Building a Compliance Management Framework in an organisation
Map applicable laws → assign owners → calendar → dashboard with status tracking → escalation → board oversight. Automated tools (Compliance.ai, Riskpro) help.
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What are the consequences of non-filing of annual returns (MGT-7) and financial statements (AOC-4)?
Additional fees, prosecution of directors under §92(5)/§137(3), disqualification of directors under §164(2), and possible strike-off by ROC.
Postal ballot — when is it mandatory and what is the procedure?
Used for transacting business not requiring a physical meeting (Rule 22). Companies dispatch notice with ballot, allow 30 days for voting, scrutiniser certifies results.
Annual ROC filings calendar for Indian companies
AGM by 30 Sept; AOC-4 within 30 days of AGM; MGT-7 within 60 days of AGM; DIR-3 KYC by 30 Sept; CSR-2 by 31 March; FLA to RBI by 15 July.
Board's Report — mandatory contents under Section 134(3)
Discloses extract of annual return, declarations, RPTs, loans/investments, conservation of energy, CSR, ID declarations, internal-financial-controls and material changes.
Disclosure obligations of a listed entity under LODR Regulation 30
Disclose material events/information to stock exchanges as soon as reasonably possible but not later than 30 minutes (Para A) or 24 hours / Schedule III timelines.