Shweta Saboo & Co.

Event-Based Compliance

Event-Based Compliance refers to statutory filings and disclosures triggered by specific corporate actions or changes within a company or LLP — such as change in directors, registered office, share capital, or company structure.

These are separate from annual compliance and are mandatory under the Companies Act, 2013, LLP Act, 2008, and applicable ROC guidelines.

Non-compliance with event-based requirements can result in penalties, legal complications, or invalidation of changes.

Our Event-Based Compliance service ensures that all such corporate changes are correctly documented, timely filed, and fully compliant — so your business operations remain uninterrupted and legally sound.

Key Features

Director-Related Filings

Appointment, resignation, or change in designation of directors through DIR-12, DIR-3 KYC, and related forms.

Change in Registered Office

Filing of INC-22 and necessary resolutions for change of registered office within city, state, or interstate.

Share Capital Alterations

Assistance with SH-7, PAS-3, and related filings for increase in authorized capital or share issuance.

Name or Object Clause Change

Filing of MGT-14, INC-24, and INC-20A for change in company name or business objectives.

Charge Registration & Modification

Filing of CHG-1, CHG-4, and CHG-9 for creating, modifying, or satisfying charges with lenders.

Allotment & ESOP Compliance

Legal support and ROC filings for allotment of shares via private placement, rights issue, or ESOPs.

LLP Agreement Changes

Drafting and filing of revised LLP agreements via Form 3 and Form 4 for partner changes or structural updates.

Resolutions & Agreements Filing

Drafting and filing of MGT-14 for board and shareholder resolutions that need ROC submission.

Entity Conversion Assistance

End-to-end guidance for converting a private company to public, LLP to company, or vice versa.

Information Checklist

Depending on the event, the following documents/details are usually required:

For Director Change:

PAN & DIN of incoming/outgoing director
Board resolution for appointment/resignation
Consent letter (DIR-2)
DIR-12 form and attachments

For Registered Office Change:

New address proof (utility bill)
NOC from owner or rent agreement
Board/shareholder resolution
Form INC-22 and related attachments

For Share Allotment or Capital Change:

Board and shareholder resolutions
PAS-3 filing details
SH-7 for authorized capital increase
Valuation report (if required)

For LLP Changes:

Revised LLP agreement
Consent of partners
Form 3 and Form 4

For Charge Creation/Modification:

Loan agreement/sanction letter
Board resolution
Form CHG-1 or CHG-4 with banker’s certificate

For Other Events:

Updated MOA/AOA (for object or name change)
Special resolutions
Central Government approvals (if required)
MCA challans and fee details

FAQs

What is event-based compliance?

Event-based compliance involves statutory filings required due to specific corporate events like change in directors, share capital, registered office, or other structural/business changes.

How is event-based compliance different from annual compliance?

Annual compliance is routine and periodic (like filing AOC-4, MGT-7), while event-based compliance is triggered by specific changes within the organization and must be filed at the time of occurrence.

What happens if event-based filings are not done on time?

Failure to file event-based forms can result in heavy penalties, invalidation of the event (e.g., share allotment), or legal action under the Companies Act, 2013.

What is the timeline for filing DIR-12 for a new director?

DIR-12 must be filed within **30 days** of appointment or resignation of a director along with necessary board resolutions and consent forms.

Is ROC filing required for every change in LLP agreement?

Yes, any change in the LLP agreement or change in partners must be filed with the ROC using Form 3 and Form 4 within **30 days** of such change.

Can your firm manage multiple event-based filings at once?

Absolutely. We offer bundled compliance support for startups and growing companies with frequent changes — covering multiple events under a single engagement.

Do name or object clause changes require government approval?

Yes, name changes require approval via **INC-24**, and changes in the object clause require special resolutions and filing of **MGT-14** and updated MOA with ROC.

Are event-based filings applicable to dormant companies?

Yes, even dormant or non-operational companies must file event-based forms if any such corporate action takes place.

Is it mandatory to appoint a CA/CS for filing these forms?

While some basic forms can be self-handled, most require professional certification from a Chartered Accountant, Company Secretary, or Cost Accountant to ensure legal validity.

Do you provide document drafting support as well?

Yes, we offer full support — including drafting board resolutions, shareholder resolutions, consents, notices, and supplementary agreements — all customized to your event.