• Event-Based Compliance Services

Specific compliance requirements that arise from various events

In today’s dynamic regulatory environment, businesses must comply with various event-based compliance requirements under the Companies Act, SEBI regulations, FEMA, and other corporate laws. These compliance obligations arise due to specific corporate actions such as fund raising, changes in management, share issuances, and other corporate restructuring activities.

Our team of experienced Practising Company Secretaries ensures that companies stay compliant with all necessary legal formalities, helping them avoid penalties and legal risks while ensuring smooth business operations.

Our Event-Based Compliance Services Include:

Fund Raising & Private Placement Compliance

Raising capital requires strict compliance with SEBI, RBI, and MCA regulations. We assist companies in:

Private Placement (Section 42 of Companies Act, 2013) – Drafting of Offer Letter (PAS-4), Board & Shareholder Resolutions, Filing of Form PAS-3
Preferential Allotment (Section 62(1)(c)) – Complying with valuation and regulatory requirements
Right Issue Compliance – Drafting of Offer Letter, Shareholder Notice, and Filing with MCA
Issue of Debentures / Bonds – Filing of necessary forms, creating charge, and compliance with SEBI LODR regulations
Reporting under FDI & FEMA – Compliance with RBI and FEMA for foreign investment

Share Issuance & Transfer Compliance

Drafting and filing of Share Subscription Agreement
Allotment of shares & filing of Form PAS-3
Transfer of shares & filing of SH-4
Issuance of Share Certificates & stamping process
Buyback of shares (Section 68 Compliance) – Drafting of Buyback Offer, Board & Shareholder Resolutions, and Filing of Form SH-11

Changes in Company Structure & Management

Corporate restructuring often requires compliance with various laws and MCA filings. We assist in:

Change in Directors / KMPs – Appointment, resignation, removal of directors (DIR-12, MGT-7, DIR-3 KYC)
Change in Shareholding Pattern – Filing of necessary forms and shareholder disclosures
Change in Registered Office –
Within the same city (INC-22 filing)
Within the same state but different ROC jurisdiction (MGT-14 & RD-1 filing)
From one state to another (NCLT approval, newspaper advertisement, MGT-14 & INC-23 filing)

ESOP (Employee Stock Option Plan) & Sweat Equity Compliance

Companies issuing ESOPs or sweat equity shares need to comply with the provisions of Companies Act, 2013 and SEBI SBEB Regulations. We assist in:

Drafting of ESOP Scheme & Policy
Board & Shareholder Approvals
Filing of Forms MGT-14 & PAS-3
SEBI & Stock Exchange Compliance (for listed companies)

Deposits & Loan Reporting Compliance

DPT-3 Filing – Annual and one-time return for outstanding loans & deposits
Charge Creation / Modification / Satisfaction (CHG-1, CHG-4, CHG-9)

Annual Filings & Reporting with MCA

Filing of Annual Return (MGT-7 & MGT-7A for small companies)
Filing of Financial Statements (AOC-4 & AOC-4 XBRL)
Preparation & Filing of Directors’ Report & Annual Report
Filing of Cost Audit Report (CRA-4)

MSME Returns Compliance

Companies with MSME vendors are required to file MSME-1 detailing outstanding payments to micro and small enterprises. We assist in:

Identifying transactions covered under MSME Act
Half-yearly filing of MSME-1
Advisory on MSME compliance & delayed payment issues

Buyback of Shares & Capital Reduction Compliance

Drafting of Buyback Offer Letter & Board Resolutions
Filing of Form SH-8, SH-9 & SH-11 with MCA
SEBI & Stock Exchange Compliance (for listed companies)
Capital Reduction through NCLT approval (if applicable)

Other Corporate Actions & Event-Based Compliances

Conversion of Private Limited Company to Public Limited & vice versa
Conversion of LLP to Private Limited Company
Shifting of Registered Office from one State to another
Strike-off / Closure of Company (STK-2 filing)
Appointment of Auditors & ADT-1 filing
Filing of Resolutions with MCA (MGT-14 & other required filings)
  • We, at CSAKS, are dedicated to delivering personalized, high-quality solutions tailored to meet your financial and business needs. With our team of professionals and a client-first approach, we ensure that every challenge is met with expert guidance and strategic insight. We are dedicated to ensuring your business’s success by providing best service practice available in the industry and that too at a cost effective pricing. Our team of experts is excited to work with you and provide the support you need to thrive in the Indian business landscape.
  • Our Capabilities

Why Choose Us?

Experienced Team

A highly skilled and dynamic team of Company Secretaries, legal professionals, and business advisors

Proven Track Record

Successfully assisting a diverse clientele across multiple sectors

Industry Expertise

In-depth knowledge of corporate laws, securities laws, and regulatory frameworks

Pan-India Presence with Northern India Focus

Assisting businesses with local expertise and national reach

Partner with us for a seamless and hassle-free experience from inception to successful execution. We take pride in managing the complexities, and ensuring compliance and regulatory conformity, so you can dedicate your efforts to driving business development and advancement. Contact us now and take the first step toward success!