In simple word, compliance means following rules and orders applicable on the entity. Every entity is governed under law and order and that entity needs to follow the rule and regulations prescribed by it. Legal and regulatory enforcement must be handled
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In simple word, compliance means following rules and orders applicable on the entity. Every entity is governed under law and order and that entity needs to follow the rule and regulations prescribed by it. Legal and regulatory enforcement must be handled as an integral part of every corporate strategy. The executive board and management must consider the scope and consequences of the company's relevant laws and regulations. They need to set up a compliance management system as a supporting risk management program, as it significantly reduces enforcement risk.
➲ Good Governance
➲ Ease in getting financial support
➲ Reduces organizational and individual risk
➲ Enhances confidence of shareholders and other stakeholders
➲ It helps in adhering to necessary industry and government regulation
➲ Cessation of business
➲ May lead to civil action by authorities
➲ Public embarrassment
➲ Damage to the reputation of the company and its employees
➲ Punitive action resulting in fines against the company/officials
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Compliance |
NBFC compliances |
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Company Law Compliances |
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Declaration of Commencement of Business (for the applicable company) |
INC-20A Within 180 days from the date of incorporation |
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ACTIVE KYC of the company (for the applicable company) |
INC-22A Till 25th April 2019 without late fine |
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Directors KYC |
DIR-3KYC Till the 30th of April |
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Director discloser his interest in other entities.
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Within 30 days of holding a first board meeting through Form MBP-1 |
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Every Director disclosure of non-disqualification |
through form DIR-8 Each company directors in each financial year must file a non-disqualification report with the company |
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Every company will appoint Auditor
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File form ADP-1 within15 days of the meeting in which auditor gets appointed |
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Every Company shall hold Meetings of its Board of Directors every year |
Minimum number of the meeting will be 4 in such a manner that the maximum gap between two meetings not more than 120days |
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The company must hold AGM every year |
Within 6 months from the closing of financial year |
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Every Small Company must file its Annual Return. |
Within 60 days of holding AGM. The annual return should be filed via type MGT-7 for the period 1 April to 31 March |
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Financial Statement: Company is expected to file in this form their Balance Sheet along with Statement of Profit and Loss Account, Cash Flow Statement and Directors ' Report.
Annex: Balance sheet, Statement of Profit & Loss Account (including Consolidated Financial Statement), Board of Directors, Auditors ' Board, Statement of Cash Flow and AGM Notice |
Within 30 days of holding AGM Through form AOC-4 |
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GST Compliance |
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GSTR-3B |
On 20th of every month (if applicable) |
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GSTR-1 (monthly) |
On every 11th day of the month (if applicable) |
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GSTR-1 (quarterly) |
31st July 2019 (if applicable) |
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Income Tax Compliance |
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ITR Filing |
ITR-2A 30th June |
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Labour Law Compliances
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Annual compliances of PF (if applicable) |
Annual returns must be filed by the 30th of April in a given year Through Form 3A Form 6A
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Additional Compliances of NBFC
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Annual compliances |
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Sl No. |
Particulars |
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1 |
Monthly return through NBS7 (Unaudited for the month of March) |
on or before 30th June |
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2 |
March Monthly Audited return through NBS7 |
Upon completion |
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3 |
Certificate from Statutory Auditors on Income & Assets |
on or before 30th June |
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4 |
Information about Cos having FDI/Foreign Funds |
on or before 30th June |
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5 |
Non-acceptance of Public Deposit’s Resolution |
before the commencement of new Financial year |
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6 |
Audited Annual Balance Sheet and P&L Account |
One month from the date of signoff |
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7 |
Auditor’s Declaration to Act as Auditors of the Company |
annual basis |
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Monthly compliances |
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Sl No. |
Particulars |
Time limit |
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1 |
Monthly Return |
by 7th of every month |
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2 |
Upload monthly return on www.dnbsinfinet.org (OLD) |
by 7th of every month |
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Periodical compliances |
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Sl No. |
Particulars |
Time limit |
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1 |
Director’ appointment (Annexure-III) |
within 30 days of appointment |
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2 |
Director’s registration (Form- 32 + Challan Receipt) |
within 30 days of resignation |
Additional compliances will be applicable like;
DIR-12 on the appointment of Director
MGT-14 on passing a special resolution and on performing an activity
And other compliances as per the activity performed.
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