1. CS. ASHISH SHAH
860, ‘C’ Block, 2nd
Main, AECS Layout, ITPL Road, Kundalahalli, Bangalore - 560037
~ E-Mail: cs.ashishshah@yahoo.com; Tel.: +91 97393 13399 (M)
Assignments in Secretarial & Finance Operations
Précis
⇒ A dynamic professional with more than 10 year’s Post Qualification experience in Secretarial
Functions.
⇒ Presently working with Silver Springs Pleasure Resorts Private Limited (The Zuri Hotels &
Resorts), Bangalore as Company Secretary.
⇒ Adept at performing secretarial functions like conducting Board/ Committee/ General meetings,
compliances with Company Law requirements, Listing & SEBI requirement and drafting legal
documents.
⇒ Expertise in handling functions like issuing & listing of shares, Debentures, Convertible Warrants etc.
⇒ Proficient in maintaining statutory books of the organisation & ensuring adherence to the statutory
regulations of listed, non-listed, Private Limited and Limited Companies.
⇒ A keen analyst with exceptional relationship, management skills & abilities in liaising with various
Government authorities, Banks & Financial Institutions.
Domain Skills
- Company Secretarial Functions - Legal Operations - Statutory Compliances
- Relationship Management - Operations
Organisational Experience
Since May’15 with Mantri Developers Private Limited, Bangalore as Company Secretary
Feb’12 – Apr’15 with Silver Springs Pleasure Resorts Pvt. Ltd. (The Zuri Hotels & Resorts),
Bangalore as Company Secretary
Jan'09 – Feb’12 with JMC Projects (India) Ltd., Ahmedabad, Gujarat, (a Subsidiary Company
of Kalpataru Power Transmission Ltd.) as Dy. Company Secretary
Mar'08-Dec'08 with Provogue (India) Ltd., 105/106, Provogue House, Off New Link Road,
Andheri (W), Mumbai – 400 053 as Asst. Company Secretary (Manager Grade)
Dec'05-Feb'08 with JMC Projects (India) Ltd., Ahmedabad, Gujarat, (a Subsidiary Company of
Kalpataru Power Transmission Ltd.) as Company Secretary
July’05-Nov’05 with Kalpataru Power Transmission Ltd., Gandhinagar as Dy. Manager
(Finance)
Jan'03-Apr'04 Management Training of Company Secretary Course with Adani Exports Ltd.,
Ahmedabad
Commenced career as designation with Harshgiri Lake Resort Home Concept Pvt. Ltd.,
Mumbai as Account Assistant in Jan'01. Associated with the organisation till Jan'02
Key Result Areas:
⇒ Conducting Board of Directors Meeting, Executive Committee Meeting as required under Companies
Act involving issuance of notices, drafting agenda, recording minutes & preparing annual reports.
2. ⇒ Preparing & filing necessary documents, registers, forms & returns as required under the Companies
Act 1956 & other statutory acts.
⇒ Compliance of various clauses of listing agreement with stock exchange like corporate governance,
substantial acquisition of shares, Insider trading regulations, code of conduct etc., filing of statutory
information/ documents with stock exchanges, SEBI etc.
⇒ Overall responsibility in adherence to Company Law matter, Secretarial / Legal Audit & ROC matters
for the group of companies.
⇒ Preparation and finalization of the Joint documentations for Consortium of Bankers and other
business agreements.
⇒ Reporting Hierarchy:
Director(s)
Company Secretary (Myself)
⇒ Dealing with the Office of Registrar of Companies, Stock Exchanges, Securities and Exchange Board
of India (S.E.B.I.), Registrar and Share Transfer Agent & ensuring compliances.
⇒ Responsible for handling all legal matters and instituting systems and legal practices to secure the
best interests of the organization & vetting documents going out of the company including matters
under the Negotiable Instrument, Consumer Act, Corporate Laws.
⇒ Key member of the core team responsible for corporate affairs viz. Company policies, restructuring
etc. Integral part of senior management at corporate office, participating in the operation review
meetings for co-ordinating production related affairs.
⇒ Liaising with financial institutions/ banks for financial assistance, documentations etc, Creation/
Satisfaction of Charges, opening of foreign letter of credit in favor of suppliers of raw material, etc.
⇒ Obtaining various permissions from State Government/Central Government, Reserve Bank of India,
Director General of Foreign Trade.
⇒ Filing of ECB2 return on monthly basis with RBI.
⇒ Drafting, Vetting of various legal agreements, documents, etc. of the Company.
⇒ Handled successfully the work relating to demerger of unlisted company.
⇒ Handling the Trade Mark related work of the Company.
⇒ Vetting of Legal Agreement and finalizing the same.
Notable Achievements:
⇒ Successfully handled the 2 rights issues and Warrants Conversion allotted in 1st
Rights Issue
both pre and post issue activities of JMC Projects (India) Ltd., Ahmedabad;
⇒ Successfully handled Employee Stock Option Scheme (ESOP), allotment of options etc. in JMC
Projects (India) Ltd., Ahmedabad;
⇒ Assisted for Preferential Issue (Equity Shares as well as Convertible Warrants) both pre and
post issue activities of Provogue (India) Ltd., Mumbai;
3. ⇒ Assisted in issuance of the Bonus shares including liaison with Stock Exchanges, SEBI, NSDL,
CDSL, making of allotment, listing of securities on BSE, NSE, Filing of form with RBI for allotment of
shares to Non Resident, etc.;
⇒ Assisted in the issuance of shares under Qualified Institutional Placement (QIP) route of SEBI
which also includes:
Handling of due diligence of lead manager
Preparation of document for QIP
Making of Allotment
Listing of shares on BSE and NSE
Liaison and admission of Securities with Depositories (NSDL and CDSL)
⇒ Updating all the Legal Cases and its handling in JMC Projects (India) Ltd., Ahmedabad;
⇒ ROC Compliance Report and assited in making of a software from where all the data of all the
Group Companies can be tracked in Provogue (India) Ltd., Mumbai;
⇒ Handled the work of issuance of Secured Redeemable Non-Convertible Debentures and its
listing on BSE;
⇒ Successfully handled the work relating to External Commercial Borrowings (ECB);
⇒ Successfully handled the work of Restructuring in the nature of Demerger.
Certificates / Awards:
⇒ Certificate from SYMBIOSIS CENTRE FOR DISTANCE LEARNING, Pune for completing Post Graduate
Diploma in Business Administration [PGDBA (Finance)];
⇒ Certificate from GUJARAT STATE MUSIC AND DRAMA ACADEMY for participation in SUGAM SANGEET
SIBIR held in December, 2008;
⇒ Certificate from KALPA VRIKSHA LEARNING CENTRE for participating and appreciation for my role in
a programme on Letter of Credit conducted on 18th
August, 2007 at Gandhinagar;
⇒ Certificate from Junior Citizen Council for Donation of Blood in Blood Donation Camp held on 3rd
May,
2007;
⇒ Certificate of Membership form the INSTITUTE OF COMPANY SECRETARIES OF INDIA, New Delhi for
successfully completion of Company Secretary Course;
⇒ Certificate from WESTERN INDIA REGIONAL COUNCIL of the INSTITUTE OF COMPANY SECRETARIES
OF INDIA, Ahmedabad for successfully completing the Secretarial Modular Training Programme;
⇒ Certificate for participation and excellent performance by CULTURAL WING OF PRAJAPITA BRAHMA
KUMARIS ISHWARIYA VISHWA VIDYALAYA, Mount Abu at the Cultural festival conducted in July,
2004;
⇒ Certificate of Appreciation for excellent Performance at Cultural Extravaganza of JAIN SOCIAL
GROUP’s FEDERATION, 1st
JSG YUVA Conference held in Baroda in May, 1999;
⇒ Certificate from COMPUTER COACHING & CONSULTANCY CENTRE on successfully completion of
computer training of DOS, Wordstar and dbase III Plus in the year 1996.
Free-Lancing
Aug’04-July’05, as Free Lancer
Role:
⇒ Involved in doing searches of various companies
4. ⇒ Filed annual return and preparing report of various companies
⇒ Drafted Secretarial Compliance Certificates under Section 383A of the Companies Act, 1956
⇒ Incorporation of Companies
⇒ Change of Name of the Companies and conversion of Pvt. Ltd. to Ltd.
Management Training of ICSI
Duration: Jan’03-Apr’04
Organisation: Adani Exports Ltd., Adani House, Nr. Mithakhali Six Roads, Ahmedabad
Thesis: The training included:
⇒ Maintenance of various Statutory Registers & various other Registers e.g. Section 372A, Member’s
Register, Investment Register, Attendance Register, etc.
⇒ Preparation of Minutes and maintenance of Minutes Book.
⇒ Preparation of requirements of Board of Director before Board, Various Committee and Member’s
Meetings viz. Agenda of Meetings, Notice of Meeting to every Directors, etc.
⇒ Preparation of various Agreements such as Guarantee Agreements; Power of Attorney; Transfer
Deed; Pledge Agreements, etc.
⇒ Work relating to Dividend declared during the year.
⇒ Compliance with the requirements of the Stock Exchanges and Roc in order to see the compliance
with various Laws and Rules.
IT Forte
⇒ Conversant with MS Office 2010, Windows 8, & Internet applications.
⇒ Possess sound knowledge of Tally (7.2) & online filing of various Company Law Forms & Returns with
MCA.
Education
CMA (Inter)
ICAI, New Delhi in 2014
PGDBA (Finance)
Symbiosis, Pune in 2011
Bachelor of Laws
Gujarat University in 2007
Company Secretary
ICSI, New Delhi in 2004
Bachelor of Commerce
Gujarat University in 1999
Personal Details
Date of Birth: 10th
September 1979
Languages known: English, Hindi & Gujarati
Marital Status: Married
