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Uttarakhand Protection of Interests of Depositors (In Financial Establishment)(Amendment) Rules, 2018
Published vide Notification No. 541/01(140)/27(1)/2018, dated 14.4.2018
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2(h) "Superintendent of Police" means Superintendent of Police or senior Superintendent of Police of a district appointed by the Government.
3. Insertion of Rule 11. - In the principal rules after Rule 10, a new Rule 11 shall be inserted as follows, namely-"11. Filing of Report and Return by the Financial Establishment. - (1) Every Financial Establishment shall submit a Report in Form I containing such particulars as required therein to the Collector and Superintendent of Police in whose jurisdiction the Financial Establishment commenced or carried its business.
(a) It shall be the duty of every Financial Establishment to report to the Collector and Superintendent of Police, in case of any change in respect of any particulars furnished in Form I, within seven days after the change has taken place.
(2) Every Financial Establishment shall funish, within one month of the expiry of each quarter of a financial year, a return in Form II showing particulars in respect of its business including its financial position, the area of its deposit collectred by it and the location of investments of moneys made by it within and outside the State, on each quarter of the financial year, if any, to the Collector and Superintendent of Police within whose jurisdiction his place of business is located, and if he has more than one place of business located in the State, to the Collector and Superintendent of Police under whose jurisdiction the main branch office, as declared by him, is located."
Form I
[See sub-rule (1) of Rule 3]
Report of financial establishment on commencement/ conduct of Business in the State of Uttarakhand
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Name of the Financial Establishment: |
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2 |
Name and address of Registering Authority: |
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Registration/Incorporation Number with date: |
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Name & address of the Regulator |
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Provide in detail about the authority to carry on such business: |
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Type of activities authorised by the registering authority |
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Any restrictions imposed by the registering authority on such activities |
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Name of the State in which the Financial Establishment is registered: |
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Full address: (i) Registered Office, Pin No. Phone No. (ii) Main Branch Office (If any): |
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Name, address (present & permanent) and PAN number of every Person* responsible for management of affairs of the financial Establishment: |
(1) Sri/Smt …......................................... (2) Sri/Smt .............................. |
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**Number of Branches/Offices: |
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Name(s) of the financial Establishment’s Auditor and address: |
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Name(s) of the Financial Establishment’s Banker(s) Name and address: |
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Name, address (present & permanent) and designation of the person conducting business of the Financial Establishment: |
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Signature of Manager/Managing
Director/authorised official
Name:
Designation:
*If more than two persons are responsible for the management affairs of the financial Establishment they may give a list showing name and address appending to this Form.
**A list showing the names and address of the place(s) where the Branch Office(s) of the Financial Establishment is/are situated should be enclosed.
Form II
[See sub-rule (3) of Rule 3]
Quarterly Return
Financial Year...............
Quarter Ending.
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Name of the Financial Establishment: |
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Name and Address of Registering Authority: |
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Registration/Incorporation number with date: |
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PAN numbers of the Financial Establishment and MD/Directors/President/Managing Partner/ CEO/ Proprietor: |
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Names and addresses of Directors/Partners/ Proprietor: |
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Name and addresses (present & permanent) of MD/Directors/President/Managing Partner/CEO/ Proprietor |
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Nature of business: |
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Details of Bank Names, account numbers and addresses of the Banker(s): |
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Bank-wise and Account-wise Balance as at the end of the quarter: |
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Details of movable/immovable assets of the. Financial Establishment as at the end of the quarter. |
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Copies of latest Audited Balance Sheet |
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Amount received during the quarter from the Investors/Depositors: |
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Name and address of Depositors/investors from whom the amount was collected/received: |
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Amount received from other sources including loans during the quarter |
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Amount utilized/invested & spent during the quarter |
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Details of such utilization/investment/spent |
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Area and location of such investment within and outside State: |
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Details of assets created/acquired during the quarter: |
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Details of payments towards return on deposited amount such as interest, dividend or any other services: |
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Details of amount refunded including maturity amount to the investors/depositors during the quarter |
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Amount payable to the depositors/investors at end of the quarter. |
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Details of properties such as land/plots or fiats handed over of other services rendered to the investors/depositors during the quarter: |
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Details of movable/immovable assets including bank balances of Directors/ Managing Directors/ CEO/Partner/Proprietor as on the end of the quarter: |
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