Compliance & Diligence Services
Corporate compliance fails quietly. Nobody notices a missed form until a bank asks for the last three years of filings, an investor's counsel opens the register of members, or a strike-off notice arrives. By then the cost of fixing it is a multiple of the cost of doing it on time — and in some cases the officers, not just the company, carry the penalty.
We run compliance as a managed calendar. Due dates are mapped at the start of the year, documents are requested in advance, forms are filed within time, and every filing comes back to you with its challan and acknowledgement. You are told what is coming rather than what has been missed.
What we do
Financial statements in AOC-4 (and AOC-4 XBRL where applicable), annual return in MGT-7 or MGT-7A, directors' report, AGM notice and minutes, and the board papers behind them.
Director appointments and resignations, share allotments and transfers, changes to the registered office, MOA and AOA amendments, charge creation, modification and satisfaction, and auditor appointments and casual vacancies.
DPT-3, DIR-3 KYC, MSME-1, BEN-1 and BEN-2, and FLA and FC-GPR reporting where there is foreign investment.
Maintaining and reconstructing registers of members, directors, charges and related party contracts; minute books drawn to Secretarial Standards SS-1 and SS-2.
LODR calendars, quarterly and annual disclosures, corporate governance reports, board and committee process, and insider trading code administration.
A named Company Secretary handling the full secretarial function for companies that do not need a full-time appointment.
A review of the last three to five years of filings, registers and minutes, with a gap list and a plan to regularise.
For investors, acquirers and lenders, and vendor-side diligence for companies preparing to be examined.
Condonation of delay, compounding, adjudication and revival of struck-off companies.
Who this is for
Growing private companies without an in-house secretarial team; India subsidiaries reporting to a foreign parent; listed and IPO-bound companies; and investors, acquirers and lenders who need a company examined before they commit money.
Two sides of the same skill
The FAQs
At minimum: holding the board meetings and the annual general meeting within the prescribed periods, preparing the directors' report and financial statements, filing AOC-4 and MGT-7 or MGT-7A with the Registrar, maintaining statutory registers and minute books, filing DIR-3 KYC for every director, and filing DPT-3. Depending on the company there may also be MSME-1, BEN-2, FLA, FC-GPR and charge-related filings.
Late filing attracts additional fees that escalate with the delay, and prolonged default exposes directors to disqualification and the company to removal from the register. It is almost always recoverable. The route depends on how long the default has run and whether the company has already been struck off — in which case restoration before the NCLT may be needed before anything else can be filed.
Typically: constitution and corporate history, share capital and the register of members, board and shareholder approvals, statutory filings, material contracts, borrowings and charges, related party transactions, employment and labour compliance, property and intellectual property, litigation and regulatory notices, and licences. The output is a report that separates genuine deal issues from housekeeping.
