Event-Based Compliances

Event-Based Compliances – Stay Legally Updated with Every Business Move

Event-Based Compliances refer to the statutory obligations that companies must fulfill upon the occurrence of certain events during the course of business. Unlike regular annual compliances, these are triggered by specific business events and are mandatory under Company Law, Income Tax Law, GST, and other applicable regulations. Timely adherence to these compliances helps businesses avoid penalties and maintain good legal standing.

Whether you're incorporating a company, appointing a director, changing registered office, or raising capital, our team ensures you comply with all required Event-Based Compliances smoothly and efficiently.

 

✅ Scope of Work – Event-Based Compliances

We offer end-to-end support for the following Event-Based Compliances:

  • Change in Directors or KMP (Key Managerial Personnel)

  • Change in Registered Office

  • Increase in Authorized Share Capital

  • Allotment of Shares

  • Transfer of Shares

  • Change in Company Name

  • Change in MOA & AOA

  • Appointment/Resignation of Auditor

  • Filing of MGT-7A, MGT-14, DIR-12, PAS-3 and other forms

  • Declaration and Payment of Dividends

  • Shifting of Registered Office (Within or Outside State)

  • Conversion of Private Limited to Public Limited or vice versa

  • Strike Off / Closure of Company

  • Charge creation, modification, or satisfaction

  • Any other corporate restructuring

Each of these events requires specific statutory filings with ROC, Board and Shareholder Resolutions, and in some cases, Central Government or Tribunal approvals.

 

📑 Documents Required for Event-Based Compliances

Although documentation varies depending on the event, here’s a general list of documents required:

  • Board Resolution / Shareholder Resolution

  • Notice of Board Meeting / General Meeting

  • Digital Signature Certificate (DSC) of directors

  • Director Identification Number (DIN)

  • Updated MOA / AOA (for change in name/object/capital)

  • Address Proof and Utility Bill (for registered office change)

  • Consent Letter of Director / Auditor

  • Shareholder List & Share Certificates

  • Stamp Duty Paid Challan (if applicable)

  • Valuation Report (for allotment or share transfer)

  • Copy of PAN, Aadhar & ID Proofs

  • CA/CS Certification for Forms

  • Loan Agreement / Charge Documents (for charge registration)

  • Proof of payment of government fees

  • Existing ROC filings for cross-reference

 

🛠️ Complete Process of Event-Based Compliances

Here’s how we handle your Event-Based Compliances from start to finish:

Step 1: Event Analysis & Documentation

We assess the triggering business event, understand applicable laws, and list the necessary documentation.

Step 2: Drafting of Legal Documents

We draft resolutions, notices, declarations, and forms based on the event.

Step 3: Board / General Meeting Support

We assist in conducting proper board/shareholder meetings and passing resolutions.

Step 4: ROC Form Preparation & Filing

We fill and file the relevant e-forms with the Ministry of Corporate Affairs (MCA), such as DIR-12, MGT-7, PAS-3, INC-22, SH-7, etc.

Step 5: Post-Filing Compliance

We provide post-filing support including follow-ups, challan management, certificate updates, and register maintenance.

Step 6: Compliance Record Maintenance

We help maintain compliance records for future audits and inspections.

 

🤔 Frequently Asked Questions (FAQs) – Event-Based Compliances

1. What are Event-Based Compliances?

Event-Based Compliances are legal filings and formalities required whenever a specific business event takes place in a company, such as a change in director, capital, or address.

2. Are Event-Based Compliances mandatory for all companies?

Yes, both private limited companies and public companies must adhere to these compliances as per the Companies Act, 2013 and other relevant laws.

3. When should Event-Based Compliances be filed?

These must be filed within 15 to 30 days of the occurrence of the event, depending on the nature of the compliance.

4. What happens if Event-Based Compliances are delayed?

Late filing attracts penalties, additional fees, and sometimes disqualification of directors.

5. Is professional help necessary for these compliances?

Yes, it’s advisable to hire a Company Secretary (CS) or Chartered Accountant (CA) to ensure error-free filing.

6. Can Event-Based Compliances be filed online?

Yes, all forms under the MCA portal are filed online using DSC and DIN.

7. Do LLPs also need to comply with Event-Based Compliances?

Yes, LLPs have their own set of event-based filings under the LLP Act, 2008.

8. How do I know which forms are applicable to my event?

Our expert team will analyze the event and guide you through the correct form and process.

9. Can a single event trigger multiple compliances?

Yes, for example, appointment of a director may require DIR-2, DIR-12, MBP-1, and DIR-8.

10. What is the cost involved in Event-Based Compliances?

Cost varies depending on the event and government fees. Contact us for a customized quote.

11. Are share transfers also considered event-based?

Yes, share transfer, issue, or allotment are key triggers for Event-Based Compliances.

12. Do startups need to file Event-Based Compliances?

Absolutely, startups registered as Pvt Ltd companies or LLPs are bound by these requirements.

13. Can you handle backdated Event-Based Compliances?

Yes, we also assist with condonation of delay and rectification filings.

14. Is GST affected by Event-Based Compliances?

In case of change in business structure or address, GST registration also needs to be updated.

15. What’s the penalty for non-compliance of Event-Based Compliances?

Penalties can range from ₹5,000 to ₹1,00,000 or more depending on the severity and type of non-compliance.

 

📞 Why Choose Us for Event-Based Compliances?

  • ✅ Experienced CA/CS Team

  • ✅ Timely Filing of ROC Forms

  • ✅ End-to-End Documentation

  • ✅ Affordable Pricing & Transparency

  • ✅ Backdated Compliance Support

  • ✅ PAN India Service Coverage

  • ✅ Real-Time Updates & Support

 

🏁 Conclusion – Let Us Handle Your Event-Based Compliances!

Every business event brings an opportunity—and a responsibility. With our expert assistance, you can focus on growth while we handle all your Event-Based Compliances with accuracy and efficiency. Contact us today for a free consultation on your next compliance event.