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Event Based Legal Compliances

Some legal compliances have to be done on occurence and non occurence of a particular event by Companies and NGOs in India.

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Event Based Compliances have to be done from time to time.

Change in Object Clause

Process for changing the object clause can be initiated through the passing of a special resolution, which is mentioned in section 13 of the Act.

Change in Name Clause

Process of changing the name of a company involves passing a special resolution in a board meeting, followed by obtaining approval from the ROC.

Change in Registered Address

As a company grows and expands its operations, there may arise a need to change its registered office address.

Change in Capital

Process of altering the capital clause in the Memorandum of Association (MOA) of a company in India is a complex and extensive procedure. 

Change in Directorship

Company has to make changes in Board of directors as and when a director resigns, retires or looses eligibility to stay Director in Company.

Removal of Director

There are several reasons why a director may be removed from a company. One common reason is frequent absenteeism from board or committee meetings.

Transfer of Shares

The term “transfer of shares” means the procedure of transferring the ownership of shares from one individual (known as the transferor) to another (the transferee).

Winding up of Company

In India, there are two main methods of ending a business: voluntary winding up and winding up through a legal Tribunal.

Closure of LLP

When an LLP decides to close voluntarily, they must choose someone to be responsible for overseeing the winding up process.

Closure of HUF

Dissolving a Hindu Undivided Family (HUF) in India requires a few important steps that must be followed diligently.

Winding up of Company

In India, there are two main methods of ending a business: voluntary winding up and winding up through a legal Tribunal.

Closing Partnership firm

Closing partnership business, it means that its operations will come to an end and the partnership agreement will be terminated. 

Revival of Company

The process of bringing a struck-off company back to existence requires various steps and conditions.

Proprietorship to Partnership

Converting from proprietorship to partnership is a vital step for taking your business to the next level. It can help you expand your business.

Proprietorship to LLP

As a sole proprietorship firm has only one person, it cannot be converted directly into an LLP. In such a case, the conversion can be done by either closing the proprietorship and registering an LLP.

Proprietorship to Private Limited Company

Converting your proprietorship to a private limited company can offer advantages such as limited liability, enhanced market credibility, and improved access to funding.

Partnership to LLP

Conversion of Partnership to LLPs offers greater flexibility, such as allowing unlimited partners, and limited liability for partners.

Partnership to Private Limited Company

Converting a partnership firm into a private limited company has become more desirable as the benefits of having a separate legal entity are immense.

LLP to Private Limited Company

Converting an LLP into a Private Limited Company can be a smart move for businesses looking to infuse equity capital and gain more credibility with investors.

Private Limited Company to Public Limited Company

The process of converting a private company into a public company requires thorough planning and execution.

Private Limited Company to One Person Company

One Person Companies (OPCs) have become increasingly popular as a means for entrepreneurs to create and manage a company with only one member.

Private Limited Company to Section 8 Company

The Companies Act, 2013 regulates a Section 8 Company, which has the aim of promoting charitable or social welfare activities.

Table of Contents

Event-Based Compliances

It is extremely important for companies and firms that are functioning in India to abide by the laws and regulations. Aside from the yearly compliances, there are particular compliance requirements that must be met when certain events or transactions occur during the lifespan of a company. This article will furnish a complete guide to help businesses understand the requirements of these event-based compliances in India. Proper comprehension of these compliance regulations is crucial to avoid charges and consequences, and maintain favorable relations with the authorities.

  1. Making sure all legal requirements are followed before and after a company is formally established is crucial. This includes following proper procedures for forming a company as well as ensuring that all necessary documents are filed with government agencies. Failure to comply with these regulations can result in serious legal issues for the company and its owners. Therefore, it is essential to take all necessary steps to ensure complete compliance.

In order to file necessary paperwork with regulatory authorities, every potential director of the company needs to acquire a Digital Signature Certificate (DSC).

To establish a business, one must reserve an exclusive name for their company beforehand by utilizing the Ministry of Corporate Affairs (MCA) website.

During the process of incorporation, it is necessary to prepare, sign, and submit the Memorandum of Association (MOA) and Articles of Association (AOA) of the company to the Registrar of Companies (RoC).

The MOA and AOA require payment of stamp duty, which is determined by the authorized share capital of the company.

2. Allotment and Transfer of Shares

2.1. Distribution of Stocks: A corporation, upon distributing new stocks, is required to adhere to the relevant guidelines of the Companies Act of 2013, in addition to other affiliated regulations. The corporation must complete and record the essential paperwork with the Registrar of Companies (RoC), furnish share certificates to the individuals who received the allotment, and maintain accurate records of their distribution.

2.2. Shares Transfer: The corporation is responsible for obeying the transfer provisions outlined in the MOA, AOA, and the Companies Act, 2013, when existing shares are transferred from one shareholder to another. The transfer must be documented appropriately, and all required forms and documents must be filed with the RoC.

3. Changes in Capital Structure

If a company intends to raise its authorized share capital, it must adhere to the process described in the Companies Act, 2013. This includes passing a special resolution, submitting appropriate forms to the RoC, and paying the required stamp duty.

In order to issue bonus shares or split existing ones, companies are required to follow the applicable rules stated in the Companies Act, 2013. This includes submitting the necessary forms and paperwork to the RoC, as well as keeping accurate records of the bonus issue or stock split.

If a company wants to decrease its share capital, it must follow the steps outlined in the Companies Act of 2013. This includes receiving consent from shareholders, obtaining approval from the National Company Law Tribunal (NCLT), and submitting the required documentation to the Registrar of Companies (RoC).

4. Changes in Board of Directors

4.1 In order to appoint new directors, the company must adhere to the rules outlined in the Companies Act, 2013. This involves getting approval and a Director Identification Number (DIN) from the potential directors, carrying out a thorough investigation of them, submitting required documents to the Registrar of Companies (RoC), and keeping the company’s records and files up to date.

4.2 If a director steps down or is dismissed, the company must adhere to the guidelines outlined in the Companies Act of 2013. This involves completing and submitting the required paperwork to the Registrar of Companies, maintaining accurate records, and complying with applicable regulations.

4.3. Modification in Director’s Interest: In case any alteration occurs in the director’s involvement, like a change in the ownership stake or role as a director in other firms, he/she needs to inform the company and the RoC about it for transparency.

5. Change in Registered Office

If a company decides to modify its registered office address, it must adhere to the guidelines of the Companies Act, 2013. This necessitates acquiring consent from shareholders, informing the RoC, making a general announcement, and submitting all required paperwork to the RoC.

6. Modifications made to the Constitution and other important records

6.1 Any changes made to the company’s MOA and AOA must adhere to the regulations outlined in the Companies Act, 2013. The company must pass a special resolution, complete the required paperwork with the RoC, and keep its records updated.

6.2 Modifying other important documents, such as partnership agreements, LLP agreements, or trust deeds, must comply with the laws that regulate those entities.

7. Merger, Acquisition, and Amalgamation

If a company intends to unite with or gain control of another company, it is required to adhere to the guidelines set forth in the Companies Act of 2013 and any applicable legislation. Such guidelines include securing approval from shareholders and creditors, submitting the required paperwork and forms to the RoC and NCLT, and adhering to other regulatory stipulations.

The evaluation and examination of shares or assets that are part of a merger or acquisition is a crucial aspect of following regulations. Businesses must carry out thorough investigations, hire unbiased evaluators, and adhere to the valuation rules set by the appropriate regulatory bodies.

After the completion of a merger or acquisition, the company is required to make certain updates to its records, registers, and filings with the RoC in order to remain compliant. These updates may involve making changes to the MOA, AOA, registers of members, directors, and charges, and obtaining new certificates of incorporation and share certificates if necessary.

8. Winding Up and Dissolution

8.1 If a company chooses to shut down by its own decision, it is required to abide by the specifications stated in the Companies Act of 2013. This consists of obtaining consent from shareholders, designating a liquidator, informing the RoC, and submitting the appropriate paperwork and documents.

8.2. Required Liquidation: If the creditors or tribunal initiate the winding up process, the company must adhere to the procedures specified in the Companies Act 2013. This includes submitting the mandatory forms and documents, appointing a liquidator, and following the tribunal’s instructions.

Once the process of concluding the company has been finished, the next step is to request the closure and dissolution of the business. This entails submitting the essential paperwork and records to the RoC, making a public announcement, resolving any outstanding debts, and obtaining the ultimate dissolution certificate.


Event-based regulations are highly important in guaranteeing that firms and companies in India adhere to legal and regulatory standards. Businesses can evade penalties and maintain a favorable rapport with regulatory institutions and stakeholders by grasping and conforming to event-based regulation stipulations. Keeping up to date with legal and regulatory changes is essential for businesses to follow through with event-based regulations effectively and in a timely manner. Engaging expert advice and assistance can assist businesses to navigate the intricate nature of event-based regulations and ensure compliance within legal boundaries.

Event-based compliances play a crucial role in maintaining the legal standing and transparency of various business structures and organizations in India. Staying informed, maintaining accurate records, and seeking professional guidance when needed are key to navigating event-based compliances successfully and ensuring regulatory adherence. Specific compliance requirements may vary based on factors such as business structure, industry, and statutory changes, making periodic reviews essential for sustained compliance and success.


Frequently asked questions

1. What does "event-based compliances" refer to for various business structures and organizations in India?

Event-based compliances involve fulfilling specific legal obligations triggered by significant events or changes in the structure, operations, or leadership of a business or organization.

2. When do event-based compliances typically arise for different entities?

Event-based compliances may arise during key events such as changes in ownership, alterations in the capital structure, modifications in the board or governing body, or any other significant changes affecting the legal standing of the entity.

3. How can entities stay informed about event-based compliances relevant to their operations?

Regularly monitoring regulatory updates, consulting with legal and financial experts, and staying informed about changes in the legal landscape are essential to identify event-based compliance requirements.

4. Are there event-based compliances for a proprietorship during a change in ownership or business address?

While there may not be specific legal filings, notifying relevant authorities about changes in ownership or business address is advisable for accurate record-keeping.

5. Do proprietorships need to comply with any specific regulations during the launch of a new business line or service?

While there may not be specific legal filings, adhering to local municipal regulations and business licensing requirements is essential during the launch of a new business line.

6. What event-based compliances arise for a partnership firm during a change in the partnership deed or the admission of a new partner?

Partnerships must update the partnership deed and file necessary documents with the Registrar of Firms when there are changes in the partnership structure.

7. Are there compliances for partnerships during the dissolution or retirement of a partner?

Partnerships need to inform the Registrar of Firms about the dissolution or retirement of a partner and update the partnership deed accordingly.

8. What compliances arise for an LLP during a change in partners or designated partners?

LLPs must file Form 4 with the Ministry of Corporate Affairs (MCA) within 30 days of any changes in partners or designated partners

9. Are there compliances for LLPs during a change in the LLP agreement or the LLP name?

Yes, LLPs must file Form 3 with the MCA within 30 days for changes in the LLP agreement or LLP name.

10. What event-based compliances arise for a company during a change in directors or the appointment of a managing director?

Companies must file necessary forms with the Registrar of Companies (RoC) within specified timelines for changes in directors or appointments of key management personnel.

11. Are there compliances for companies during a change in the registered office or the alteration of the share capital?

Yes, companies must inform the RoC about changes in the registered office or alterations in share capital by filing the appropriate forms.

12. Are there event-based compliances for trusts during a change in trustees or amendments to the trust deed?

Trusts must update the trust deed and inform the relevant authorities about changes in trustees. Legal documentation and filings may be required.

13. What compliances arise for societies during changes in the governing body or alterations in the society's rules and regulations?

Societies must report changes in the governing body and alterations in rules and regulations to the Registrar of Societies within the stipulated time.

14. Are there specific compliances for NGOs during collaborations or partnerships with foreign entities?

Yes, NGOs must comply with Foreign Contribution Regulation Act (FCRA) regulations and report any changes in their foreign collaborations or funding sources.

15. How can NGOs ensure compliance during significant project launches or collaborations?

NGOs must inform regulatory authorities about significant project launches or collaborations within the stipulated timeframe, ensuring that the activities align with their stated objectives.

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