Corporate Compliance with MCA

Streamlined Legal Solutions to Ensure Corporate Compliance, Protect Your Business Interests, and Support Strategic Growth Special Compliances – company conversion,strike-off, company incorporation In today’s dynamic business environment, companies often need to adapt their legal structure, close dormant entities, or establish new entities for expansion and operational efficiency. Our Special Compliance Services cover key corporate actions like company conversion, strike-off, and incorporation, ensuring full adherence to statutory regulations under the Companies Act, 2013. Our expert team guides businesses through every stage of compliance, minimizing risk and maximizing operational flexibility. Expert guidance through complex regulatory processes Personalized solutions based on your business structure and growth plans End-to-end support from advisory to filing and approvals Timely updates and proactive follow-ups with regulatory authorities Filing of required forms and applications with the Ministry of Corporate Affairs (MCA) for approval. Updating the Memorandum & Articles of Association (MOA & AOA) and other statutory documents. Company Conversion Company conversion refers to changing the legal status of a company—for example, converting a private limited company into a public limited company, a company into a One Person Company (OPC), or vice versa. This process helps businesses align their corporate structure with growth plans, capital requirements, or operational flexibility. Company Strike-Off Company strike-off is the legal procedure of removing a company from the MCA registry. This is applicable for companies that are no longer operational or wish to discontinue business formally. Strike-off ensures the company ceases to exist legally, avoiding ongoing compliance obligations. Company Incorporation Company incorporation is the process of legally forming a new company. Whether you are starting a Private Limited Company, One Person Company (OPC), Limited Liability Partnership (LLP), or Public Limited Company, proper incorporation is crucial for legal recognition and future operations. FAQ Frequently Asked Questions (FAQs) Are Concurrent Audits mandatory for all bank branches? RBI mandates concurrent audits for high-risk branches based on business volume, operational risk, and regulatory requirements. Banks may also voluntarily appoint concurrent auditors for internal risk control. What are the key focus areas in a Statutory Bank Branch Audit? Verification of advances, NPAs, provisioning, deposits, income recognition, compliance with RBI Circulars, KYC/AML adherence, and accurate regulatory reporting. Can you assist in rectifying audit observations raised by RBI or Concurrent Auditors? Yes, we assist in preparing rectification reports, implementing corrective actions, and ensuring compliance with audit observations to avoid penalties and reputational risks. How do Bank Branch Audits help improve operational efficiency? Regular audits help identify control weaknesses, prevent income leakages, detect procedural lapses, and recommend process improvements that enhance the operational efficiency and compliance culture within branches. Corporate Compliance with MCA Annual Filings Event-Based Filings Secretarial Support Regulatory Filings Special Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more

Stay ahead of compliance deadlines with accurate and timely regulatory filings. Regulatory Filings – DIR-3 KYC, DPT-3, BEN-2, MSME-1, MGT-14 Regulatory filings with the Ministry of Corporate Affairs (MCA) and other statutory authorities are mandatory for companies and directors. These filings ensure transparency, proper reporting, and alignment with the Companies Act, 2013. Unlike annual filings, regulatory filings can be annual or event-driven, each carrying strict timelines and penalties for delay. Forms like DIR-3 KYC, DPT-3, BEN-2, MSME-1, and MGT-14 play a vital role in corporate compliance. For instance, DIR-3 KYC ensures updated director information, DPT-3 reports deposits and loan details, BEN-2 discloses significant beneficial ownership, MSME-1 tracks payments to micro and small enterprises, and MGT-14 captures board/shareholder resolutions. Failure to comply can result in monetary fines, disqualification of directors, reputational damage, and legal scrutiny. With regulations frequently evolving, businesses often struggle to stay compliant. Our firm provides end-to-end support, from identifying filing requirements to preparing documents and submitting accurate e-forms within deadlines. We act as a compliance partner, ensuring that companies and directors meet all statutory obligations without the stress of missed filings or penalties. Identifying applicable forms based on company structure. Reviewing director IDs, loan records, and SBO declarations. Preparing resolutions, declarations, and attachments. Submitting e-forms within deadlines to avoid penalties. Using DSCs and MCA portal for seamless online filing. Updating clients on new MCA circulars and rule changes. DIR-3 KYC – Director Identification & Verification Every director holding a DIN (Director Identification Number) must complete annual KYC through DIR-3 KYC. Failure to comply leads to deactivation of DIN and penalties. We manage the entire process, from validation of director details to filing, ensuring directors remain in good standing with MCA. DPT-3 – Return of Deposits and Loan Reporting Companies are required to file Form DPT-3 annually, disclosing deposits, loans, and non-deposit receipts. This filing improves transparency about a company’s liabilities and financial obligations. We prepare accurate records, reconcile loan agreements, and file DPT-3 within timelines to avoid late fees. BEN-2 – Significant Beneficial Ownership Disclosure Form BEN-2 is filed to declare the ultimate beneficial owners (SBOs) of a company. It strengthens transparency in ownership and prevents misuse of shell structures. We help identify SBOs, draft necessary declarations, and ensure proper filing to meet compliance norms. MSME-1 – Delayed Payments to MSMEs Companies that owe payments to Micro and Small Enterprises beyond 45 days must report such delays in Form MSME-1. This filing ensures accountability towards small vendors. We assist in preparing disclosures, reconciling outstanding payments, and timely submission of MSME-1. MGT-14 – Filing of Resolutions & Agreements Certain board and shareholder resolutions (like borrowings, investments, director approvals, etc.) must be filed with MCA in Form MGT-14. We draft resolutions, prepare supporting documents, and ensure filings are done in compliance with Section 117 of the Companies Act. FAQ Frequently Asked Questions (FAQs) What is DIR-3 KYC and who needs to file it? DIR-3 KYC is mandatory for all directors with a DIN. It ensures their personal and professional details remain updated with MCA. What is reported in DPT-3? DPT-3 discloses deposits, loans, and money received by a company, ensuring regulators have visibility into its liabilities. Why is BEN-2 filing important? BEN-2 helps MCA track significant beneficial owners of companies, ensuring transparency and preventing money laundering through layered ownership. Who needs to file MSME-1? Any company with outstanding payments beyond 45 days to registered MSMEs must file MSME-1, regardless of industry. Corporate Compliance with MCA Annual Filings Event-Based Filings Secretarial Support Regulatory Filings Special Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more

Robust secretarial support to strengthen governance, ensure compliance, and maintain transparency. Secretarial Support – Drafting Resolutions, Maintaining Registers, Share Transfers Corporate governance and compliance are built on strong secretarial practices. Under the Companies Act, 2013, every company is required to maintain statutory registers, pass resolutions for key decisions, and ensure proper documentation of shareholding patterns. This process, though often overlooked, is the foundation of transparency, accountability, and stakeholder confidence. Our secretarial support services cover all crucial aspects — from drafting board and shareholder resolutions to maintaining statutory registers like Register of Members, Register of Directors, and Register of Charges. We also assist in share transfers, ensuring that ownership changes are recorded correctly and in compliance with ROC requirements. With the complexities of compliance growing, companies face risks of penalties or legal scrutiny for improper secretarial records. We bring expertise in aligning secretarial practices with statutory norms, best practices in governance, and regulatory expectations. By managing documentation, records, and registers seamlessly, we free management to focus on business priorities. Our goal is to act as a long-term compliance partner, ensuring every decision and transaction is legally documented, transparent, and beyond regulatory reproach. Statutory Audits of Bank Branches as per RBI Guidelines & LFAR Reporting Concurrent Audits for Real-Time Monitoring of Transactions & Internal Controls Verification of Advances, Asset Classification, NPA Identification & Provisioning Audit of Deposits, Interest Calculations, Income Leakages & Suspense Accounts Compliance Checks for KYC, AML, Regulatory Filings & Internal Policies Support in Addressing RBI Inspection Observations & Audit Rectifications Advisory on Strengthening Risk Management & Operational Efficiency Drafting Board and Shareholder Resolutions Important business decisions like appointment of directors, issue of shares, mergers, borrowings, or investments must be documented through board or shareholder resolutions. We draft clear, legally compliant resolutions aligned with the Companies Act, Articles of Association, and SEBI guidelines where applicable. This ensures every corporate action has a proper legal foundation. Maintaining Statutory Registers and Records Registers such as the Register of Members, Register of Directors, Register of Charges, and Register of Share Transfers are mandatory under law. These registers must be kept updated and available for inspection at the company’s registered office. We maintain these registers meticulously in both digital and physical formats, ensuring audit readiness and compliance. Share Transfers and Transmission of Shares When shares are transferred or transmitted due to sale, inheritance, or gifting, accurate documentation and filings are necessary. We assist in preparing share transfer forms, updating the Register of Members, and filing with ROC if required. Our role ensures the integrity of shareholding patterns and prevents disputes. Secretarial Audit Support For applicable companies, Secretarial Audit is a key compliance requirement under Section 204 of the Companies Act. We provide full assistance by maintaining compliance records, supporting statutory auditors, and preparing necessary certifications to ensure smooth audits without non-compliance remarks. FAQ Frequently Asked Questions (FAQs) Why is drafting resolutions important for a company? Resolutions provide a legal record of decisions made by the board or shareholders. Without them, corporate actions may be challenged for validity. Which registers are mandatory for companies under the Companies Act? Registers of Members, Directors, Charges, Share Transfers, and Investments are mandatory under the Companies Act, 2013. How do you help in share transfers? We prepare transfer deeds, update the Register of Members, and ensure filings with ROC are completed for smooth and legally valid transfers. Do all companies require secretarial audit? No, only listed companies and certain prescribed classes of companies require secretarial audit. However, good secretarial practices benefit all companies. Corporate Compliance with MCA Annual Filings Event-Based Filings Secretarial Support Regulatory Filings Special Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more

Seamless handling of corporate events – ensuring every change is legally compliant and accurately reported. Event-Based Filings – Changes in Directors, Capital, Office, Auditor, Charges, etc. Corporate law requires companies to notify the Ministry of Corporate Affairs (MCA) and the Registrar of Companies (ROC) whenever there are significant changes in their structure, management, or financial framework. These filings, known as event-based filings, include changes in directors, auditors, share capital, registered office, and charges on assets. Unlike annual filings, event-based filings occur whenever such events take place. They are time-sensitive and must be reported within the statutory timelines to avoid penalties, fines, or even legal action. Many businesses overlook these requirements, leading to compliance gaps and unnecessary risks. Our firm specializes in managing event-based filings with precision and timeliness. From drafting resolutions to preparing e-forms (such as DIR-12, PAS-3, MGT-14, ADT-1, CHG-1, etc.), we ensure all events are recorded with the ROC in strict compliance with the Companies Act, 2013. By acting as compliance partners, we not only handle documentation but also provide strategic advice on how to structure corporate changes in the most efficient and legally sound manner. Statutory Audits of Bank Branches as per RBI Guidelines & LFAR Reporting Concurrent Audits for Real-Time Monitoring of Transactions & Internal Controls Verification of Advances, Asset Classification, NPA Identification & Provisioning Audit of Deposits, Interest Calculations, Income Leakages & Suspense Accounts Compliance Checks for KYC, AML, Regulatory Filings & Internal Policies Support in Addressing RBI Inspection Observations & Audit Rectifications Advisory on Strengthening Risk Management & Operational Efficiency Changes in Directors and Key Managerial Personnel (KMP) Whenever a company appoints, resigns, or changes the designation of a director or KMP, filings such as DIR-12 and MGT-14 must be submitted to the ROC. We assist in drafting board and shareholder resolutions, preparing consent letters, and filing the required forms within statutory timelines. Alteration of Share Capital Any change in authorized or paid-up share capital, including issue of new shares, rights issue, or bonus issue, requires filings like SH-7 or PAS-3. Our team ensures proper valuation, documentation, and ROC compliance while safeguarding the company’s interests and shareholder records. Change in Registered Office Address Shifting a company’s registered office, whether within the same city or to another state, requires filings under INC-22 and sometimes MGT-14. We manage end-to-end compliance including drafting resolutions, publishing notices (where required), and liaising with the ROC and Regional Director. Appointment or Resignation of Auditor Appointment of a new auditor or resignation of an existing one requires filing of ADT-1 and sometimes ADT-3 with the ROC. We ensure all steps — from board resolutions to shareholder approvals — are carried out in compliance with the Companies Act and ICAI guidelines. Creation, Modification, or Satisfaction of Charges Whenever a company creates or modifies a charge (loan/security) on its assets, filings under CHG-1, CHG-4, or CHG-9 are mandatory. We help draft charge documents, coordinate with lenders, and complete filings to safeguard the legal enforceability of such charges. FAQ Frequently Asked Questions (FAQs) What are event-based filings under MCA? Event-based filings are statutory submissions required whenever significant changes occur in a company, such as change of directors, office address, capital structure, auditors, or charges. How are event-based filings different from annual filings? Annual filings are periodic and mandatory for all companies, whereas event-based filings occur only when a specific event takes place and must be filed within prescribed timelines. What happens if a company fails to file event-based forms on time? Failure to file within deadlines attracts heavy penalties, late fees (₹100 per day of delay), and in some cases, prosecution of directors. Which forms are commonly used for event-based filings? Some key forms include DIR-12 (directors), PAS-3 (share allotments), SH-7 (capital changes), INC-22 (office changes), ADT-1 (auditors), CHG-1/CHG-4 (charges). Corporate Compliance with MCA Annual Filings Event-Based Filings Secretarial Support Regulatory Filings Special Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more

Stay compliant, stay ahead – complete MCA annual filings with accuracy and reliability Annual Filings – AOC-4, MGT-7, XBRL filings Every company registered in India under the Companies Act is required to file annual returns and financial statements with the Ministry of Corporate Affairs (MCA). These filings, including AOC-4, MGT-7, and XBRL reports, are not just routine formalities but legal obligations that establish transparency, accountability, and trust in the corporate ecosystem. Non-compliance with MCA filing requirements can lead to monetary penalties, disqualification of directors, and legal consequences. Many businesses struggle with filing complexities, changing rules, and tight deadlines. That’s where our expertise comes in we help organizations manage filings seamlessly, ensuring accuracy and timeliness. We provide end-to-end compliance solutions, from preparing and validating financial statements to filing annual returns in the prescribed formats. Whether it’s handling statutory documents, XBRL conversion, or managing ROC queries, our team ensures nothing is overlooked. With strong domain knowledge and practical experience, we act as compliance partners for businesses, ensuring they meet every MCA requirement and avoid the risks of non-compliance. We create a filing schedule and monitor deadlines for each company. Financials and returns are prepared in the required MCA formats with cross-verification. Specialized software and experts handle XBRL filings to ensure zero errors All filings comply with Companies Act, 2013, and MCA guidelines. Draft filings are reviewed before submission to eliminate risks of rejection. We provide ongoing advisory for ROC notices, penalty waivers, and compliance queries. Annual Filing of AOC-4 Financial Statements Submission Every company is required to file its audited financial statements in Form AOC-4. This includes balance sheet, profit & loss account, cash flow statements, and other statutory reports. Filing AOC-4 ensures that the company’s financial health is available in the public domain for stakeholders, regulators, and investors. We assist in preparing, validating, and filing AOC-4 with accuracy and within deadlines, avoiding penalties for late filing. Annual Return Filing with MGT-7 – Company Information Disclosure Form MGT-7 is an annual return that provides a comprehensive snapshot of the company’s structure, shareholders, directors, and compliance status. It plays a critical role in corporate transparency and regulatory reporting. Our team prepares and verifies all the required information, ensuring accurate disclosure of shareholding patterns, governance structures, and statutory compliance. XBRL Filings – Structured Data Reporting for Transparency Certain companies are required to file financial statements in XBRL (eXtensible Business Reporting Language) format. XBRL filings improve transparency, allow easier regulatory analysis, and ensure comparability of financial information. We provide complete support in converting financial data into XBRL format, validating it against MCA taxonomy, and submitting it in compliance with MCA guidelines. ROC Compliance Management & Penalty Avoidance Filing mistakes or delays often result in hefty penalties and legal notices from the ROC. We proactively manage the compliance calendar, issue reminders, and handle any clarifications or resubmissions required by MCA. Our expertise minimizes compliance risks, giving business owners peace of mind that their statutory obligations are always up to date. FAQ Frequently Asked Questions (FAQs) What is AOC-4 and who needs to file it? AOC-4 is the MCA form used to file audited financial statements of companies. All registered companies, whether public or private, must file it annually with the ROC. What is the purpose of MGT-7 filing? MGT-7 is the annual return that contains details of the company’s shareholders, directors, board meetings, and corporate governance practices. It ensures transparency in the company’s structure and compliance. Which companies are required to file in XBRL format? Companies with listed securities, subsidiaries of listed companies, and companies meeting prescribed thresholds (like paid-up capital or turnover limits) are required to file financial statements in XBRL format. What are the penalties for late MCA filings? Late filings can attract daily penalties, ranging from ₹100 per day of delay, and may also lead to director disqualification or company strike-off. Corporate Compliance with MCA Annual Filings Event-Based Filings Secretarial Support Regulatory Filings Special Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more