================================================================================ COMPANY & LLP COMPLIANCE SUITE — USER GUIDE Mahesh Chandra & Associates, Chartered Accountants PVA Consultants | Prepared by CA Vipul Vishnu Awaghade, Partner ================================================================================ Document version : 1.0 Applies to : Company & LLP Compliance Suite (single-file HTML tool) Coverage : Companies Act, 2013; LLP Act, 2008; Secretarial Standards SS-1 / SS-2; allied Rules, Notifications and MCA Orders -------------------------------------------------------------------------------- CONTENTS -------------------------------------------------------------------------------- 1. About the tool 2. Getting started 3. Data, privacy and storage 4. The screen layout 5. Dashboard 6. Entity Master (Company / LLP) 7. Directors & KMP / Partners 8. Compliance Tracker (ROC filings) 9. Compliance Calendar (consolidated, all entities) 10. Statutory Registers 11. Form DIR-8 12. Form MBP-1 13. DIR-3 KYC tracker 14. Bulk import from Excel / CSV 15. Exporting documents (Word / PDF / Print) 16. Backup and restore 17. Recommended workflow 18. Statutory reference summary 19. Important notes and disclaimer 20. Support -------------------------------------------------------------------------------- 1. ABOUT THE TOOL -------------------------------------------------------------------------------- The Company & LLP Compliance Suite is an offline, single-file application for maintaining the secretarial and ROC compliance records of companies and LLPs. From one workspace you can: - maintain masters for any number of companies and LLPs; - record directors, KMP and designated partners; - track ROC filings (AOC-4, MGT-7/7A, DPT-3, MSME-1 for companies; Form 11 and Form 8 for LLPs) with auto-computed due dates; - view a single, portfolio-wide compliance calendar across all entities; - generate the statutory registers under the Companies Act, 2013; - prepare Form DIR-8, Form MBP-1 and track DIR-3 KYC; and - export every document to Word and PDF, or print it. Every generated document carries statutory citations and a firm footer. -------------------------------------------------------------------------------- 2. GETTING STARTED -------------------------------------------------------------------------------- a. The tool is a single file named "Company-Law-Compliance-Suite.html". b. Double-click the file, or open it in any modern web browser (Google Chrome, Microsoft Edge or Mozilla Firefox are recommended). c. No installation, login or internet connection is required to use it. d. To create your first entity, click "+ Company" or "+ LLP" at the top right and enter the name when prompted. Tip: keep the file in a known folder (for example, a client compliance folder on your office drive). You may keep separate copies of the file for different client groups if you prefer to segregate data. -------------------------------------------------------------------------------- 3. DATA, PRIVACY AND STORAGE -------------------------------------------------------------------------------- - All data you enter is stored locally in the browser on the computer you are using (browser local storage). Nothing is uploaded to any server. - Because data is tied to the browser and computer, opening the file on a different computer or browser will not show the same data. Use Backup and Restore (section 16) to move data between machines. - Clearing the browser's site data, or using private/incognito mode, can remove stored data. Take regular backups. - Only one online action exists: importing an ".xlsx" file fetches a small spreadsheet reader on first use. CSV import is fully offline (section 14). -------------------------------------------------------------------------------- 4. THE SCREEN LAYOUT -------------------------------------------------------------------------------- Header (top bar) - Firm monogram and title. - "Entity" selector: choose the company or LLP you are working on. The selected entity drives every per-entity tab. LLPs show an [LLP] badge. - "+ Company" and "+ LLP" buttons to add a new entity. Tab bar (below the header) Dashboard | Entity Master | Directors & KMP | Compliance Tracker | Compliance Calendar | Statutory Registers | Form DIR-8 | Form MBP-1 | DIR-3 KYC Working area - The selected tab is shown here. - When you generate a document, a preview appears at the bottom of the tab with Download PDF, Download Word and Print buttons. The preview is editable: click into it to fine-tune before exporting. -------------------------------------------------------------------------------- 5. DASHBOARD -------------------------------------------------------------------------------- The Dashboard gives a snapshot of the currently selected entity: - key counts (directors / partners, registers in use, etc.); - DIR-3 KYC status and any pending ROC filings for the current year; and - a quick summary to confirm you are working on the correct entity. The portfolio-wide view across all entities is on the Compliance Calendar tab. -------------------------------------------------------------------------------- 6. ENTITY MASTER (COMPANY / LLP) -------------------------------------------------------------------------------- Use this tab to record the particulars of the selected entity. The fields shown adapt to the entity type: Company fields: Name, CIN, Category (e.g. Private Limited), Date of Incorporation, PAN, TAN, GSTIN, Registrar of Companies (ROC), Authorised Share Capital, Paid-up Share Capital, Registered Office Address, Email, Phone, Website. LLP fields: Name, LLPIN, Date of Incorporation, Date of LLP Agreement, PAN, TAN, GSTIN, Registrar (ROC), Total Obligation of Contribution, Business Activity / Main Business, Registered Office Address, Email, Phone, Website. These particulars flow into the headers of every document and into the compliance due-date calculations. You can also bulk-import entities here using the Company Master or LLP Master templates (section 14). -------------------------------------------------------------------------------- 7. DIRECTORS & KMP / PARTNERS -------------------------------------------------------------------------------- Record the directors, key managerial personnel (for companies) and designated partners / partners (for LLPs) of the selected entity. Fields: Name, DIN / DPIN, PAN, Designation, Date of Appointment, Date of Cessation, and Shares held / Contribution. - Add, edit and delete rows as needed. - The designation list covers company offices (Director, Managing Director, Whole-time Director, Independent Director, CS, CFO, Manager, etc.) and LLP roles (Designated Partner, Partner). - For companies, this master feeds Form DIR-8, Form MBP-1, the Register of Directors & KMP and the DIR-3 KYC tracker, so capture DIN, PAN and dates accurately. You can bulk-import this master from the Director / Partner Master template (section 14). Select the entity first; imported rows go into that entity. -------------------------------------------------------------------------------- 8. COMPLIANCE TRACKER (ROC FILINGS) — per entity -------------------------------------------------------------------------------- Tracks the periodic ROC filings of the selected entity for a chosen financial year, with auto-computed statutory due dates. Companies: AOC-4 / AOC-4 XBRL / AOC-4 CFS / AOC-4 NBFC (Financial Statements) - Section 137 r/w Rule 12, Companies (Accounts) Rules, 2014 - Due within 30 days of the AGM. MGT-7 / MGT-7A (Annual Return) - Section 92 r/w Rule 11, Companies (Mgt & Admin) Rules, 2014 - Due within 60 days of the AGM. DPT-3 (Return of Deposits) - Rule 16, Companies (Acceptance of Deposits) Rules, 2014 - Due by 30 June. MSME-1, first half (April-September) — by 31 October. MSME-1, second half (October-March) — by 30 April. - MCA Order dated 22.01.2019 issued under Section 405. LLPs: LLP Form 11 (Annual Return) - Section 35, LLP Act 2008 r/w Rule 25(1) — by 30 May. LLP Form 8 (Statement of Account & Solvency) - Section 34, LLP Act 2008 r/w Rule 24 — by 30 October. How to use: 1. Select the entity in the header and open "Compliance Tracker". 2. Choose the Financial year. 3. For companies, enter the Date of AGM. AOC-4 then falls due 30 days after the AGM and MGT-7 / MGT-7A 60 days after the AGM. If no AGM date is entered, a 30 September AGM is assumed. 4. For each form, set the Status (Pending / Filed / Not Applicable) and record the form variant, Date of filing, SRN and any Remarks. 5. Overdue items are flagged automatically. 6. Click "Preview compliance status report" to generate a report you can export to Word / PDF or print. Note: MSME-1, DPT-3 and the LLP forms carry fixed statutory dates and are not affected by the AGM date. -------------------------------------------------------------------------------- 9. COMPLIANCE CALENDAR (CONSOLIDATED, ALL ENTITIES) -------------------------------------------------------------------------------- A single, portfolio-wide view of every ROC due date across all companies and LLPs in the workspace, sorted by due date and grouped by month. Controls: - Financial year: choose a year, or "All tracked years" to merge every year on record into one timeline. - Entity scope: All entities / Companies only / LLPs only. - Show: All filings / Open (not filed) / Overdue only / Due within 30 days / Filed. - Search: filter by entity name or form (for example, "Acme" or "MGT-7"). Display: - KPI tiles: entities in scope, overdue, due within 30 days, open, filed. - Month groups with the current month highlighted; overdue rows are shaded and each item shows days overdue or days remaining. - "Open" on any row jumps to that entity's Compliance Tracker. - "Preview consolidated calendar report" produces a firm-letterhead report grouped by month, with a portfolio summary, for export or print. The calendar draws status, filing dates, SRNs and AGM dates directly from each entity's Compliance Tracker. Each company's own AGM date drives its AOC-4 (AGM + 30 days) and MGT-7 (AGM + 60 days) dates individually. -------------------------------------------------------------------------------- 10. STATUTORY REGISTERS -------------------------------------------------------------------------------- Generate the statutory registers of the selected company in ready-to-print format. Registers available: - Register of Members (MGT-1, S.88) - Register of Debenture-holders / Security-holders (MGT-2) - Register of Directors and KMP and their shareholding (S.170 / Rule 17) - Register of Charges (CHG-7, S.85) - Register of Renewed and Duplicate Certificates (SH-2) - Register of Sweat Equity Shares (SH-3, S.54) - Register of Employee Stock Options (SH-6, S.62) - Register of Shares / Securities Bought Back (SH-10, S.68) - Register of Deposits (S.73) - Register of Loans, Guarantee, Security, Investment (MBP-2, S.186) - Register of Investments not held in own name (MBP-3, S.187) - Register of Contracts with related parties / interested directors (MBP-4, S.189) - Register of Postal Ballot (S.110) - (and the Meetings / Attendance record under SS-1) How to use: 1. Select the company and open "Statutory Registers". 2. Choose a register from the selector. 3. Add entries, or tick the option to produce a blank fillable format (pre-drafted columns with empty rows) for manual maintenance. 4. Preview, then export to Word / PDF or print. -------------------------------------------------------------------------------- 11. FORM DIR-8 -------------------------------------------------------------------------------- Generates a director's intimation of non-disqualification. - Basis: Section 164(2) read with Section 143(3)(g) and Rule 14(1) of the Companies (Appointment and Qualification of Directors) Rules, 2014. - Select the director from the company's master, set the financial year, preview and export. -------------------------------------------------------------------------------- 12. FORM MBP-1 -------------------------------------------------------------------------------- Generates a director's notice of interest / concern in other entities. - Basis: Section 184(1) read with Rule 9(1) of the Companies (Meetings of Board and its Powers) Rules, 2014. - Maintain the director's schedule of interests, then preview and export. -------------------------------------------------------------------------------- 13. DIR-3 KYC TRACKER -------------------------------------------------------------------------------- Tracks the annual DIR-3 KYC compliance of directors / designated partners. - Basis: Rule 12A of the Companies (Appointment and Qualification of Directors) Rules, 2014. - Due date: 30 September of the financial year immediately following the financial year in which the DIN was holding (auto-computed). - Record the mode (e-Form DIR-3 KYC or web-based KYC), status and SRN. - A late filing of DIR-3 KYC attracts a fee of Rs. 5,000 for reactivation of a deactivated DIN. -------------------------------------------------------------------------------- 14. BULK IMPORT FROM EXCEL / CSV -------------------------------------------------------------------------------- Three templates are provided: - Company-Master-Template.xlsx (companies) - LLP-Master-Template.xlsx (LLPs) - Director-Master-Template.xlsx (directors, KMP and partners) General rules: - Enter one record per row, starting at row 4. Rows 2-3 are greyed-out examples you may overwrite or delete. - Do not rename or reorder the header row; columns are mapped by name. - Dates may be entered as YYYY-MM-DD (preferred) or DD/MM/YYYY. - Amounts may be plain numbers (no commas or currency symbols required). Importing entities (Company and LLP masters): 1. Open the "Entity Master" tab. 2. Click "Import Excel / CSV" and choose your file. 3. Companies and LLPs import through the same button. The tool identifies a company by its CIN and an LLP by its LLPIN; the "Entity Type" column confirms the type. 4. Matching: a row whose CIN (company) or LLPIN (LLP) matches an existing entity UPDATES that entity; otherwise a new entity is ADDED. Importing directors / partners: 1. FIRST select the entity in the header. 2. Open the "Directors & KMP" tab. 3. Click "Import Excel / CSV". Rows import into the SELECTED entity. 4. Matching: a row whose DIN / DPIN matches an existing record UPDATES it; others are ADDED. Offline note: - ".csv" import works fully offline. - ".xlsx" import fetches a small reader from the internet on first use. If you are offline, save the template as CSV and import that instead. -------------------------------------------------------------------------------- 15. EXPORTING DOCUMENTS (WORD / PDF / PRINT) -------------------------------------------------------------------------------- Every register, form, tracker report and the consolidated calendar can be exported. After you click a "Preview ..." button: - The document appears in an editable preview. Click into it to make last-minute edits before exporting. - Download PDF : saves a PDF (A4 / Legal as appropriate). - Download Word : saves an editable .doc file. - Print : opens the browser print dialog. Tip: for the cleanest PDF, use Download PDF. If a PDF does not generate while offline, use Print and choose "Save as PDF" in the print dialog. -------------------------------------------------------------------------------- 16. BACKUP AND RESTORE -------------------------------------------------------------------------------- Because data is stored locally, take regular backups. - Backup : exports all entities and their data to a single JSON file. Save it to your office drive with a dated name, e.g. "compliance-backup-2026-06-17.json". - Restore : loads a previously saved JSON backup. This is also how you move data to another computer or browser. Recommended practice: take a backup at the end of each working session and before clearing browser data or updating the tool file. -------------------------------------------------------------------------------- 17. RECOMMENDED WORKFLOW -------------------------------------------------------------------------------- Step 1 Create entities (+ Company / + LLP), or bulk-import them using the Company and LLP master templates. Step 2 Complete each entity's Entity Master particulars. Step 3 Add directors / KMP / partners, or bulk-import them per entity. Step 4 In the Compliance Tracker, set the financial year and (for companies) the AGM date; mark filings as they are completed with SRN and date. Step 5 Use the Compliance Calendar to monitor the whole portfolio, acting on overdue and due-within-30-days items first. Step 6 Generate registers and forms as required; export to Word / PDF. Step 7 Take a backup at the end of the session. -------------------------------------------------------------------------------- 18. STATUTORY REFERENCE SUMMARY -------------------------------------------------------------------------------- Form / Item Particulars Basis Due ----------- ------------------------------ ------------------- ---------- AOC-4 (& var.) Financial Statements S.137 / Rule 12 AGM + 30 days MGT-7 / 7A Annual Return S.92 / Rule 11 AGM + 60 days DPT-3 Return of Deposits Rule 16 Deposits Rules 30 June MSME-1 (H1) Dues to MSEs, Apr-Sep MCA Order 22.01.2019 31 October MSME-1 (H2) Dues to MSEs, Oct-Mar (u/s 405) 30 April LLP Form 11 Annual Return of LLP S.35 / Rule 25(1) 30 May LLP Form 8 Statement of Acct & Solvency S.34 / Rule 24 30 October DIR-8 Non-disqualification S.164(2) / Rule 14(1) Annual MBP-1 Disclosure of interest S.184(1) / Rule 9(1) First Board meeting / change DIR-3 KYC Director / DP annual KYC Rule 12A 30 September Registers Members MGT-1 (S.88); Debenture/Security-holders MGT-2; Directors & KMP (S.170/Rule 17); Charges CHG-7 (S.85); Renewed/Duplicate SH-2; Sweat Equity SH-3 (S.54); ESOP SH-6 (S.62); Buy-back SH-10 (S.68); Deposits (S.73); Loans/Guarantee/Investment MBP-2 (S.186); Investments not in own name MBP-3 (S.187); Related-party contracts MBP-4 (S.189); Postal Ballot (S.110); Meetings / Attendance (SS-1). -------------------------------------------------------------------------------- 19. IMPORTANT NOTES AND DISCLAIMER -------------------------------------------------------------------------------- - The tool computes due dates and prepares drafts based on the data you enter and the statutory provisions current at the time of preparation. Due dates, form versions and fee structures are subject to amendment and to periodic MCA relaxation circulars. Always verify the applicable due date and the latest form version on the MCA portal (www.mca.gov.in) before filing. - All registers, forms, certificates and reports must be reviewed and authenticated by the authorised director / designated partner / Company Secretary before being used as a statutory record or filed. - The tool is an aid to professional work and does not replace professional judgement or a review of the underlying records and applicable law. - References to sections, rules, notifications and standards are provided for convenience; the operative provisions of the relevant Act and the rules made thereunder prevail. -------------------------------------------------------------------------------- 20. SUPPORT -------------------------------------------------------------------------------- Mahesh Chandra & Associates, Chartered Accountants PVA Consultants Prepared by CA Vipul Vishnu Awaghade, Partner Website : www.maheshchandra.in Tools : tools.pvaconsultants.com ================================================================================ End of User Guide ================================================================================