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Compliance Services in India – Companies Act, Income Tax, GST, FEMA, SEBI LODR, Labour & Secretarial Compliance Calendar, MGT-7 / AOC-4 / DPT-3 / DIR-3 KYC Filings & Year-Round Regulatory Advisory
India has emerged as one of the most heavily regulated business environments in the world — a typical operating company today juggles obligations under the Companies Act 2013, Income Tax Act 1961, CGST / SGST / IGST Acts 2017, FEMA 1999, SEBI LODR Regulations 2015, EPF & MP Act 1952, ESI Act 1948, Shops & Establishments Acts, Professional Tax statutes, POSH Act 2013, Indian Stamp Act, MSMED Act 2006, Trademark / IP statutes, and DPDP Act 2023 — every single financial year. The compliance universe runs into hundreds of returns, declarations, registers, certifications, and event-based filings — MGT-7, AOC-4, DPT-3, DIR-3 KYC, BEN-2, MSME-1, MGT-14, INC-22, ADT-1, CSR-2, Form 3CD, Form 26AS, GSTR-1 / 3B / 9 / 9C, e-invoice, e-way bill, FLA, FC-GPR / FC-TRS, ECB-2, EPF ECR, ESI Form 5, POSH annual report, and dozens more.
Missed compliance has become extraordinarily expensive in India. Late filing of MGT-7 attracts ₹100 per day continuous penalty with no upper cap; non-filing for 3 consecutive years triggers Section 164(2) DIN deactivation for every director; GST late filing adds ₹50 per day plus 18% interest; TDS default attracts 1% / 1.5% per month interest plus Section 271H penalty; SEBI LODR breaches invite ₹10,000–₹1 crore fines; missed BEN-2 / DPT-3 / MSME-1 fillings invite continuing penalties under Sec 89 / Sec 76A. Our compliance services deliver an integrated, technology-enabled compliance backbone — calendar-driven secretarial, tax, GST, FEMA, SEBI, and labour filings; quarterly compliance reviews; statutory auditor and secretarial auditor liaison; pre-audit cleanup; and Sec 441 compounding where legacy gaps exist. Whether you are a single-entity SME, a multi-state group, an Indian listed entity under SEBI LODR, or a foreign-owned subsidiary with FEMA / FDI flows, our compliance service plugs into your finance / secretarial team and delivers year-round predictability.
200+ Filings
Per Listed Company / Year
12+ Statutes
Across Compliance Universe
Sec 164(2)
3-Yr DIN Risk
Sec 441
Compounding Route
Statutes & Frameworks We Work Under
Companies Act 2013
Income Tax Act 1961
CGST / SGST / IGST 2017
FEMA 1999
SEBI LODR 2015
SEBI ICDR / PIT
EPF & MP Act 1952
ESI Act 1948
Shops & Estab. Acts
POSH Act 2013
DPDP Act 2023
MSMED Act 2006
Indian Stamp Act
CSR Rules / Sec 135
Compliance Use Cases We Handle
Pvt Ltd / SME
Private / SME Compliance Backbone
End-to-end annual ROC, IT, GST, EPF / ESI, professional tax, and POSH compliance for Pvt Ltd / LLP / OPC entities — calendar-driven, single-window, with ownership and accountability.
- MGT-7 / AOC-4 annual
- DPT-3 / BEN-2 / MSME-1
- DIR-3 KYC every director
- GSTR-1 / 3B / 9 / 9C
- EPF ECR / ESI Form 5
- POSH annual report
Listed Cos
Listed Co (SEBI LODR)
SEBI LODR Regs 2015 compliance — board / committee composition, periodic financial results (Reg 33), corporate governance (Reg 27), insider trading PIT, related-party transactions (Reg 23), BRSR.
- Reg 30 disclosures
- Reg 33 financial results
- Reg 27 CG report
- Reg 23 RPT compliance
- SEBI PIT 2015 + UPSI
- BRSR / BRSR Core
Foreign-Owned
Foreign-Owned / WOS Compliance
FEMA + ROC + IT + GST stack for foreign-owned subsidiaries / WOS — FC-GPR, FC-TRS, ECB-2, FLA return, transfer pricing (Form 3CEB), GAAR review, and equalisation levy.
- FC-GPR within 30 days
- FC-TRS on transfer
- FLA return by 15 July
- Form 3CEB TP cert
- ECB-2 monthly return
- Equalisation levy
Multi-State
Multi-State Group Compliance
Group with multi-state operations — state-wise GST, professional tax, Shops & Establishments, labour welfare fund, contract labour licensing, and consolidated MIS.
- State-wise GSTIN
- State PT registration
- Shops & Estab. (state-wise)
- LWF state-wise
- Contract Labour Licence
- Consolidated dashboard
Sec 8 / NGO
Section 8 / NGO / Trust
Sec 8 Cos / Trusts / Societies — Sec 12AB renewal, Form 10B / 10BB audit, Form 10BD / 10BE donation reporting, FCRA FC-4 annual, CSR-1 implementer registration, ITR-7.
- Sec 12AB / 80G renewals
- Form 10B / 10BB audit
- Form 10BD / 10BE donations
- FCRA FC-4 annual
- CSR-1 / CSR-2 reporting
- ITR-7 filing
Pre-IPO / DD
Pre-IPO & M&A Diligence Cleanup
Pre-listing / pre-deal diligence — secretarial audit MR-3, ROC search, charge cleanup, Sec 441 compounding of legacy defaults, and remediation pack for underwriter / acquirer.
- MR-3 secretarial audit
- ROC search clean
- Charge satisfaction
- Sec 441 compounding
- Director Sec 164(2) defence
- Remediation pack
Key Compliance Concepts You Must Know
MGT-7
Annual Return
Annual return under Sec 92 — within 60 days of AGM (typically by 29 November); contains shareholder, director, RPT, and indebtedness data; certified by company secretary for prescribed companies.
60-Day TAT
CS Certified
AOC-4
Financial Statement Filing
Filing of audited financial statements under Sec 137 within 30 days of AGM (typically by 30 October); CFS for parent, consolidation under AS / Ind AS, AOC-4 XBRL for prescribed cos.
30-Day TAT
XBRL Where Required
DIR-3 KYC
Director Annual KYC
Every DIN holder must file Form DIR-3 KYC by 30 September each year; non-filing leads to DIN deactivation and ₹5,000 reactivation fee. Mandatory even for resigned directors holding active DIN.
30 Sept Deadline
Per-DIN
Sec 92 / 137
Penalty Architecture
Late MGT-7 / AOC-4 attracts ₹100 per day continuous penalty with no upper cap — runs until filing; aggregates rapidly across multiple years.
₹100 / Day
No Cap
Sec 164(2)
Director Disqualification
Directors of companies that fail to file financial statements / annual returns for 3 consecutive financial years face disqualification under Sec 164(2) — 5-year DIN deactivation across all companies.
3-Year Default
5-Year Bar
Sec 173 / 96
Board / AGM Cadence
Sec 173 — minimum 4 board meetings per year with gap not exceeding 120 days. Sec 96 — AGM within 6 months of FY-end; first AGM within 9 months of first FY-end. Compulsory secretarial discipline.
4 Board / Year
AGM 6-Month
Sec 135 / CSR
CSR Obligation
Net worth ≥ ₹500 cr OR turnover ≥ ₹1,000 cr OR net profit ≥ ₹5 cr triggers Sec 135 CSR @ 2% of average 3-year net profit; Form CSR-1 implementer registration; Form CSR-2 annual report.
2% Spend
CSR-1 / CSR-2
Sec 441
Compounding Window
Compounding under Sec 441 of the Companies Act 2013 — by NCLT for offences exceeding ₹25 lakh fine, by Regional Director below; voluntary disclosure, penalty mitigation, full closure of the offence.
NCLT / RD
Penalty Cap
Our Year-Round Compliance Services
ROC Annual Compliance
MGT-7, AOC-4 (or AOC-4 XBRL / AOC-4 NBFC), board / AGM minutes, DIR-3 KYC, MGT-14 for resolutions, INC-22 for office, ADT-1 for auditor, and ROC compliance calendar.
Event-Based ROC Filings
DIR-12 for director changes, SH-7 for capital alteration, PAS-3 for allotment, CHG-1 / CHG-4 for charges, INC-22 for office, BEN-2 for SBO, DPT-3 / MSME-1 / DIR-3 KYC.
Secretarial Audit (MR-3)
Sec 204 secretarial audit for prescribed companies — Companies Act, FEMA, SEBI, DPDP, and labour-law compliance verification; MR-3 report and Board's response.
Income Tax Compliance
Advance tax (Sec 211), TDS / TCS quarterly returns, Form 26AS reconciliation, ITR filing, Form 3CD tax audit, Form 3CEB transfer pricing, Form 67 foreign tax credit.
GST Compliance
Monthly GSTR-1 / GSTR-3B, IFF / QRMP, e-invoicing, e-way bill, ITC reconciliation, GSTR-2B match, annual GSTR-9, GSTR-9C audit, refund filings, and notice handling.
FEMA / FDI Compliance
FC-GPR within 30 days of allotment, FC-TRS on transfer, FLA annual return by 15 July, ECB-2 monthly, ODI APR, branch / liaison FEMA AAC, and FEMA NDI Rules audit.
SEBI LODR & PIT
Reg 30 event disclosures, Reg 33 quarterly results, Reg 27 corporate governance, Reg 23 RPT, BRSR / BRSR Core, SEBI PIT 2015 — UPSI register, structured digital database (SDD), insider window.
EPF / ESI / Labour Welfare
EPF ECR monthly, ESI Form 5, PT half-yearly, Shops & Establishments renewals, LWF state-wise, Sec 25-A returns, Form V minimum wages, contract labour licence renewals.
POSH & DPDP Compliance
POSH ICC constitution, annual report, training, awareness; DPDP Act 2023 — privacy notices, consent management, DPO appointment (where applicable), data-breach response framework.
CSR (Sec 135) Compliance
Sec 135 applicability test, CSR Committee setup, CSR policy, Form CSR-1 implementer onboarding, Form CSR-2 annual report, ongoing-project structure, unspent CSR Fund handling.
Compliance Calendar & Dashboard
Single-window compliance dashboard — entity-wise / law-wise / due-date-wise; owner mapping, escalation paths, audit-grade evidence repository, and CFO / Board MIS.
Sec 441 Compounding & Cleanup
Diagnostic of legacy defaults, voluntary compounding under Sec 441 of the Companies Act, FEMA compounding under Sec 13 of FEMA, GST amnesty windows, and CODS-style schemes.
When You Need Our Compliance Support
FY-End / Audit Approaching
FY-end 31 March drives statutory audit, tax audit (Sec 44AB), Form 3CD, Ind AS / AS reporting, ROC year-end pack — plug compliance gaps before auditor walk-through.
Annual Filings Backlog
Multiple years of MGT-7 / AOC-4 / DPT-3 / DIR-3 KYC pending — risk of Sec 164(2) DIN deactivation; immediate catch-up plan with Sec 441 compounding where applicable.
Investment / Funding Round
PE / VC funding round — pre-money diligence demands clean compliance trail, secretarial audit, FEMA / FDI compliance, and SHA-aligned MOA / AOA.
Pre-IPO Conversion
Pvt Ltd → Public Ltd, SEBI ICDR Reg 5 eligibility, MR-3 secretarial audit, capital cleanup, MOA / AOA refresh, KMP induction, and SEBI LODR readiness.
FEMA / FDI Receipt
Foreign investment received — FC-GPR within 30 days, KYC pack, share certificate issuance, valuation report, DIPP route mapping, and FLA preparation.
SEBI Show-Cause Notice
SEBI LODR / PIT show-cause for missed disclosure / RPT / insider trading — strategic response, settlement / compounding, and ongoing remediation.
CSR Threshold Crossed
Net worth / turnover / profit thresholds under Sec 135 crossed — CSR Committee, policy, CSR-1 implementer onboarding, project planning, and CSR-2 reporting.
Group Restructuring / M&A
Inter-group merger, demerger, slump sale, or share-swap — Sec 230-232, NCLT scheme, MGT-14, AOC-4 / MGT-7 timing, FEMA NDI realignment, GST and IT impact.
Documents Needed for Compliance Engagement
Corporate & Governance
- MOA & AOA (latest)
- CIN / PAN / GSTIN
- Board / AGM minutes
- Statutory registers
- Director / KMP DIN list
- Last filed MGT-7 / AOC-4
- Charge register / search
Tax & GST
- Latest ITR / Form 26AS
- TDS / TCS challans
- GSTIN list (state-wise)
- GSTR-1 / 3B / 9 / 9C
- ITC ledger / 2B match
- Form 3CD / 3CEB
- Notices / orders pending
Labour & Other
- EPF / ESI registration
- PT registration (state-wise)
- Shops & Estab. licences
- Contract labour licences
- POSH ICC composition
- FEMA AD bank letters
- SEBI LODR filings (listed)
Our Compliance Engagement Process
1
Health Check & Gap Analysis
Compliance health diagnostic across ROC, IT, GST, FEMA, SEBI, labour, DPDP — gap memo with criticality, penalty exposure, and remediation roadmap.
2
Calendar & Dashboard Setup
Entity-wise compliance calendar, owner mapping, escalation matrix, evidence repository, and CFO / Board MIS dashboard.
3
Filing & Documentation
Calendar-driven monthly / quarterly / annual filings — ROC, IT, GST, FEMA, SEBI, labour — with audit-grade documentation pack.
4
Periodic Review
Quarterly compliance review with management, auditor liaison, secretarial audit (MR-3) coordination, and proactive issue identification.
5
Remediation & Cleanup
Sec 441 compounding for legacy defaults, FEMA compounding, GST amnesty filings, response to SCNs, and director Sec 164(2) defence.
Why Choose Us for Compliance Services
✓
Single-window compliance
✓
12+ statutes coverage
✓
Calendar & dashboard tech
✓
SEBI LODR specialists
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FEMA / FDI experts
✓
MR-3 secretarial audit
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Sec 441 compounding
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Pre-IPO / DD ready
FAQs on Compliance Services
What are the major annual ROC filings every company must do?
Mandatory ROC annual filings: MGT-7 (Annual Return) under Sec 92 within 60 days of AGM (typically by 29 November); AOC-4 (Financial Statement) under Sec 137 within 30 days of AGM (typically by 30 October); DIR-3 KYC by every DIN holder by 30 September; DPT-3 (Deposits / Non-Deposits) by 30 June; BEN-2 (Significant Beneficial Owner) on event basis; MSME-1 (Half-Yearly MSME outstanding) by 30 April and 31 October; ADT-1 (Auditor appointment) within 15 days of appointment. Additional event-based filings — DIR-12, SH-7, PAS-3, CHG-1 / CHG-4, MGT-14, INC-22 — apply on triggering events. Listed cos additionally do BRSR / BRSR Core.
What is Sec 164(2) director disqualification and how to avoid it?
Under Section 164(2) of the Companies Act 2013, directors of any company that fails to file financial statements or annual returns for 3 consecutive financial years face automatic disqualification — their DIN is deactivated across all companies in which they hold directorship, and they cannot accept fresh directorships for 5 years. The MCA periodically runs disqualification drives to enforce this provision. To avoid Sec 164(2): (a) maintain disciplined annual filings; (b) for legacy defaults, file pending returns urgently with applicable late fees; (c) where 3-year default has already occurred, defence routes include — Sec 252 restoration (if company is struck off), Sec 441 compounding, writ petition before the High Court for procedural defects, and use of any active MCA amnesty scheme.
How does the compliance penalty stack up for late MGT-7 / AOC-4?
Late filing of MGT-7 (annual return) and AOC-4 (financial statements) attracts continuous additional fee of ₹100 per day per form from the due date till actual filing — with no upper cap. For a company missing both forms by say 365 days, the cumulative additional fee reaches ₹73,000+ per form (₹1,46,000 combined); over multiple years, the exposure runs into lakhs. Beyond money, the directors and the company face prosecution under Sec 92(5) and Sec 137(3) — fine on the company up to ₹5 lakh, plus officer-in-default fine of ₹1 lakh + per-day continuing fine. The most consequential exposure is the Sec 164(2) DIN deactivation on 3-year continuous default. Catching up early is dramatically cheaper than catching up late.
What is the SEBI LODR Regulation 30 disclosure obligation?
Regulation 30 of SEBI (LODR) Regulations 2015 requires every listed entity to make timely disclosure of material events / information to the stock exchanges. The regulation distinguishes between Para A events (always material — e.g., acquisitions, mergers, fund-raising decisions, change in control, change in directors / KMP, credit rating, defaults) and Para B events (material if meeting the materiality policy / quantitative thresholds). Disclosures must reach the exchanges within 30 minutes (for board outcomes), 12 hours (for market-moving events), or 24 hours (for other Para A / B events), with the materiality policy adopted by the Board. Recent SEBI amendments have tightened materiality thresholds (lower of 2% of turnover, 2% of net worth, or 5% of net profit), expanded Para A list, and introduced timeline strictures.
What is Section 441 compounding and when is it useful?
Section 441 of the Companies Act 2013 permits voluntary compounding of offences punishable with fine (and certain offences punishable with fine or imprisonment), before the NCLT (where maximum fine exceeds ₹25 lakh) or the Regional Director (RD) for smaller offences. Useful where: (a) the company has multi-year ROC / DPT-3 / DIR-3 KYC defaults; (b) directors are facing or near-facing Sec 164(2) DIN deactivation; (c) pre-IPO / pre-deal cleanup is needed; (d) regulator notice has been received. The application requires voluntary admission, computation of period and quantum of default, payment of compounding fee, and a hearing — leading to a final order that closes the offence and protects directors from personal prosecution. FEMA contraventions have a parallel compounding regime under Sec 13 of FEMA before the RBI Compounding Authority.
What does CSR compliance under Section 135 involve?
Section 135 of the Companies Act 2013 applies to companies with net worth ≥ ₹500 crore OR turnover ≥ ₹1,000 crore OR net profit ≥ ₹5 crore in the immediately preceding FY. Such companies must: (a) constitute a CSR Committee of the Board with at least one independent director; (b) formulate a CSR policy aligned with Schedule VII activities; (c) spend at least 2% of average net profit of preceding 3 FYs on CSR every year; (d) any unspent CSR money for ongoing projects must be transferred to a Unspent CSR Account within 30 days of FY-end and spent within 3 FYs; otherwise transferred to a Schedule VII fund within 30 days; (e) file Form CSR-1 (implementer onboarding) and Form CSR-2 (annual CSR report). Implementing partners (NGOs / Sec 8) must hold valid Sec 12AB / 80G and CSR-1 registration.
What is the DPDP Act 2023 and is it operative?
The Digital Personal Data Protection Act 2023 (DPDP Act) is India's first comprehensive personal-data protection statute, replacing the limited IT Act 2000 + IT Rules 2011 SPDI framework. It introduces concepts of Data Principal (individual), Data Fiduciary (entity processing data), Significant Data Fiduciary (SDF), consent-based processing, Data Protection Officer (DPO), Data Protection Board, breach notifications, parental consent for minors, and Data Principal rights (access / correction / erasure / grievance). Penalties go up to ₹250 crore per breach. The Act is partially notified — implementing rules and enforcement timelines have been progressively rolled out by MeitY. Companies handling personal data — almost every business — should already have privacy notices, consent flows, breach playbooks, vendor DPAs, and DPO arrangements (where applicable as SDF) in place; full compliance maturity is a multi-quarter journey.
Compliance Predictable. Penalties Avoided. Audit-Ready Year-Round.
Partner with our compliance specialists for end-to-end Companies Act, IT, GST, FEMA, SEBI LODR, labour, POSH, and DPDP compliance — calendar-driven filings, MR-3 secretarial audit, Sec 441 compounding, and CFO / Board dashboards for FY 2026–27.
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