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    Event-Based Company Compliances

    There are certain legal compliances that are to be fulfilled on the happening of certain events. Such compliances obligate the company and its key managerial personnel to track and check the event-based compliances on time with an aim to avoid penalties and additional fees.

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    List of Event-Based Company Compliances

    EVENTS

    Form No.

    Time -Limit

    Whether to be filed before ROC or Not?

    Change in the address of Registered office Form INC-22 within 15 days from the date of such change Yes
    Change in the Directors or KMP DIR-12 within 30 days of such change Yes
    Increase in Authorized Share Capital Form SH-7 within 30 days of passing such Ordinary Resolution Yes
    Increase in paid-Up share capital Form PAS-3 within 15 days from the date of the allotment of shares Yes
    Resolution and Agreements Form MGT-14 within 30 days from the date of passing such resolution and agreements Yes
    Change in Secured Borrowing CHG-1

    within 30 days of its creation, modification and satisfaction of charge

    Yes
    Application for KYC of Directors DIR-3 KYC On or before 30th April of next Financial Year Yes
    Allotment of Shares PAS-3 Within 30 days from the date of allotment Yes
    Return of Deposit DPT-3 On or before 30th June for every financial year Yes
    Reoccurrence for delay in payments to MSMEs MSME-1 Within 30 days from the date of such Reoccurrence Yes
    Reoccurrence of deposits with the company DPT-3 On 30th June every year Yes
    Disclosure of Substantial Beneficial Ownership BEN-2 Within 30 days from the date of receipt of BEN1 by the company Yes
    Resignation of Statutory Auditor ADT-3 Within 30 days from the date of resignation Yes
    Additional place whereby the books of accounts and statutory registers are kept (other than the registered office) AOC-5 Within 7 days from the date of passing the Board Resolution for the same Yes
    For Conversion of Private limited company into Public Company INC-27 Within 15 days from the date of passing the Special Resolution for the same Yes
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    Frequently Asked Questions (FAQs)

    What is Company Compliances?

    A Company incorporated under the Companies Act, 2013 is required to fulfill certain compliances prescribed under the corporate laws for the time being in force.

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    What are the types of Company Compliances?

    There are majorly following three types of Company Compliances –

    • Post Incorporation Company Compliances
    • Mandatory Annual Company Compliances
    • Event-Based Company Compliances

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    What is Post Incorporation Company Compliances?

    Every company incorporated in India is required to obey the certain mandates and is also required to file prescribed documents with the Registrar of Companies i.e. ROC every financial year just after the incorporation of Company such as filing INC-20A form with ROC.

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    What are the Post Incorporation Company Compliances?

    List of Post-Incorporation Company Compliances, Applicable Form and Respective Due Dates:

    Post-Incorporation Company Compliances Applicable Form Time Limit Whether to be filed before ROC or Not?
    Declaration of commencement of business.

    (Applicable to companies incorporated after 2nd November 2018)

    INC-20A Within 180 days of the date of Incorporation Yes
    First Auditor Appointment ADT-1* Within 30 days from Incorporation of Company Yes

    *Not Mandatory in case of first Auditor

    Issue of Share Certificate SH-1 Within 2 months from the date of Incorporation No

    This is to be kept in the Company’s record

    Stamp Duty Documents file to SDM Within 30 days from date of issue of Share Certificate N.A.
    First Board Meeting Within 30 days from the date of its Incorporation N.A.
    First Annual General Meeting 9 months closing date of the 1st financial year N.A.
    Director Disclosure – Interest of Director in other companies MBP-1 In the 1st Board Meeting No

    This is to be kept in the Company’s record

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    What is Mandatory Annual Company Compliances?

    The Companies Act, 2013 have prescribed set compliances which companies are required to complete annually such as Maintenance of Annual Returns & Financial Statements. If any company fails to comply these mandatory compliances then it shall be liable to pay specified penalties thereon.

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    What are the Mandatory Annual Company Compliances?

    List of Annual Company Compliances, Applicable Form and Respective Due Date:

    Annual Company Compliance Applicable Form Time Limit Whether to be filed before ROC or Not?
    Board Meetings Minimum of 4 Board Meetings to be held every year with not more than 120 days gap within two meetings  
    Annual General Meetings One Annual General Meeting should be held every year. The gap between 2 Annual general meetings must not be more than 15 months N.A.
    Annual Return MGT -7 Within 60 days from the date of AGM N.A.
    Financial Statements  AOC-4 Within 30 days from the date of AGM Yes
    Appointment of Subsequent Auditors  ADT-1 Within 15 days from the date of appointment of the Auditor Yes
    Any Company having outstanding loan/amount as on 31st March of each F.Y. has to furnish details and bifurcation of such outstanding amount.  Form DPT-3 30th June Yes

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    What is Event-Based Company Compliances?

    The Companies Act has prescribed certain company compliances that are to be complied on the happening of given events. These Compliances are known as Event-based Company Compliances.

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