, and trustworthy. If you are a financial professional looking to provide investment advice legally and professionally, obtaining a SEBI Investment Advisor (IA) registration is not just a regulatory requirement — it is a mark of credibility. This comprehensive guide will walk you through everything you need to know about SEBI Registration for Investment Advisors — from eligibility criteria and required documents to fees, the step-by-step application process, ongoing compliance obligations, and the consequences of operating without registration. Whether you are an individual financial planner, a wealth management firm, or a fintech startup, this guide is your one-stop resource. 3. What Is a SEBI-Registered Investment Advisor? A SEBI-Registered Investment Advisor (RIA) is an individual or entity officially authorized by SEBI to provide investment advice to clients for a fee or consideration. The registration is governed under the SEBI (Investment Advisers) Regulations, 2013, which was significantly amended in 2020 to strengthen investor protection and enhance standards in the advisory profession. 3.1 Investment Advice Defined According to SEBI, ‘investment advice’ means advice relating to: Investing in, purchasing, selling, or dealing in securities or investment products. Managing and administering a portfolio of securities or investment products. Any advice that may be impliedly understood as investment advice. 3.2 Who Needs SEBI IA Registration? Individual financial planners charging for advice. Wealth management firms. Fintech companies providing robo-advisory or AI-based recommendations. Online investment advisory platforms. Anyone who charges a fee for advising on securities or financial products. 4. Legal Framework & Governing Regulations SEBI’s investment advisory framework is built upon the following key regulations: Regulation / Act Relevance SEBI (IA) Regulations, 2013 Primary regulation governing registration, conduct, and obligations of investment advisors. Securities Contracts (Regulation) Act, 1956 Defines securities and governs the securities market. SEBI Act, 1992 Empowers SEBI to regulate and develop the securities market. SEBI Circular 2020 (Amendment) Enhanced qualification norms, fee structure rules, and stricter compliance requirements.   5. Types of SEBI Investment Advisor Registration 5.1 Individual Investment Advisor A single person, typically a financial planner or consultant, who personally provides investment advice to clients. The individual must meet educational and experience qualifications independently. 5.2 Non-Individual (Body Corporate / Partnership) Companies, LLPs, partnership firms, or any body corporate that provides investment advisory services. A designated principal officer must be qualified and experienced per SEBI norms. Additionally, all persons who interact with clients and provide advice (“persons associated with investment advice” or PAIAs) must also meet qualification requirements. 6. Eligibility Criteria for SEBI Investment Advisor Registration 6.1 For Individual Applicants Educational Qualifications: A professional qualification or post-graduate degree or post-graduate diploma (minimum 2 years) in Finance, Accountancy, Business Management, Commerce, Economics, Capital Market, Banking, Insurance, or Actuarial Science from a recognized university or institution; OR A graduate degree in any discipline with a relevant certification from NISM (National Institute of Securities Markets) or FPSB India. Certification: NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination — mandatory for all applicants. NISM-Series-X-B: Investment Adviser (Level 2) Certification Examination — for individuals advising on complex products or managing larger portfolios. Experience: Minimum 5 years of experience in financial products, securities, fund management, financial planning, or related fields. Net Worth: Minimum net worth of INR 5 Lakhs for individuals. 6.2 For Non-Individual (Body Corporate) Applicants The principal officer must hold a postgraduate degree in a relevant discipline and NISM certification. Minimum 5 years of experience in financial services. Net worth of INR 50 Lakhs for body corporate entities. All PAIAs (persons associated with investment advice) must hold valid NISM Level 1 certification. 7. Documents Required for SEBI IA Registration 7.1 For Individual Applicants Duly filled Form A (Application for registration as Investment Adviser) Proof of Identity: Aadhaar Card, PAN Card, Passport Proof of Address: Utility bill, bank statement, or rental agreement Educational Qualification Certificates (Degree, Post-Graduation) NISM Certification(s) (Level 1 & Level 2 as applicable) Experience Certificate (from employer or self-declaration with supporting documents) Net Worth Certificate from a Chartered Accountant Bank Account Details Passport-size photograph Declaration of fit and proper criteria 7.2 Additional Documents for Non-Individual Entities Certificate of Incorporation / Registration Certificate Memorandum & Articles of Association (for companies) Partnership Deed (for partnerships) List of Directors / Partners / Trustees Audited Financial Statements (last 3 years or from inception) Organizational structure / chart Details of PAIAs with their NISM certification copies 8. Registration Fees SEBI charges a registration fee which must be paid online via the SEBI portal: Applicant Type Registration Fee Individual INR 5,000 (one-time application fee) Non-Individual (Body Corporate) INR 25,000 (one-time application fee) Annual Registration Renewal As notified by SEBI from time to time   Note: Fees are subject to revision. Always check the latest schedule on SEBI’s official portal (www.sebi.gov.in) at the time of application. 9. Step-by-Step SEBI IA Registration Process Step 1: Prepare Eligibility & Documents Ensure you meet all educational qualifications, complete NISM certifications, and have your net worth certificate ready from a practicing CA. Gather all supporting documents as listed in Section 7. Step 2: Register on SEBI Intermediary Portal (SI Portal) Visit the SEBI Intermediary Portal at: https://siportal.sebi.gov.in. Create a new account with your email, PAN, and mobile number. Verify your email and mobile OTP to activate your account. Step 3: Fill Form A Online Log in to the SI Portal and navigate to ‘Investment Adviser’ registration. Fill Form A meticulously with personal/entity details, educational credentials, experience, and financial details. Upload scanned copies of all required documents in the specified format (usually PDF, max size as prescribed). Step 4: Pay Registration Fee Pay the applicable registration fee online through the portal using net banking, RTGS, or NEFT as directed. Keep the payment receipt for your records. Step 5: SEBI Scrutiny & Processing SEBI will review your application

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