Event-Based Compliances in a Company

Ensure legal accuracy and timely filings for key company events. We help manage event-based compliance for your Private Limited Company to stay aligned with MCA norms.



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Everything You Need to Know

Overview of Event-Based Compliances

Event-based compliances are mandatory filings or disclosures a company must undertake whenever specific corporate actions or changes occur. Corporate Analytica ensures timely and accurate filing of these forms in line with MCA and applicable laws.

Importance of Event-Based Compliance

  • Maintains legal status and good standing with ROC
  • Avoids penalties, interest, and prosecution
  • Ensures transparency and corporate governance
  • Builds credibility among investors and stakeholders
  • Prepares the company for audits, due diligence, and funding

Common Events Requiring Compliance

  • Change in directors or KMP (DIR-12)
  • Change in registered office (INC-22)
  • Increase in authorized share capital (SH-7)
  • Allotment of shares (PAS-3)
  • Creation/modification/satisfaction of charge (CHG-1/CHG-4)
  • Change in MOA or AOA (MGT-14)
  • Commencement of business (INC-20A)

Documents Required

  • Board Resolution and Shareholder Resolution
  • Digital Signature Certificate (DSC) of authorized signatory
  • Updated MOA and AOA (if applicable)
  • Statutory registers and supporting documentation
  • Details of directors/KMP or registered office (if applicable)

Compliance Process

  1. Step 1: Identify applicable event and compliance form
  2. Step 2: Draft board/shareholder resolutions
  3. Step 3: Collect and verify supporting documents
  4. Step 4: File necessary forms with MCA within prescribed time
  5. Step 5: Record entries in statutory registers
  6. Step 6: Maintain acknowledgment and proof of filing

Why Choose Corporate Analytica?

  • Team of qualified CS & legal experts
  • 100% compliance with Companies Act, 2013
  • Transparent pricing and prompt updates
  • One-stop solution for all MCA filings
  • Dedicated account manager for all events

Other Mandatory Compliances

  • DIR-3 KYC for all directors
  • MSME Return if applicable (Form MSME-1)
  • Filing of DPT-3 for any unsecured loans
  • Maintaining Statutory Registers & Minutes Book
  • Compliances under GST, TDS, PF/ESI if applicable

Penalty for Non-Compliance

  • Failure to follow rules may lead to fines.
  • Missing renewal deadlines can attract penalties.
  • Providing false information may invite legal action.
  • Serious violations can even cause project shutdown.

Frequently Asked Questions (Event-Based Compliances)

Q1. What are event-based compliances?

These are statutory filings required when specific company events occur, such as change of directors, allotment of shares, or office relocation.

Q2. What is the penalty for non-compliance?

Late filings can attract penalties of ₹100 per day per form and possible prosecution depending on the nature of the event.

Q3. Can multiple compliances be filed together?

Yes, multiple forms can be filed sequentially based on board approvals and company records, but timelines must be adhered to.

Q4. Who is responsible for filing event-based compliances?

The company and its directors are responsible. Professional guidance from a Company Secretary ensures proper filing and documentation.

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