The Event-Based Compliances are those mandatory compliances which are other than the usual and mandatory annual and periodical compliances made by the organization with ROC and other administrative authorities. These event-based compliancesrelate to any adventitious or unforeseen tasks, events, or new dimensions of a company. Here, explore various event-based company compliances, to stay legally comprehensive.

While registering a new business, business registration seems to be the most significant part of it. Nevertheless, once a private limited company is registered as per the provisions of Companies Act, 2013, there is a lot of adaptabilities that are required to be done by them on several occasions.

In stock, the event-based company compliancesare one-time, frequent, or occasional reporting or agreements, which are both required by the concerned laws or are desirable, to remain legal perfect and protected. Every change in any registered particulars associated with the company is to be reported appropriately to the relevant ROC and other regulatory/statutory authorities. Again, the directors are entitled to ensure that the activities of the company do not deviate from the rules and provisions given in its MOA and AOA. The company acts in a fully responsible and reliable manner without making any illegal or willful negligence of its obligations, primarily including disclosure of correct information (to all people and companies concerned) about its current financial status and business activities.


  • Appointment or Resignation of a Director;
  • Appointment of Managing Director;
  • Change in the statutory auditors;
  • Transfer of Shares;
  • Increase of Authorized Capital;
  • Change of Name of Company;
  • Change of Object of Company;
  • Change in Registered Office address
  • Registration / Modification or Satisfaction of Charge etc.
  • Appointment of Auditor
  • Statutory Audit of Accounts
  • Filing of Annual Return (Form MGT-7)
  • Filing of Financial Statements (Form AOC-4)Board Meetings
  • Annual General Meeting
  • Preparation of Directors' Report
  • ITR and Audit requirement
  • Occupying DINs, DSCs, DPINs, etc.
  • Managing and Updating Statutory Registers and Records
  • Adding or Withdrawing a Director/Designated Partner
  • Planning Resolutions/Minutes related to the Board / General / Committee Meetings
  • Switching Company Name or Address
  • Modification in the MOA and AOA/LLP Agreement
  • Changing the Authorized Capital of a Company
  • Changing in Bank Signatories
  • Employment and Resignations of Directors/Auditors
  • Issuing/Allotment /Transfer of Company Shares
  • Share Transactions and Issuance of Share Certificates
  • Business/Service Extension or Diversification
  • Share Consolidation or Sub-Division
  • Business Transformation or Restructuring
  • Executing Appropriate Agreement with Related Parties
  • Private Placements
  • Right Issues
  • Disqualified Directors
  • ROC Compliances Auditing
  • Getting or Updating the Licenses required by the company
  • Planning of or making Amendments in different Contracts of the company with Outside people/entities
  • Registration, Maintenance, and Protection of the concerned Intellectual Property Rights
  • Due Diligence and related Compliance associated with Joint Venture, Mergers & Acquisitions, FDI, etc.
  • Credit Monitoring Assessment (CMA)
  • Contingent Compliances related with IPO, Stock Exchanges, and various relevant Rules and Regulations of the SEBI
  • Compliances associated with FDI in India, such as those under RBI, FEMA, etc.
  • Any adventitious compliances or reporting under the Tax Departments or GSTN
  • Event-based compliances under various concerned authorities, regulatory bodies, and laws (such as labor& employment laws, corporate and commercial laws, maritime & admiralty law, intellectual property laws, environmental laws, etc.)
  • Any advisable or wise compliances as per the Secretarial Standards I and II.
  • Winding-up of Company
  • And reporting and compliances related to other contingent events and occurrences associated with the internal and external business management and the overall corporate governance.

The documentation and filing requirements for these kinds of event-based company compliances are different and need assistance from a business expert, CA, or CS.

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