Regulatory Compliance

Overview

The quiet work that keeps a company audit-ready.

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Most compliance work happens between the dramatic events: the funding round, the data breach, the diligence. It is the quarterly filing done on time, the policy refreshed before an auditor reads it, the contract library pruned before a vendor pushes a one-sided renewal. Done well, nobody notices. Done poorly, it surfaces in the worst possible meeting.

This practice provides steady regulatory hygiene for Indian companies that do not yet have, or do not need, a full in-house legal team. The output is written, dated and auditable: filings, resolutions, policies, reviewed contracts and a running record of what has been attended to.

Reference guides

• ROC Compliance Calendar for Indian Companies: FY 2026-27

  Every mandatory filing under the Companies Act, 2013 and LLP Act, 2008 for the current financial year. Annual slate (AOC-4, MGT-7, ADT-1, DPT-3), half-yearly MSME-1, LLP Form 11 and Form 8, event-based forms and the Section 403 late-fee structure.

• DIR-3 KYC in India: the three-year rule and DIN reactivation

  Director KYC after the 2026 change to Rule 12A: who files, when the next filing is due, the revised fees, updating contact details, and restoring a deactivated DIN.

Services offered

• Secretarial & Companies Act Compliance

  Annual filings (AOC-4, MGT-7), event-based filings (DIR-12, SH-7, MGT-14), board and shareholder resolutions, statutory registers and governance records under the Companies Act, 2013 and allied rules.

• DPDP Operational Compliance

  Ongoing data-protection housekeeping: periodic review of consent logs, breach-response drill reviews, data retention schedule checks and vendor DPA audits aligned with the Digital Personal Data Protection Act, 2023.

• Policy & Code Drafting

  Internal policies that actually read like your company: information security, data retention, acceptable use, grievance redressal, whistleblower, code of conduct, insider dealing and related-party transaction policies.

• Contract Library Reviews

  Periodic review of your standing contract templates (vendor MSAs, customer agreements, employment letters, consultancy contracts) to keep clauses aligned with current law and the risk posture of the business.

• Board & Governance Advisory

  Charters and terms of reference, delegation of authority matrices, material-event disclosure protocols and the governance paperwork investors expect to see during diligence.

• Diligence Readiness

  Pre-diligence health check: statutory registers, filings, contract gaps, policy gaps and consent/privacy posture reviewed before a buyer or investor sends their checklist.