Single format · FV01-X3-3

Corrective action tracker

A single format from the Corporate Records Remediation pack. ss.59, 87, 403, 441, 454 and 460, Companies Act 2013 · Rule 12, Companies (Registration Offices and Fees) Rules 2014 · Rule 6, Companies (Share Capital and Debentures) Rules 2014.

Length
10 pages
Blanks to fill
246
Files
Word, PDF and Excel
Law as at
30 October 2026
Last reviewed
30 October 2026

What it covers

  1. 1Corrective action trackerss.59, 87, 403, 441, 454 and 460, Companies Act 2013 · Rule 12, Companies (Registration Offices and Fees) Rules 2014 · Rule 6, Companies (Share Capital and Debentures) Rules 2014246 blanks · also an Excel workbook that calculates

Not included

What you will still need outside this format:

  • The register layouts themselves: use Register Formats (FV01-E3) and The Register of Members and the Securities Registers (FV02-C3).
  • Duplicate and renewed share certificates, transfers and demat: FV02-C2, FV01-F12B, FV02-D1 and FV02-C5.
  • The reply to a notice of adjudication and the appeal to the Regional Director: Section 454 Adjudication (FV01-I3).
  • The text of a compounding application under section 441, a condonation petition in CHG-8, or an NCLT application under section 59.
  • FEMA late submission fee and compounding papers: FV08-M2 and FV08-M3.
  • The accounting work of rebuilding the books, any re-audit, and the revision of filed financial statements under section 131.
  • MCA fees, additional fees, penalties and compounding amounts, and stamp duty on instruments of transfer and new certificates.
  • A professional opinion on whether past allotments, loans, transfers or related party transactions were validly made.

Read the opening

The first part of the format, as it downloads. Blanks are highlighted.

Working paper · [Name of the company] · CIN [CIN]

CORRECTIVE ACTION TRACKER

Prepared by: [Name of the company secretary or professional] · Gap assessment dated: [Date of the assessment]
Plan noted by the Board on: [Date the Board noted the plan] · Tracker updated on: [Date of the last update]

This tracker turns each finding of the statutory records gap assessment (format 1) into a corrective step with a route, a form, a responsible person and a due date, counts the days by which each open item is past its due date, and summarises the position by status and by route for the Board. The rows are pre-filled with the findings that arise most often in a company whose records are incomplete; delete those that do not apply, fill in the financial year where asked, and add rows for anything else.

21 more paragraphs and tables follow in the full format.

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