DIR-3 KYC certification by Professionals- What needs to be certified

This editorial aims to guide professionals through the process of preparing, verifying, and certifying e-form DIR-3 KYC. With specific attention to the required information, verification techniques, and engagement letter format, professionals can ensure accurate and compliant submissions.

The e-form DIR-3 KYC requires certification by practicing professionals, including Practicing Company Secretaries, Chartered Accountants, and Cost Accountants. The certification format mandates the following declarations:

1. Verification of Identity and Address: Professionals must verify the applicant’s identity and address by examining the original documents or attested copies as per prescribed procedures.

2. Attachment Completeness: Confirmation that all necessary attachments have been appropriately included with the application.

3. Compliance with Companies Act, 2013: Professionals affirm their understanding of the Companies Act, 2013 and related rules, ensuring the accuracy and completeness of the submitted form.

4. Accuracy of Contact Details: Professionals confirm that the provided mobile number and email address belong to the applicant or director signing the form.

5. Record Keeping: A commitment to retain a copy of the form, attachments, and verification records for future reference.

6. Liability for Wrong Certification: Professionals acknowledge that they can be held accountable under Section 448 of the Companies Act, 2013 for incorrect certifications.

Certification Format Part

I declare that I have been duly engaged for the purpose of certification/verification of this form. It is hereby certified that:

• I have satisfied myself about the identity of the applicant and his address based in the perusal of the original of the attached document,

Note: in case where the applicant is residing outside India the particular have to be verified from the documents duly attested by the attesting authority as prescribed

• All required attachments have been completely attached to this application.
• I have gone through the provision of The Companies Act, 2013 and rules thereunder for the subject matter of the this form and matters incidental thereto and I have verified the above particulars (Including attachment (s)) from the original records maintained by the Company/applicant which is subject matter to this form and found them to be true, correct and complete and no information material to this form has been suppressed.
• I further certify that:
  • Mobile no. and Email ID belong to the applicant/director signing the form.
  • All the required attachments have been completely and legibly attached to this form.
  • I have kept the copy of this form and attachments thereto, in my records for the further reference.
  • It is understood that I shall be liable for the action under section 448 of The Companies Act, 2013 for wrong certification, if found at my stage.

Now the Most Important Questions:

I. What are the information/ documents required to fill e-form?

II. How to verify such information?

III. Are we engaged to certify the form if not, what should be the language of engagement letter?

A. What are the information/ documents required to fill e-form?

1. Name and Father Name of Director

2. Date of Birth

3. Nationality

4. PAN No.

5. Passport No, if any

6. Aadhar No.

7. Personal Mobile No.

8. Personal Email ID

9. Present Resident Address with proof

10. Permanent resident address with proof

B. How to verify the Information’s?

a. Information (1-3) mentioned above can be verify from the PAN

b. Information (4-6) mentioned above from their respective documents

c. Personal Mobile No. (utility bill, SMS verification etc)

d. Personal email ID – we can verify the same by sending mail and get confirmation from the Individual

e. Present resident address (Utility Bill)

f. Permanent resident address (utility bill or id proof)

Most important: Along with above mentioned documents, professionals can take a representation letter from the Individual in respect of the same.

 Note:

As per certification column of form (mentioned above also)- following are the important points for concerned:

• Mobile no. and Email ID belong to the applicant/director signing the form
• I have verified the above particulars (Including attachment (s)) from the original records maintained by the applicant
• I have satisfied myself about the identity of the applicant and his address
• *** I declare that I have been duly engaged for the purpose of certification/verification of this form

C. Are we engaged to certify the form if not, what should be the language of engagement letter?

Format of Engagement Letter:

To,

Date:

(Name of Professional)
(Firm Name)
Practicing Company Secretary,
COP No.
Address:

Subject: Engagement for certification e-forms DIR-3 KYC and my representations for verification of information mentioned in the form.

Ref:       DIN –

Dear Sir,

This representation letter is provided in connection with your certification/ verification of e-form DIR-3 KYC under provisions of Companies Act, 2013.

With reference to various provisions of the Companies Act, 2013 read with relevant rules and any other applicable laws, I hereby engage you for certification of e-form DIR-3 KYC and verification of details mentioned in the form:

Further, please find blow my information/ document required by your godself to verify details mentioned in e-form DIR-3 KYC:

1. Self Attested copy of PAN

2. Self attested copy of Passport

3. Self attested copy of Aadhar

4. Mobile No.

5. Email ID

I further confirm that email id & mobile no. are my personal.

All required documents in original produces for your necessary verification & attestation.

___________________

(Name of Person)

DIN:

Add:

Also Read:

KYC of Directors

FAQ’s on KYC of Director

*****

Author – CS Divesh Goyal, GOYAL DIVESH & ASSOCIATES Company Secretary in Practice from Delhi and can be contacted at [email protected]).

(Republished with amendments)