Because the cycle arrived
Recurring / periodic
Compliance that arises because a reporting or compliance cycle has come around again. It is foreseeable, which means it can be prepared for rather than rediscovered each year.
ROC & Corporate Compliance
Corporate compliance should follow what actually changes in the business.
TaxGraph supports businesses with recurring and event-based ROC and corporate compliance, helping connect the underlying company or LLP information with the filing, documentation and follow-up required within the agreed scope.
A filed form records a compliance action. Good corporate compliance also requires clarity over what triggered it, what supports it and what remains open.
The requirement begins before the form
The filing requirement usually begins before the form.
Corporate compliance is often managed as a set of forms with deadlines. The difficulty usually sits earlier — in whether the event, the records and the responsibility behind a filing were clear before the form was prepared.
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A company or LLP event occurs, but the compliance consequence is identified late
Something changes in the entity, and the filing it triggers is noticed well after the change rather than at the point it happened.
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Annual filings are treated as isolated year-end tasks
Each year the same scramble begins from scratch, disconnected from the records that should already support it.
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Supporting records are gathered only close to the deadline
The information exists somewhere, but it is assembled under time pressure rather than kept ready.
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Director or entity information is not reflected consistently
What the records show, what was filed and what is actually true have drifted apart across different places.
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Filing responsibility is unclear between people
Management, the accounts team and external professionals each assume another owns a requirement, so it sits unowned.
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Earlier open items remain unresolved
A pending matter is carried forward on the understanding that it will be dealt with later, and then is not.
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Management sees filing status, not open obligations
It is clear that a particular form was filed. It is less clear what else remained pending behind it.
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Documents and approvals are scattered
The approvals and supporting documents live across email and different people rather than in one organised place.
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Recurring compliance depends on one person’s memory
The process works because someone remembers it, which is a risk rather than a system.
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A filing is prepared without first confirming the event or records
The form is completed before checking what actually changed and whether the records support it.
Not every business has all of these, and a filed form is a real compliance action. But where several appear together, corporate compliance is usually being managed at the form rather than along the events and records that lead to it.
Where filings arise
One business event can create more than one corporate follow-up.
A single change in the entity rarely means a single form. It usually means an internal record, a filing to consider, some supporting documents, a related record to update, and something to follow up. The filing is one part of maintaining the corporate record.
When something changes in the company or LLP, what actually needs to follow?
The event
A change in directors or their details.
A change to registered or entity information.
The recurring cycle arriving again.
A change in capital or ownership structure.
Any one of these can lead to a short chain rather than a single step:
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Internal approval / record
The internal decision or record behind the change.
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ROC / MCA filing consideration
Whether, and which, filing the change requires.
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Supporting documents
The documents and approvals the filing depends on.
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Related record update
Other records that should now be kept consistent.
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Status / follow-up
What was completed, and what remains open.
The objective is not to remember every deadline in isolation. It is to keep the event, the records and the filing connected, so the corporate record stays reliable and open items stay visible. The applicable requirement depends on the entity and the facts.
Two kinds of requirement
Corporate compliance is not only an annual-return exercise.
Broadly, a corporate compliance requirement arises for one of two reasons. Separating them is what makes the work predictable rather than reactive.
Because something changed
Event-based
Compliance triggered because something about the company or LLP, its management, its records or its structure has changed. It is less predictable, which is exactly why the change needs to be recognised when it happens.
Both kinds run through the same short sequence:
- 01 Review
- 02 Information
- 03 Action / filing
- 04 Record / follow-up
Most recurring difficulty comes from treating every requirement as an annual event, so event-based changes are noticed late and the annual cycle starts from scratch each time.
What the service covers
Corporate compliance support, scoped to the entity and the requirement.
Requirements differ by entity type, by what has changed, and by how well the existing records are organised. What follows is the range of work this service covers.
Depending on the entity, the applicable requirement and the agreed scope, TaxGraph may support:
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Recurring corporate compliance
Routine recurring ROC / MCA compliance and the agreed annual filing requirements for the entity, run as a maintained process rather than a year-end scramble.
This does not promise every statutory filing. Which requirements are covered is set in the engagement.
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Annual filing coordination
Preparation and coordination of the relevant information and the filing workflow for the applicable annual corporate compliance.
Where a filing legally requires certification or sign-off by an eligible professional, that involvement is separately arranged or coordinated. TaxGraph does not present itself as the certifier.
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Event-based filings
Routine filings arising from agreed company or LLP events and changes, so a change is connected to the filing it requires rather than noticed late.
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Director-related compliance
Routine director-information and director-compliance matters within the agreed scope — for example, the recurring director KYC that applies each year.
The specific director requirements applicable in a given year are confirmed against the current position rather than assumed.
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Entity information and record changes
Support for the amendments or filings that arise from changes in entity information, where those fall within the agreed scope.
Legal restructuring and complex transactions are not automatically included; they may need specialist involvement.
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Information and document coordination
Organisation and follow-up of the information and documents the applicable compliance process depends on, kept in one place rather than scattered across email.
Acting as custodian of every statutory register is not automatically included — see the note on records below.
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Status and open-item follow-up
Visibility over what is filed, what is pending, what information is required and what needs follow-up, so open items stay visible instead of forgotten.
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Coordination with other professionals
Where a matter requires certification, legal advice or specialist professional involvement, TaxGraph can coordinate the process with the relevant professional within the agreed engagement.
That professional’s opinion or certification remains theirs; it does not become TaxGraph’s own.
Not every item above forms part of every engagement. What is included, which requirements are covered and how the work runs are agreed before the engagement begins.
How the work runs
A sequence that starts at the event, not the form.
Each stage exists to keep the next one connected to what actually happened. Most recurring corporate-compliance difficulty comes from starting at the form and working backwards under deadline pressure.
- 01
Event / period
Start with what changed, or with the recurring compliance cycle that has come around.
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Identify
Determine the applicable routine corporate compliance requirement within the agreed scope.
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Prepare
Gather and organise the relevant information, approvals and supporting records.
- 04
Review
Check the filing information and identify anything missing or still open.
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Complete
Prepare or facilitate the agreed filing or compliance action.
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Track
Follow the filing status, any information gaps and any further action required.
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Record
Maintain an organised record of what was completed and what remains open.
The last stage is the one most often missing. Without a maintained record, the next cycle starts from the same disorganised position and event-based changes keep being noticed late.
What holds it together
Compliance is easier when the records behind the filing are organised.
Every filing assumes there is reliable information to draw on. Corporate compliance becomes harder when the records supporting it are incomplete, inconsistent or scattered across people and inboxes.
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Current entity information
What the entity’s details actually are today.
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Relevant approvals
The approvals or resolutions a filing depends on, where applicable.
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Supporting documents
The documents that substantiate the compliance action.
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Filing acknowledgements
Evidence of what has been filed and accepted.
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Previous compliance records
What was done before, so history is not lost each year.
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A clear list of open items
What still needs attention, visible rather than assumed.
What records are included depends on the entity and the agreed scope. Where a statutory record requires specialist or company-secretarial responsibility, that requirement is confirmed separately. Connected does not mean automatically included.
Where this service fits
ROC & Corporate Compliance may be relevant where
- a company or LLP needs recurring corporate compliance support
- annual corporate filings need clearer coordination rather than a year-end scramble
- management wants routine ROC requirements tracked more systematically
- entity, director or company information changes create filing requirements
- an internal accounts or admin team needs external compliance support alongside it
- filings and supporting records need better organisation in one place
- the business wants a clear point of coordination for routine corporate compliance
It is a different requirement where a business
- needs to form a new company or LLP rather than manage an existing entity’s compliance
- needs a legal opinion, drafting, or representation in a contentious matter
- needs statutory certification or professional sign-off as the deliverable itself
- needs statutory audit, secretarial audit or assurance
- primarily needs its underlying accounting records brought up to date
Not sure which of those describes the situation? Start with the situation and the appropriate scope can be identified from there.
Start with the situation
What is actually happening?
- Recurring annual ROC / corporate compliance ROC & Corporate Compliance
- A company or LLP event or change may require a filing ROC & Corporate Compliance
- Existing compliance records are disorganised or open items are unclear ROC & Corporate Compliance
- The need is to incorporate a new company or LLP Company / LLP Incorporation
- The underlying accounting information is incomplete Accounting & Bookkeeping
- An existing accounts function needs stronger review Accounting Review & Supervision
- The requirement is GST compliance GST Compliance
- The requirement is TDS compliance TDS Compliance
- The requirement is the business Income Tax return Income Tax, within Tax & Compliance
- The matter involves a legal opinion or litigation A specialist scope, determined separately
- Not sure what the real problem is Contact TaxGraph
Scope and responsibilities
What is included depends on what is agreed.
Corporate-compliance engagements vary by entity type, by the recurring and event-based requirements involved, by the state of the existing records, and by how much coordination and catch-up work is required. Scope is defined before the engagement begins rather than assumed from a service description.
Some matters legally require a practising Company Secretary, Chartered Accountant, Cost Accountant, advocate or other specialist. Where that is the case, the requirement is identified and the appropriate professional involvement is arranged or coordinated. TaxGraph does not hold itself out as a professional it is not.
None of this is meant to narrow the service. It is meant to make the engagement predictable, so that what TaxGraph is responsible for and what needs a different professional are clear from the start.
There are also limits that no adviser can remove:
- TaxGraph cannot guarantee that a filing will be accepted, or that no additional fee, penalty, query or notice will arise
- the applicable requirement depends on the entity type and the underlying facts
- the business remains responsible for providing complete and accurate information in time
- government system availability and authority processing are outside TaxGraph’s control
TaxGraph does not present itself as:
- a law firm or legal practice, or an advocate
- a Company Secretary firm
- a statutory audit firm, or an assurance or certification provider
Unless specifically included in the agreed scope, this service does not cover:
- every possible Companies Act or LLP Act filing
- legal drafting, legal opinions or legal advice
- litigation, tribunal proceedings, appeals or contentious representation
- compounding and adjudication proceedings
- secretarial audit, statutory audit, assurance or any statutory certification
- Company / LLP Incorporation, which sits under Business Setup & Registrations
- maintenance of statutory registers, except where specifically agreed
- accounting and bookkeeping work on the underlying records
Before you get in touch
Frequently asked questions
Annual filings are one part of it. Corporate compliance is either recurring, because a compliance cycle has come around again, or event-based, because something about the company or LLP, its management, its records or its structure has changed — and a change can create a filing requirement at any point in the year. Within an agreed scope the service covers routine recurring ROC and corporate compliance, coordination of the applicable annual filings, routine event-based filings arising from company or LLP changes, routine director-related compliance, support for entity-information changes, organisation and follow-up of the supporting information and documents, and visibility over what has been filed and what remains open. The applicable requirement depends on the entity and the nature of the change, and some matters need specialist professional involvement, which is identified rather than assumed. This is routine compliance support, not legal practice or statutory certification.
Yes. Many businesses already have an accountant, an internal team or a Company Secretary involved, and need routine corporate compliance coordinated alongside them rather than separately. The objective is coordination, not replacement. Where a matter requires a practising professional’s certification or advice, that involvement is arranged or coordinated within the engagement.
Routine corporate compliance can be supported for both companies and LLPs, but the obligations differ by entity type. Rather than publish an exhaustive legal matrix, the applicable requirements are confirmed for the specific entity and agreed as scope — not every Companies Act or LLP Act requirement is automatically included. On records: which registers and documentation are covered depends on the entity and the agreed scope. Organising and following up the information a compliance process depends on can form part of the service, but where a statutory record requires specialist or company-secretarial responsibility, that requirement is confirmed separately rather than assumed. TaxGraph does not describe itself as a Company Secretary in practice.
No. Incorporation — forming a new company or LLP — is a separate requirement under Business Setup & Registrations. This service is about the ongoing compliance of an entity that already exists.
TaxGraph supports routine compliance, not legal opinions, legal drafting or statutory certification. Where a filing requires certification or sign-off by an eligible professional, or where a matter needs legal advice, that professional involvement is separately arranged or coordinated. On notices: routine portal or filing clarification and follow-up may be handled where that is agreed, but adjudication, compounding, tribunal proceedings, appeals, litigation, contentious representation and complex legal opinions are separate specialist matters, undertaken only where specifically agreed and appropriate. TaxGraph does not hold itself out as handling every ROC notice, and does not present itself as a law firm, an advocate, a Company Secretary firm, a statutory auditor or a certification authority.
Earlier pending filings and unresolved matters can be looked at, and are a common reason businesses get in touch. What is possible depends on the entity, the periods and matters involved, the records available and the current position on the relevant systems; historical catch-up is scoped separately from recurring compliance, some older matters need specialist involvement, and no view is given before the facts have been reviewed. On guarantees: no, and no adviser can. Acceptance and outcomes depend on the facts, the completeness of the information, and authority and system behaviour outside anyone’s control. What a maintained process can do is reduce avoidable errors, connect filings to the events and records behind them, and keep open items visible rather than unknown.
It depends on factors such as the entity type, the number and nature of the recurring filings, any event-based requirements, the volume of open or pending items, the state of the existing records, the document coordination required, any historical catch-up involved, and whether specialist professional involvement is needed. Fees are discussed against the actual requirement rather than published as a fixed package.
Start with the corporate requirement
Tell us what has changed or what corporate compliance needs attention.
Whether the requirement is recurring annual compliance, an entity change, a pending filing or an unclear open item, start with the situation and TaxGraph can help define the appropriate scope.
If it is easier to talk it through first, a short introductory call is usually the quickest way to establish whether this is the right service.