Inter Globe Finance Ltd. — Regulatory Filings 2021

Jun 26, 2021

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Date: June 26, 2021

Ref:-IGFL/21-22

To, The Department of Corporate Services The Department of Corporate Services The BSE Limited Calcutta Stock Exchange Limited Phiroze Jeejeebhoy Towers 7, Lyons Range Dalal Street Murgighata, Dalhousie Mumbai Samachar Marg Kolkata – 700001 MUMBAI – 400001

Sub: Certificate under Regulation 24A of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

Scrip Code: BSE Scrip Code 511391 & CSE Scrip Code 10019038

Dear Sir/Madam,

Pursuant to Regulation 24A of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 we are enclosing herewith the Annual Secretarial Compliance Report duly signed by the Secretarial Auditor for the year ended 31[st] March, 2021.

You are requested to take the same on record.

Thanking You, Yours Faithfully,

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CIN: L65999WB1992PLC055265 Aloka House 1[st] Floor 6B Bentinck Street, Kolkata – 700001(India) P. 91 33 2262-1971/91 33 2243-0271/F. 91 4066-1036/E. info@igfl.co.in/W. www.igfl.co.in

ISHA BOTHRA & ASSOCIATES 30 C R AVENUE, 5[th] Floor

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Practicing Company Secretary Kolkata – 700012

Secretarial Compliance Report of Inter Globe Finance Limited for the year ended 31[st] March, 2021

I Isha Bothra, Practicing Company Secretary, have examined:

• i. all the documents and records made available to us and explanation provided by Inter Globe Finance Limited (“the listed entity”),

• ii. the filings/ submissions made by the listed entity to the stock exchanges,

• iii. website of the listed entity,

• iv. any other document/ filing, as may be relevant, which has been relied upon to make this certification, for the year ended 31st March, 2021 (“Review Period”) in respect of compliance with the provisions of:

• the Securities and Exchange Board of India Act, 1992 (“SEBI Act”) and the Regulations, circulars, guidelines issued thereunder; and

• the Securities Contracts (Regulation) Act, 1956 (“SCRA”), rules made thereunder and the Regulations, circulars, guidelines issued thereunder by the Securities and Exchange Board of India (“SEBI”);

The specific Regulations, whose provisions and the circulars/ guidelines issued thereunder, have been examined, include:-

(a) Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015;

(b) Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018;

(c) Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011;

(d) Securities and Exchange Board of India (Buyback of Securities) Regulations, 2018;

(e) Securities and Exchange Board of India (Share Based Employee Benefits) Regulations, 2014;

(f) Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008;

(g) Securities and Exchange Board of India(Issue and Listing of Non- Convertible and Redeemable Preference Shares) Regulations,2013;

(h) Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015;

Based on the above examination, I hereby report that, during the Review Period:

(a) The listed entity has complied with the provisions of the above Regulations and circulars/ guidelines issued thereunder, except in respect of matters specified below:-

S.No	Compliance Requirement (Regulations/Circulars/Guidelines including specific clause)	Deviations	Observations/Remarks of the Practicing Company Secretary
NIL

(b) The listed entity has maintained proper records under the provisions of the above Regulations and circulars/ guidelines issued thereunder insofar as it appears from my/our examination of those records.

(c) The following are the details of actions taken against the listed entity/ its promoters/ directors/ material subsidiaries either by SEBI or by Stock Exchanges (including under the Standard Operating Procedures issued by SEBI through various circulars) under the aforesaid Acts/ Regulations and circulars/ guidelines issued thereunder:

S. N o.	Action taken by	Details of violation	Detailsof actiontaken, E.g. fines,warning letter,debarment, etc.	Observations/Remarks of thePracticingCompany Secretary, ifany.
1.	BOMBAY STOCK EXCHANG E LIMITED	Regulation 23 (9) Non-compliance with disclosure of related party transactions on consolidated basis.	Total Fine payable- Rs. 2,12,400/-	The Listed Entity has made delay in submission of this Report to the Stock Exchange. Henceforth it has paidpenalty of Rs.1,94,400/- after deduction of TDS of Rs.18,000 on 29.01.2021.
2.	BOMBAY STOCK EXCHANG E LIMITED	Regulation 13(1) Failure to ensure that adequate steps are taken for expeditious redressal of investor complaints.	Total Fine payable- Rs. 7,080/-	The Listed Entity has made delay in submission of this Report to the Stock Exchange. Henceforth it has paid penalty ofRs. 7,080/- on 03.09.2020.
3.	BOMBAY STOCK EXCHANG E LIMITED	Regulation 31 Non-submission of shareholding	Total Fine payable- Rs. 16,520/-	The Listed Entity has made delay in submission of this Report to the Stock

		pattern within the period prescribed.		Exchange. Henceforth it has paid penalty of Rs. 16,520/- on 03.09.2020.
4.	BOMBAY STOCK EXCHANG E LIMITED	Regulation 27(2) Non-submission of the Corporate governance compliance report within the period provided under this regulation	Total Fine payable- Rs. 35,400/-	The Listed Entity has made delay in submission of this Report to the Stock Exchange. Henceforth it has paid penalty of Rs. 35,400/- on 03.09.2020.

(d) The listed entity has taken the following actions to comply with the observations made in previous reports:

previous reports:
Observationsof	Observations madein	Actions	Comments of the
thePracticing	the	taken by	PracticingCompany
Company	secretarialcompliance	the listed	Secretary on the
Secretary	reportfor the previous	entity, if	actions taken by
S.No. inpreviousreports	year	any	the listed entity
	NOT APPLICABLE
Place: Kolkata Signature:	~~ISHA~~ Digitally signed by
Date: 17/06/2021 UDIN:A027531C000477387	Name of the Practicing Company Secretary- ISHA BOTHRA ACS No.: A27531 CP No.: 9949 BOT HRA ISHA BOTHRA Date: 2021.06.17 13:46:52 +05'30'