
 State of Uttarakhand - Act
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 Uttarakhand Protection of Interests of Depositors (In Financial Establishment)(Amendment)  Rules, 2018
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 UTTARAKHAND
   
 India
 
 Uttarakhand Protection of Interests of Depositors (In Financial Establishment)(Amendment)  Rules, 2018
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 Rule UTTARAKHAND-PROTECTION-OF-INTERESTS-OF-DEPOSITORS-IN-FINANCIAL-ESTABLISHMENT-AMENDMENT-RULES-2018 of 2018
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* Published on 14 April 2018
* Commenced on 14 April 2018
 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
 
 Notification No. 541/01(140) /27(1)/2018, dated 14.4.2018. - In exercise of the powers conferred by Section 20 of the Uttarakhand Protection of Interests of Depositors (In Financial Establishment) Act, 2005, the Governor is pleased to make the following rules by partially amending the Uttarakhand Protection of Interests of Depositors (In Financial Establishment) Rules, 2015-
 
### 1. Short title and commencement.
(1) These rules may be called the Uttarakhand Protection of Interests of Depositors (In Financial Establishment)(Amendment) Rules, 2018.
 
(2) It shall come into force at once.
 
### 2. Insertion Definition.
 - In the Uttarakhand Protection of Interests of Depositors (In Financial establishment) Rules, 2015 (hereinafter referred as principal rules), Clause (h)  shall be inserted after clause (g), namely-
 
### 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
 
 To
 
 The District Collector/
 
 Magistrate, ...........(District) And
 
 Superintendent of Police
 
 .................(District) |  |  |  |
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 1
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 Name of the Financial Establishment:
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 2
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 Name and address of Registering Authority:
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 3
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 Registration/Incorporation Number with date:
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 4
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 Name & address of the Regulator
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 5
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 Provide in detail about the authority to carry
 
 on such business:
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 6
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 Type of activities authorised by the registering
 
 authority
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 7
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 Any restrictions imposed by the registering
 
 authority on such activities
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 8
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 Name of the State in which the Financial
 
 Establishment is registered:
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 9
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 Full address:
 
 (i)  Registered
 
 Office, Pin No. Phone No.
 
 (ii)  Main Branch Office (If any):
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 10
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 Name, address (present & permanent) and PAN
 
 number of every Person\* responsible for management of affairs of
 
 the financial Establishment:
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 (1)  Sri/Smt
 
 ….........................................
 
 (2)  Sri/Smt ..............................
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 11
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 \*\*Number of Branches/Offices:
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 12
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 Name(s)  of the financial Establishment’s
 
 Auditor and address:
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 13
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 Name(s)  of the Financial Establishment’s
 
 Banker(s)  Name and address:
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 14
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 Name, address (present & permanent) and
 
 designation of the person conducting business of the Financial
 
 Establishment:
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 Certified that the particulars/information furnished in the report have been verified and found to be correct and complete in all respects.
 
 Date:
 
 Place:
 
 Signature of Manager/ManagingDirector/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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 1
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 Name of the Financial Establishment:
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 2
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 Name and Address of Registering Authority:
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 3
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 Registration/Incorporation number with date:
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 4
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 PAN numbers of the Financial Establishment and
 
 MD/Directors/President/Managing Partner/ CEO/ Proprietor:
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 5
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 Names and addresses of Directors/Partners/
 
 Proprietor:
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| 
 6
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 Name and addresses (present & permanent)
 
 of MD/Directors/President/Managing Partner/CEO/ Proprietor
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 7
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 Nature of business:
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 8
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 Details of Bank Names, account numbers and
 
 addresses of the Banker(s) :
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 9
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 Bank-wise and Account-wise Balance as at the end
 
 of the quarter:
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 10
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 Details of movable/immovable assets of the.
 
 Financial Establishment as at the end of the quarter.
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 11
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 Copies of latest Audited Balance Sheet
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 12
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 Amount received during the quarter from the
 
 Investors/Depositors:
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 13
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 Name and address of Depositors/investors from
 
 whom the amount was collected/received:
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 14
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 Amount received from other sources including
 
 loans during the quarter
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 15
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 Amount utilized/invested & spent during the
 
 quarter
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 16
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 Details of such utilization/investment/spent
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 17
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 Area and location of such investment within and
 
 outside State:
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 18
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 Details of assets created/acquired during the
 
 quarter:
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 19
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 Details of payments towards return on deposited
 
 amount such as interest, dividend or any other services:
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 20
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 Details of amount refunded including maturity
 
 amount to the investors/depositors during the quarter
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 21
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 Amount payable to the depositors/investors at
 
 end of the quarter.
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 22
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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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 23
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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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