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Overview of Event-Based Compliances for Companies

The Event-Based Compliances are the compliances that are mandator to be complied with on happening of a particular event and then required submitting of all information to the Registrar of Company. These event-based compliances relate to any unforeseen tasks, occurrences, or new dimensions of a company.

Once a private company is registered with the Registrar of Companies as per the provisions of the Companies Act, 2013 and when a compliance requirement arises with an occurrence of any particular event such as a change in directors, change in share capital, change in MOA or AOA or change in registered office then such compliance is known as Event-based compliance. These Compliances are generally applicable to a company or an LLP. These compliances are important because, with any occurrence of an event or any such change in the Company, the Company is required to notify the Registrar.

The event-based compliances in a company are generally one-time requirements by the concerned laws or are desirable to remain legal perfect, and protected and should be taken care of by the directors of the Company. These compliances should be notified to concerned authorities or ROC within a specific period of time after the occurrence of such event or any change made.

Kinds of Event-Based Compliances

Annual ROC Compliance

These compliances are necessarily required to comply at the end of each year.

ROC Event Based Compliances

  • Compliances that are mandatory to comply with every time whenever there is an occurrence of certain events, i.e., change in directors, change in MOA/ AOA, or any other circumstances that need to submitting information to the Registrar of Companies (ROC).
  • Additionally, in case of an annual or period event, the Company must have the proper Documents and resolutions to submit to the ROC to inform it about the changes. Any illegal or wilful negligence in the disclosure of accurate information about such changes or business events can result in penal action against the Company and the directors.
  • These compliances are one-time, quick, or intermittent reporting, which are either needed by the concerned laws to make it continue as legally protected and secure.
  • The timing and accuracy of such a 'ROC Event-Based Compliances' process depend upon the kind and nature of the transactions or event. Under new company law, there are severe penal provisions for non-compliance. In case of default, the Company and critical managerial employees are liable to be panel stipulations.
  • Non-compliance also guides to a substantial penalty in commercial terms and other non-monetary penal results. Therefore, it is necessary that the happening of such events get tracked, and compliances met on time to avoid penalties or additional fees.

Examples of Event-Based Compliances of Companies

  • Change in Board of Directors.
  • Appointment or Resignation of a Director.
  • Appointment or Resignation of Partner.
  • Appointment of Managing Director.
  • When DIN, DSC, etc. acquired.
  • Managing and updating official records and registers.
  • Change or modification in MOA or AOA.
  • Change in the statutory auditors.
  • Transfer or issuance of Shares.
  • Transactions of shares plus issuance of sharing certificates.
  • Increase or change in Authorized Capital.
  • Change of Name/Title of Company.
  • Change in address of Registered Office.
  • Decisions or minutes of Board/General/Committee meetings.
  • Registration / Modification or Satisfaction of Charge etc.
  • Change in signatories of the bank.
  • Appointment or removal of Auditor.
  • Statutory Audit of Accounts.
  • Filing of Annual Returns.
  • Filing of Financial Statements Board Meetings.
  • Annual General Meeting.
  • Preparation of Directors' Report.
  • ITR and Audit requirements.
  • Sub-division or share consolidation.
  • Business transformation or re-organization.
  • Expansion or division of business.
  • Private placement.
  • Credit monitoring.
  • Any other relevant issue.

Note: A company that fails to follow these necessary ROC filings in India can face grave punishments, and the directors may be criminally dealt with under the Act.

The paper works and filing requirements for these event-based company compliances are different and need assistance from a business expert, CA, or CS.

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Forms related to the Event-based Compliances

Various forms are expected to be filed by a private limited company to notify the ROC regarding the changes made within the Company. Some of the forms for event-based compliances are given below, along with the related occurrences or events:


Details of the Compliance


Declaration of Commencement of business

Within 180 days from such commencement or incorporation of the company


Change in Registered office

Within 15 days from the change in registered office


Change in the name of the company

Within 60 days from the application in INC-1


Conversion of the company


Application for KYC of the directors

On or before 30th April of the coming financial years


Change in Directors or KMP

Within 30 days of the change in directors or KMP


Removal of Director

Within 30 days from the date of passing of the special resolution for the removal of the director before the expiry of his term


Increase in the authorised share capital

Within 30 days from the date of passing of the ordinary resolution


Filing of resolutions or agreements

Before the end of 30 days from the date of passing of the resolution


Increase in paid-up share capital

Before end of 15 days from the date of allotment of the share capital


Creation, modification and satisfaction of charge, i.e., change in secured borrowings

Within 30 days from the creation or modification of any kind of charges


Condonation of delay

Filing of application of condonation of delay with retailed information and required Documents


Deposits taken

Filing form by 30th June of the year and furnish duly audited information by the auditor of Company by 31st March of the same year


The Significant beneficial owner reported

Within 30 days from receipt of BEN-1


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Frequently Asked Questions

The Event-Based Compliances are those mandatory compliances which are other than the usual and necessary annual and periodical compliances made by the organization with ROC and other administrative authorities.

Every change in any registered particulars associated with the company is to be reported appropriately to the relevant ROC and other regulatory/statutory authorities.

  • Annual Compliances
  • Event-Based Compliance

For instances, Appointment or Resignation of a Director.

  • Appointment of Managing Director.
  • Change in the statutory auditors.
  • Transfer of Shares.
  • Increase of Authorized Capital.
  • Change of Name of Company.
  • Change of Object of Company.
  • Change in Registered Office address.
  • Registration / Modification or Satisfaction of Charge etc.
  • Appointment of Auditor.
  • Statutory Audit of Accounts.
  • Filing of Annual Return (Form MGT-7).
  • Filing of Financial Statements (Form AOC-4)Board Meetings.
  • Annual General Meeting.
  • Preparation of Directors' Report.
  • ITR and Audit requirement.

The Indian Companies Act of 2013, the Securities and Exchange Board of India (SEBI), RBI, FEMA.


  • Chief Executive Officer / Managing Director.
  • Chief Financial Officer.
  • Auditor Chairmanof the Audit Committee.

Voting results of the resolutions passed in the general meeting are to be submitted to the stock exchange within 48 hours of the conclusion of the general meeting.

The company is required to file E-Form INC-22 to inform the ROC of change in the registered office of the company.

A company is required to file various resolutions and agreements with the ROC by submitting E-Form MGT-14.

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