Services||Company and LLP Compliances

Event-Based Compliances

Stay Proactive. Stay Compliant.

In the corporate world, compliance is not just limited to annual filings. Certain events in the lifecycle of a business — like a change in directors, shifting of the registered office, or allotment of shares — trigger event-based compliances that must be reported to the Registrar of Companies (ROC) and other regulatory authorities.

At [TAX WARRIOR], we provide timely and accurate assistance with all types of Event-Based Compliances, ensuring that your business remains fully aligned with statutory requirements and avoids unnecessary penalties.

✅ What are Event-Based Compliances?

Event-Based Compliances are legal filings and documentation required to be completed when specific corporate actions or changes occur. These are different from routine annual filings and are triggered by particular events during the course of business operations.

These compliances are time-sensitive and non-compliance can lead to heavy fines, disqualification of directors, and loss of credibility.

What We Offer:

Change in Directors or KMP

Appointment, resignation, or change in designation of directors or key managerial personnel (DIR-12 filing).

Change in Registered Office Address

Shift of office within the same city, between cities, or across states (INC-22 and related forms).

Increase in Authorized Share Capital

Amending the capital clause in MOA and filing necessary resolutions (SH-7).

Allotment or Transfer of Shares

Issuance of new shares or transfer between shareholders (PAS-3, SH-4).

Change in Company Name or Object Clause

Filing of special resolutions and amendments to MOA/AOA (MGT-14, INC-24, etc.).

Conversion of Company Type

Changing from a Private Limited to Public Limited or vice versa, or conversion to LLP.

Appointment/Change of Auditors

Filing ADT-1 for new auditor appointment or auditor resignation/replacement.

Charge Creation or Modification

Registration of loan or mortgage with ROC (CHG-1, CHG-4).

Frequently Asked Questions (FAQs)

1. What is the timeline for event-based compliance filings?

Most event-based compliances must be filed within 15 to 30 days of the occurrence of the event, depending on the type of change.

2. What if I miss an event-based compliance deadline?

Delays can lead to monetary penalties, interest, and even disqualification of directors in some cases. We help with condonation of delay and compounding applications where needed.

3. Can you handle multiple compliances at once?

Yes, we can assist with multiple event-based filings and provide bulk compliance support for startups and growing businesses.

4. Is professional certification required for these filings?

Some forms require certification by a Chartered Accountant or Company Secretary. We ensure all submissions are certified and legally valid.

5. How do I know which events require ROC filing?

If you’re unsure, our team will help you track and identify all events that trigger compliance obligations and create a custom compliance calendar for your business.

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