Curriculum Vitae

Sumit Bansal

(Company Secretary)

Contact No: 91-991*******

Email Id: ac986p@r.postjobfree.com

CAREER OBJECTIVE

To contribute to the growth of the organization by minimizing the risk exposure, avoiding unnecessary litigations, achieving 100% compliance status and thereby achieving greater heights in the profession by gaining excellence and knowledge in Corporate Affairs.

WORK EXPERIENCE

Working as Practicing Company Secretary from May 27, 2019 till present.

Worked with M/s E2E Networks Limited as a Company Secretary from June 21, 2018 to March 22, 2019.

Worked with NSE & BSE Listed Co named as URJA GLOBAL LIMITED as a Company

Secretary from May 02, 2017 to June 20, 2018

Worked with BSE Listed Co named as PARMESHWARI SILK MILLS LIMITED as a Company Secretary from January 1, 2016 to March 17, 2017

Worked with H.O. GULATI & CO (PCS), as a Management trainee(August 2013 to November-2014.

KEY WORKS HANDLED

SEBI/STOCK EXCHANGE/DEPOSITORY/RTA RELATED WORK

Prepared and filed Investor Compliant Report as per Reg. 13(3) of SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 and uploading the same on NEAPS (NSE), BSE, MSEI, CSE.

Preparing Corporate Governance Report in XBRL Mode and Non XBRL Mode as per Reg. 27(2) of SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 and uploading the same on NEAPS (NSE), BSE, MSEI, CSE.

Handled Direct Listing for Company for taking it to BSE Limited from Regional Stock Exchanges. And Conducted site visits for Direct Listing.

Preparing documents of direct listing of company such as Net Worth certificate, Distributable Profit Certificate, Profile of the Company, undertaking for lock in of shares, Undertaking by Managing Director and Company Secretary

Preparing Unaudited and Audited Quarterly and Yearly Financial results in SEBI Format pursuant to Regulation 33 of the SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 and filing the same to various Stock Exchanges such as BSE, MSEI, CSE and preparing full and quick Audited and Unaudited Results and uploading them on NEAPS Portal of (NSE).

Preparing E-voting Results in XBRL Mode and Non XBRL Mode as per Regulation 44 of the SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 and uploading the same on NEAPS portal of NSE, BSE, MSEI, etc.

Preparing Annual Report as per Regulation 34 of SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 including Management Discussion and Analysis Report

Preparing Notice of Book closure and Record date as per Regulation 42of the SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 and uploading the same on NEAPS portal of NSE, BSE, MSEI, etc.

Preparing and filing Shareholding Pattern with BSE, CSE, MSEI and NEAPS Portal (NSE) under Regulation31 of the SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015.

Uploading of various Compliances under Listing Agreement on NEAPS Portal (NSE), BSE portal, MSEI portal and uploaded the same on the Website of the Company.

Publication of various Notices and results as per Regulation 47 in the Newspaper under SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015.

Prepared and filing of Reconciliation of Share Capital Audit Report under Regulation 55A of the SEBI (Depositories and Participants) Regulation, 1996.

Redressal of Investor complaints on SEBI SCORES.

Making Reply to clarifications sought by BSE LTD & NSE LTD

ESOP WORK

Drafting of ESOP Scheme as per SEBI (Share Based Employee Benefits) Regulations, 2014

Issuing Grant letters.

Obtaining In-Principal Approval for ESOP Scheme from Stock Exchange.

Allotment of Shares as per ESOP Scheme.

SECRETARIAL WORK UNDER COMPANIES ACT, 2013 AND COMPANIES ACT, 1956

Shifting of Registered office from One State to another state.

Conducting Board Meetings and committee meetings and preparing their agendas.

Conducting Annual General Meeting and Extraordinary General Meeting and preparing Notices of AGM, EGM,

*Maintenance of Statutory Registers and Records as per the Companies Act 1956 & 2013.

*XBRL filing of Financial Statements in form AOC-4 XBRL with ROC

*Preparation of minutes of various committee meetings, Board meeting & General meetings.

*Issuance of Share certificates & transfer of same.

*Preparation of director's report, notice and agenda & notices of Board & Annual General meeting and compliance as per Companies Act, 2013.

*Appointment/Re-appointment of Directors.

*Filing of various forms (likeMGT-14,INC-22, DIR-2, DIR-3, SH-7,DIR-8, DIR-6,MGT-15,DIR-12,DIR-11,MR-1, GNL- 2, GNL -1, PAS-3, MGT-10, INC-1, INC-7 etc.) with ROC.

*Issue of Shares on Private Placement basis of Private Company and file the Forms MGT-14, PAS-3, GNL-2.

*Prepared PAS-4 offer Letter for issue of Compulsory Convertible Preference Shares

*Filing of E-Form DIR-12 of Vacation of office of Director.

*Prepared E-Forms for Annual Filing Form MGT-7, AOC-4 and AOC-4 CFS under Companies Act, 2013 & Form 20B, 23AC & ACA under Companies Act, 1956 for Listed Companies & Private Company

*Major compliances done for Registration or modification of charges & also filed E-Form CHG-1, CHG-9 and Satisfaction of Charges in CHG-4.

*Handled various matters like Change in composition of Board, Allotment/transfer of Shares, Increasing Share Capital.

*Prepared Resolution by Circulation of Appointment of Director.

Properly handled MCA Inspection & prepared MCA reply letters.

Took Part in preparation of various policy of the Company & also adding in the Agendas of the Board meeting

Preparation of Scrutinizers Report under section 108 and 109 of the Companies Act, 2013.

Incorporation of a Private Limited Company.

Incorporation of Limited Liability Partnership.

Stamping of Share Certificates and attended hearings at SDM Courts.

Postal Ballot for shifting the registered Office.

Forfeiture of Shares of Listed Company

Secretarial audit of Listed Company

LEGAL WORK

Filing Applications of Trademark and preparing replies of Objections against Trademarks.

Drafting of various Commercial Agreements viz. Service Agreements and MOU

Liaising with Advocates and Auditors

Drafting Board Resolutions, Annual General Meeting Resolutions, Authority Letter

Preparing MIS report

Preparing Letter of Intent

OTHER WORKS

Filing the Return NBS-9 of NBFC on Cosmos Portal of RBI

Filing of FLA with RBI

Preparing ARF and FC-GPR and filing on FIRMS Portalof RBI

Preparing and filing FC-TRS on Firms Portal of RBI

Preparing Net Owned Fund Statement

Filing of Individual Income Tax Return

Basic Knowledge of Tally.

PROFESSIONAL QUALIFICATION

C.S. Executive Program - Institute of Company Secretaries of India in June 2012.

C.S. Professional Program - Institute of Company Secretaries of India in June 2015

L.L.B from CCS University with 61% Marks in July, 2016

ACADEMIC QUALIFICATIONS

B.com(H) from Delhi University in Year 2010 with 64.5 % Marks.

Senior Secondary- CBSE Board, Delhi in the Year 2007 with 77.8 % Marks.

Matriculation- CBSE Board, Delhi in the Year 2005 with 74.5 % Marks.

STRENGHTS

Enthusiastic and fast learner, Comfortable in working in a new environment

Work effectively with diverse groups of people.

Strong analytical, inter-personal and problem-solving skills.

Good and effective decision making skills

COMPUTER SKILLS

Office Status : MS-Office (Word, Excel & PowerPoint)

Internet : E-mail, Surfing and all related task.

PERSONAL DETAILS

Father’s Name : Mr. Kiranpal Singh Bansal

DOB : 30th September, 1989

Language Known : English Hindi, Punjabi

Marital Status : Single

Permanent Address : Pocket-H-86-C, Dilshad Garden, New Delhi-110095.

PLACE: New Delhi

DATE: CS Sumit Bansal

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