Anu Gupta

Highly motivated and detail-oriented with expertise in corporate governance, regulatory compliance, and secretarial functions under the Companies Act, 2013. Skilled in drafting resolutions, maintaining statutory records, and filing e-forms with the Registrar of Companies. Adept at liaising with regulatory authorities, ensuring adherence to legal frameworks, and providing strategic support to the Board of Directors and ability to handle compliance matters in a timely and efficient manner.

Executive-Secretarial & Compliance - Salarpuria Properties Private Limited - Kolkata, India

(2023-11)

A premier Indian real estate developer established in 1985, operating across sectors including residential, commercial, hospitality, retail, and IT parks, with a presence in multiple Indian cities

• Incorporation of Company and LLP
• Name change of the Company and LLP
• Appointment and Resignation of Auditors, Directors and Key Managerial Personnel
• Private Placement of Equity Shares, Preference Shares and Debentures
• Buyback of Shares
• Changing Registered office of the company
• Changing Object Clause of MOA
• Drafting of Various Resolution and Agreement
• Half Yearly, Annual and various Statutory Compliance Under Companies Act, 2013
• Preparation of Minutes, Notice of Board Meeting and General Meeting
• ROC filings such as AOC-4, MGT-7, DPT-3, ADT-1, DIR-12, CHG-4, CHG-4, CSR-2 etc.
• Preparation and filling of Merger and Amalgamation Application to NCLT
• Assisted in preparing application under section 59 & 241 of the Companies Act, 2013

Associate Company Secretary - SMIFS Limited (formerly Stewart & Mackertich Wealth Management Limited) - Kolkata, India

(2016-11 - 2021-08)

A leading Stock Broking Company operates across India's major cities with multiple branch locations.

• Exchange Compliances for Appointment, Resignation and Change in Designation of Directors, Change of Shareholding Pattern, Capital, Object Clause, Change of Clearing Member, Change of Name of the Company with change in Control, Rights Issue and Bonus Issue
• Comply Exchange Monthly, Quarterly and Yearly Compliances
• Preparation of Internal Audit Reports of Stock Exchanges & Depository
• Processing Registration, Transfer and Surrender of Membership with Exchange Depository Participant and SEBI
• Change of name of the company
• Rights Issue, Bonus Issue and Private Placement of Shares
• Transfer of equity shares as per CA, 2013
• Appointment and Resignation of Auditors, Directors and Key Managerial Personnel
• E-Filing of various forms including Annual filing (XBRL)
• Preparation of Annual Return and Directors' Report of the Companies as per Companies Act, 2013
• Preparation of Minutes of Board Meetings & General Meetings
• Drafting of notices, agenda, resolutions, explanatory statement and Agreement
• Preparation & Maintenance of Statutory Registers mandated under Companies Act, 2013
• Ensuring secretarial compliances of subsidiary and group companies

Back Office Executive - Ideal Stock Broking Private Limited - Kolkata, India

(2011-05 - 2016-10)

Registered as Stock Broker & Depository Participants, operates in Kolkata

• To liaise with NSE, BSE, SEBI, and Company Law Board or other appropriate authorities in connection with any notices, approvals or any communications
• Accountable for handling Stock Broking and Demat Operation
• Involve in downloading files, Trade File & MS File for CM and F&O Segment from Member Portal like Extranet FTP, ENIT, CIM and UCI Online of NSE
• Handling Inspection Team from SEBI, NSE, BSE, MCX, CDSL and System Audit and Internal Audit Team
• KYC Registration with KRA
• Addressing Customer Grievances
• Co-ordinate with the entire team for smooth functioning of operation

Qualified Company Secretary - Company Secretariat - The Institute of Company Secretaries of India

Bachelor of Commerce (Hons) - Commerce - Calcutta University

Higher Secondary - West Bengal Council of Higher Secondary Education

Secondary - West Bengal Board of Secondary Education