Pass investor diligence on compliance, due diligence, and statutory reports — the first time they check.
Statutory registers, filed ROC returns, compliance calendar, due diligence document organisation, and coordination of the statutory valuation reports (Rule 11UA merchant banker certificate, DPIIT recognition) that investors' legal counsel verify.
Get started — ₹14,999 →₹14,999
Fixed price · one Lekha invoice
About this service
What is investor readiness, due diligence & statutory reports?
Investor diligence on compliance is a checkbox exercise — investors' counsel will check your ROC filings, your statutory registers, and your board and shareholder resolution history. Every gap creates a question. Every question creates a delay. Lekha audits your current compliance status, fixes what's missing, and sets up the systems to keep you clean going forward.
What you get
Everything included in this service
Compliance audit report
A structured review of your current compliance status: which ROC filings are complete, which are pending, which statutory registers are maintained, and which board/shareholder resolutions are missing for decisions already made.
Missing document remediation
For gaps identified in the audit — Lekha prepares and files the missing resolutions, registers entries, and any outstanding ROC forms. Historical gaps fixed before an investor finds them.
Statutory registers set up
Register of members, register of directors, register of charges, register of contracts with interested parties — all properly maintained and up to date as of today.
Compliance calendar
A month-by-month calendar for the next 12 months showing every statutory deadline: board meetings required, AGM deadline, AOC-4 and MGT-7 filing dates, director KYC, TDS due dates, GST return dates, and advance tax dates.
Corporate document folder
A clean, organised digital folder containing: COI, MoA, AoA, all board and shareholder resolutions (chronological), all ROC filings, current statutory registers, and the shareholders agreement — structured in the format investors' counsel expect.
Who it's for
Is this right for you?
- ✓
Startups that incorporated 12–24 months ago and haven't tracked compliance systematically
- ✓
Companies approaching their first investor conversation who want to ensure the diligence checklist is clean
- ✓
Founders who know they have ROC filings outstanding and want to fix them before they're flagged
- ✓
Companies that have made board decisions (hiring, salary changes, vendor commitments) without documenting them as resolutions
Process
How it works
Compliance audit
Lekha pulls your MCA records (public), reviews your corporate documents, and identifies every gap against the required compliance checklist for your company type, age, and size.
Gap remediation
Missing board resolutions, shareholder resolutions, and statutory register entries are prepared, signed by the relevant parties, and dated correctly. Outstanding ROC filings are prepared and filed (with applicable late fees, if any).
Systems setup
Compliance calendar built for the next 12 months. Statutory registers updated. Corporate document folder organised. All documents uploaded in the correct format for immediate data room use.
Ongoing support
Monthly compliance reminder emails for upcoming deadlines. Lekha available for quick questions about what resolution is required for a new decision. Annual compliance review recommended 6 weeks before your projected next investor conversation.
Questions
Frequently asked
What are the most common compliance gaps Lekha finds in startup audits?
In order of frequency: (1) missing director KYC filings (DIR-3 KYC), often from year 2 or 3 when founders forget this annual requirement; (2) board resolutions not documented for major decisions (key hire salary, vendor contracts, office lease); (3) AGM held late without the ROC application for extension; (4) statutory registers not maintained (register of members doesn't match MCA records); (5) ESOP grants not backed by board and shareholder resolutions.
How expensive is it to fix late ROC filings?
The penalty is ₹200 per day per form (for AOC-4 and MGT-7). A 6-month late AOC-4 filing costs ₹36,600 in late fees alone. Additionally, the MCA introduced an additional fee regime: delays beyond 30 days attract increased additional fees. For old filings (2+ years late), the MCA has periodic amnesty schemes (Condonation of Delay Scheme) that cap penalties. Lekha assesses the most cost-effective approach for each late filing during the audit.
Do I need to maintain physical registers or are digital records sufficient?
Under the Companies Act, statutory registers can now be maintained in electronic form. Digital records are acceptable provided they are maintained in a software that allows searching, printing, and version control. The registers must be available for inspection at the registered office on demand. A well-maintained Google Sheet or dedicated compliance software (BSE GovTech, Vakilsearch, Cleartax) meets the statutory requirement for electronic records.
What board resolutions are typically missing in startup compliance audits?
The most frequently missing: resolution authorising a new bank account opening (required by most banks, rarely kept on file), resolution approving the auditor appointment at the first AGM, resolution approving salary changes for key employees above a threshold, and resolution for entering any significant vendor agreement. Any decision made by 'just talking about it in a founder call' needs a board resolution to be compliant.
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