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📍 Pune, Maharashtra  |  FRN: 139499W/W100169  |  ✦ Peer Review No. 022006
info@kkna.in+91 91120 30207
Home›Services›Regulatory & Compliance
Practice Area 03

Regulatory
& Compliance

Navigating India's regulatory framework — from MCA/ROC annual filings and IEPF share recovery to FEMA compliance, startup registration, and solar PPA documentation. We handle the full compliance lifecycle with precision.

Discuss Your Compliance NeedsMeet the Regulatory Partner
MCA / ROC IEPF & Share Services FEMA & RBI Startup Registration Demat & Portfolio Solar & Energy
01
🏢

MCA / ROC Compliance

Companies Act 2013 · Annual Filings · Event-based

Complete company law compliance — from incorporation through annual ROC filings, director changes, charge registration, and event-based forms. We ensure your company is always in good standing with the Ministry of Corporate Affairs.

Who this is for

Private Limited CompaniesPublic CompaniesOne Person CompaniesLLPsSection 8 Companies
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What's included

Company / LLP incorporation (SPICe+)
Annual filings — MGT-7, AOC-4, Form 11
Director KYC (DIR-3 KYC) — annual
Director appointment / resignation (DIR-12)
Share allotment (PAS-3) and transfer (SH-4)
Charge creation / modification / satisfaction
Winding up — voluntary and compulsory
Strike off (STK-2) and LLP closure
02
📜

IEPF Claims &
Share Services

IEPF-5 · ISR Forms · Share Transmission

End-to-end IEPF claim filing and investor services — recovering shares and dividends transferred to the IEPF Authority. We also handle physical share transmission after death of holder, including all ISR forms, affidavits, and RTA correspondence.

Who this is for

Legal heirs of deceased shareholdersShareholders with unclaimed dividendsHolders of old physical share certificatesFamilies recovering estate assets
IEPF claims are time-sensitive

Once shares are transferred to IEPF, only the claimant (or legal heir) can recover them. The process has strict documentation requirements — we handle every step from affidavit drafting to Ministry correspondence.

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What's included

IEPF-5 Form preparation and filing
Indemnity bond and affidavit drafting
Annexure II preparation
Ministry of Corporate Affairs correspondence
Share transmission — ISR-1, ISR-2, ISR-3, ISR-4
Succession affidavit and NOC preparation
RTA correspondence (KFin, MUFG, Bigshare, Link)
Unclaimed dividend recovery from company

IEPF claim process

1
Document collection

Original share certificates, death certificate, legal heir documents, PAN, bank details.

2
Affidavits & indemnity

Drafting and notarisation of all required affidavits and indemnity bond.

3
IEPF-5 filing

Online filing on MCA portal, physical submission to company's nodal officer.

4
IEPF Authority verification

Follow-up with IEPF Authority and company until shares are credited to demat account.

03
💱

FEMA & RBI Compliance

FDI · ODI · ECB · FC-GPR · FC-TRS · LRS

Foreign exchange compliance for businesses with cross-border operations — FDI reporting, Overseas Direct Investment, ECB compliance, and advisory for NRIs and foreign companies investing in India.

Who this is for

Indian companies with foreign investmentBusinesses investing abroadNRIs investing in IndiaCompanies with foreign loans (ECB)
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What's included

FDI compliance — FC-GPR, FC-TRS filings
Overseas Direct Investment (ODI) — Form ODI
External Commercial Borrowings (ECB) compliance
Annual Return on Foreign Liabilities & Assets (FLA)
Liberalised Remittance Scheme (LRS) advisory
FEMA compounding for past non-compliance
NRI investment advisory (NRE / NRO / FCNR accounts)
RBI reporting and authorised dealer coordination
04
🚀

Startup Registration

Startup India · DPIIT · Section 80-IAC · Angel Tax

Complete startup advisory from entity formation through Startup India registration, DPIIT recognition, Section 80-IAC tax exemption, and ongoing compliance support for growth-stage companies.

Who this is for

Early-stage startupsTech and product companiesFounders raising angel / seed funding
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What's included

Private Limited / LLP incorporation
Startup India DPIIT recognition
Section 80-IAC tax holiday application (3-year)
Angel Tax exemption (Section 56(2)(viib))
ESOP plan setup and valuation
Investor-ready financials and MIS
Compliance roadmap (GST, TDS, ROC, labour)
Term sheet and SHA review support
05
💹

Demat &
Share Portfolio

Physical to Demat · KYC · Portfolio Valuation

Physical share certificate conversion to demat form — including complete KYC, PAN linking, broker coordination, and portfolio valuation reports for estate and wealth planning purposes.

Who this is for

Holders of old physical share certificatesLegal heirs settling estatesFamilies with unlisted company shares
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What's included

Physical share certificate dematerialisation (DRF)
KYC and PAN-Aadhaar linking
Duplicate share certificate application
Portfolio valuation certificate (BSE / NSE prices)
Indemnity bond for lost certificates
Registrar and Transfer Agent (RTA) coordination
Annexure for legal heir and estate documentation
Unclaimed dividend recovery from registrars
06
🌞

Solar & Energy Advisory

PPA Documentation · GST on Solar · TDS · Board Resolution

Financial and regulatory documentation support for businesses adopting rooftop solar under OPEX (Power Purchase Agreement) models — including CA advisory letters, Board Resolution requirements, GST and TDS analysis.

Who this is for

Businesses signing solar PPAsIndustrial and commercial consumersSchools, hospitals, institutions
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What's included

CA advisory letter on PPA financial terms
Board Resolution drafting for PPA approval
GST applicability analysis on solar energy bills
TDS on energy payments — Section 194C / 194J
Capital vs revenue treatment of installation costs
Depreciation advisory on solar assets
Subsidy accounting and tax treatment
Annual PPA compliance review
Talk to Our Regulatory Partner

MCA filings, IEPF claims, FEMA compliance — handled directly by a qualified partner.

CA Shyamala Karbhari
CA CA Shyamala S. KarbhariPartner — Regulatory & Compliance
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Audit Services →Tax Services →Advisory Services →IEPF & Share Insights →

Compliance Made Simple. Results Delivered.

From IEPF claims to FEMA filings — we handle every regulatory requirement so you don't have to.

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