policies
POLICY ON PRESERVATION OF DOCUMENTS
Expo Gas Containers Ltd.
TABLE OF CONTENTS
Sr. No. |
Details |
1 |
Legal Framework |
2 |
Definition |
3 |
Objective |
4 |
Provision with regard to preservation of Documents under various Regulations and laws |
5 |
Mode of Preservation of Documents |
6 |
General |
7 |
Amendment |
1. Legal Framework
Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (“Listing Regulations”) imposed certain obligations and disclosure requirements on all the listed entities, one of the common obligation for all the listed entities pursuant to Regulation 9 is to formulate and put in place a policy for preservation of documents.
The Board of Directors of Expo Gas Containers Limited (the “Company”) is obliged to formulate a policy for “Preservation of Documents” to comply with the requirements of Regulation 9 of the Listing Regulations.
This Policy will be applicable to the Company effective 1 March, 2016.
2. Definitions
1. “Board” Board means “Securities and Exchange Board of India.”
2. “Company” Company means “Expo Gas Containers Limited”
3. “Documents” Documents means all papers, records, files, books etc., and the like as required to be maintained under any law or regulation for the time being in force.
4. “Listing Regulations” Listing Regulations means Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (“Listing Regulations”)
3. Objective
The purpose of this policy is to have a binding framework for the preservation of documents of the company, as approved by the Board of Directors of the company, which shall classify them in at least two following categories as follows:
- Documents whose preservation shall be permanent in nature;
- Documents with preservation period of not less than eight (8) years after completion of the relevant transactions.
Provided further that the Company may keep the documents as specified above in electronic mode.
4. Provision with regard to Preservation of Documents under various Laws
Documents whose preservation shall be permanent:
Sr. no. |
Name of the Document |
Regulation Reference |
1 |
Shareholding Pattern |
31 (1) (b) |
2 |
Quarterly Financial Results |
33 (3) (a) |
3 |
Annual Financial Results |
33 (3) (d) |
4 |
Annual Report |
34(1) |
5 |
Shareholding Pattern in case of Capital Restructuring |
31 (1) (c) |
6 |
Voting Results by Shareholders |
44 (3) |
7 |
Draft Scheme of Arrangement |
37 (2) |
8 |
Yearly Disclosure of shareholding of Promoters |
30 (2) of Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulation, 2011 |
9 |
Development/ Intellectual property and Trade Secretes |
Intellectual Property Act |
10 |
Electronic Mail |
|
11 |
Board and Committee Meeting Minutes |
Companies Act, 2013 |
12 |
Statutory Registers |
Companies Act, 2013 |
Preservation of Documents for 8 years:
Sr. no. |
Name of the Document |
Regulation Reference |
1 |
Statement under Grievance Redressal Mechanism |
13(3) |
2 |
Corporate Governance Report |
27(2)(a) |
3 |
Statement of deviation or variation in use of issue proceeds |
32(1) |
4 |
Compliance Certificate to the exchange about the share related activities maintained by RTA registered with SEBI |
7(3) |
5 |
Compliance Certificate w.r.t. Transfer or transmission or |
40(10) |
6 |
Listing Fees |
14 |
7 |
Intimation of appointment of Share Transfer Agent |
7(5) |
8 |
In‐principle approval prior to issue of securities |
28(1) |
9 |
Prior Intimations of Board Meeting for financial Result |
29(1)(a) |
10 |
Prior Intimations of Board Meeting for Buyback, voluntary delisting etc |
29(1)(b), 29(1) (c), |
11 |
Prior Intimations of Board Meeting for alteration in nature of securities |
29(3) |
12 |
Disclosure of Price Sensitive Information |
30(6) |
13 |
Shareholding Pattern prior to listing of securities |
31(1)(a) |
14 |
Record date or Date of closure of transfer books |
42(2) |
15 |
Record date for declaring dividend and /or cash bonus |
42(3) |
16 |
Change in name of listed entity |
45(3) |
17 |
Disclosure of information or events |
30 |
18 |
Reconciliation of Share Capital Audit Report |
55A of SEBI (Depositories and Participants) Regulations, 1996 |
19 |
Disclosures under Code of Internal Procedures And Conduct For Regulating, Monitoring And Reporting Of Trading By Insiders |
10 (1) |
20 |
Tax Records |
As per applicable Act |
5. Mode of Preservation of Documents
The documents specified in Item Nos. 4 shall be kept in electronic mode and/or Physical mode as decide by the Board time to time.
6. General
Notwithstanding anything contained in this Policy, the Company shall ensure to comply with any additional requirements as may be prescribed under any laws/regulations either existing or arising out of any amendment to such laws/regulations or otherwise and applicable to the Company, from time to time.
7. Amendment
Any change in the Policy shall be approved by the Board of Directors of the Company. The Board of Directors shall have the right to withdraw and / or amend any part of this Policy or the entire Policy, at any time, as it deems fit, or from time to time, and the decision of the Board in this respect shall be final and binding.
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