INVESTOR COMPLIANCES

Investment compliance monitoring is an essential responsibility of investment teams i.e. shareholders. Investors must ensure their profiles shall be in compliance with regulatory requirements as well as any policies, rules and regulations set in place by board committees, clients, or the companies for which they manage investments.
 

Business Entity:
Equity investment in the Company requires issuance of shares  to the investor in return for equity / shares. Only a private limited company or Public Limited company is capable of issuing shares to the investor. Company’s shall ensure that the Memorandum of Association (MoA) and Articles of Association (AoA) are drafted to manage an equity investment without any amendments to the same. 
ROC Compliance:
Companies shall comply with the provisions of Companies Act 2013 and shall maintain statutory register. Some of the main complainces after the incorporation of a company are appointment of auditor, conducting board meetings, filing of statutory returns.
Tax Compliance:
Tax compliance for companies depends on the nature of business and state of operation. Businesses which are involved in selling goods or products shall comply with state regulations, including VAT registration, payments and returns. However, the  businesses which are involved in providing services shall obtain service tax registration, service tax payments and file service tax returns..
Labour Laws :
If Company has 20 or more employees it shall comply with ESI and PF regulations. Hence, ESI return filing, PF return filing, ESI payments and PF payments would be checked.  Due Diligence shall be performed in the companies that NDA is signed where there is development of intellectual property. 
Intellectual property:
Intellectual properties are the essential assets of the Company. Hence, the company shall ensure that relevant intellectual property like trademark, copyright, patent and design are protected with a  registration.