Compliances
Compliance means following the laws, regulations, guidelines, and standards applicable to a business or organization. It helps businesses avoid penalties, reduce risks, and build a strong reputation in the market.
Whether it is a company, LLP, or NBFC, all have to follow the compliance requirements for maintaining transparency, accountability, and trust with regulators, stakeholders, and customers.
It is the process of ensuring that a company follows all legal and regulatory requirements applicable to it.
Annual Compliances
| S. No. | Forms | For What |
|---|---|---|
| 1 | FORM AOC-4 / AOC-4 CFS / AOC-4 XBRL | Filing of Financial Statements |
| 2 | FORM MGT-7 / MGT-7A | Filing of Annual Return |
| 3 | FORM MGT-15 | Report on AGM |
| 4 | FORM DPT-3 | Return of Deposits / Loans |
| 5 | DIR-3 KYC | Directors KYC Verification |
| 6 | FORM MSME-1 (Half Yearly) | Reporting outstanding payments to MSMEs |
Other Compliances
| Forms | For What |
|---|---|
| INC-20A | Declaration of Commencement of Business |
| INC-22 | Change in Registered Office |
| INC-24 | Change of Name of Company |
| MR-1 | Appointment of MD / WTD / Manager |
| DIR-12 | Change in Directors or KMP |
| SH-7 | Increase in Authorized Share Capital |
| SH-11 | Buy Back of Securities |
| MGT-14 | Filing of Resolutions and Agreements (e.g., change in object clause, related party transactions, changes in shareholding pattern, etc.) |
| PAS-3 | Increase in Paid-up Share Capital (Issue of Securities) |
| PAS-6 | Reconciliation of Share Capital Audit Report (for Public Companies) |
| CHG-1 | Creation / Modification of Charge (Change in Secured Borrowing) |
| CHG-4 | Satisfaction of Charge |
| ADT-1 | Appointment of Auditor |
| ADT-3 | Resignation of Auditor |
| STK-2 | Strike Off Application |
| MSC-1 | Application for Dormant Status |
Compliances of Limited Liability Partnership
| Forms | For What |
|---|---|
| Form 11 | Annual Return of LLP |
| Form 8 | Statement of Accounts & Solvency of LLP |
| Form-3 | Filing the LLP Agreement |
| Form 5 | Notice for Change of Name |
| Form 15 | Notice for Change of Place of Registered Office |
| Form 24 | Application for Striking Off |