Other Professional Services

ROC & Company Secretarial Services

Our Company Secretarial Services help businesses stay compliant with the Companies Act, 2013 and related regulations — ensuring smooth governance, accurate documentation, and timely filings with the Registrar of Companies (ROC).

Our Services

• Advisory on company law compliance and regulatory matters
• Formation of LLPs, Private Limited, and Public Limited companies
• Assistance in obtaining Certificates of Incorporation and Commencement of Business
• Maintenance of Statutory Registers, Minutes, and Secretarial Records
• Drafting and vetting of Board and Shareholder Resolutions, Notices, and Agendas
• Preparation and e-filing of ROC Forms, Annual Returns, and XBRL reports
• Guidance on amendments and ongoing compliance under the Companies Act
• Secretarial audit coordination and support

Software Technology Parks of India (STPI)

Businesses operating under the STPI Scheme enjoy benefits designed to promote India’s software exports — but maintaining compliance requires timely filings and documentation. Pankaj R. Shah & Associates provides complete STPI-related advisory and compliance services to help software exporters operate seamlessly.

Our Services

• STPI registration and renewal support for new and existing units
• Consultancy on STPI scheme benefits, eligibility, and compliance
• SOFTEX filing for export of software and IT-enabled services
• Preparation and submission of Monthly, Quarterly, and Annual Performance Reports (MPR/QPR/APR) to STPI authorities
• Advisory on maintaining statutory and operational records under the STPI framework
• Assistance in obtaining approvals from STPI authorities for various business activities

SEBI & Capital Markets Advisory Services

Capital markets demand precision, compliance, and expert navigation of complex regulatory frameworks. Our SEBI-related services support companies through every phase — from fundraising to ongoing governance — ensuring full compliance with SEBI, BSE, and NSE regulations.

Fundraising & Capital Structuring

• Advisory on IPO, FPO, Rights Issue, Bonus Issue, Preferential Allotment, and ESOP/ESPS
• Structuring and issue of convertible/non-convertible debentures and bonds
• Assistance in Private Equity placements, Joint Ventures, and Financial Collaborations
• Support in listing and delisting of securities
• Guidance on Takeover Code, SEBI, and Stock Exchange compliance

IPO & Listing Support

• End-to-end IPO readiness review — including financial, legal, and tax restructuring
• Preparation of Restated Financial Statements and coordination with stock exchanges
• Assistance with due diligence and compliance documentation
• Advisory on corporate governance and Clause 49 / Listing Regulations
• Support for quarterly and annual disclosures, postal ballots, and AGM proceedings

Ongoing SEBI Compliance & Representation

• Advisory on SEBI regulations including Takeover Code, Insider Trading, and ICDR
• Filing and certification of statutory forms and returns under various SEBI regulations
• Representation and assistance in obtaining SEBI/BSE/NSE approvals
• Coordination for Secretarial and SEBI Audits of listed companies
• Guidance on delisting and related regulatory procedures

RBI & FEMA Advisory Services

Our RBI and FEMA advisory practice provides complete assistance for cross-border transactions, investments, and regulatory compliance under FEMA and related RBI guidelines. We support both inbound and outbound investments, ensuring full procedural and documentation compliance.

General FEMA & RBI Advisory

• End-to-end advisory on FEMA regulations and compliance matters
• Assistance for Foreign Direct Investment (FDI), Overseas Direct Investment (ODI), and External Commercial Borrowings (ECB)
• Liaising with RBI and Authorised Dealer Banks for approvals, filings, and certifications
• Advisory for setting up Liaison, Project, or Branch Offices in India
• Support in transfer of shares, immovable property transactions, and repatriation of funds
• Handling compounding applications before RBI for FEMA violations

Foreign Direct Investment (FDI)

• Advisory and procedural support for FDI approvals and filings with RBI
• Assistance in creation of Entity Master and Business User ID on FIRMS portal
• Filing of Form FC-GPR/FC-TRS and obtaining RBI acknowledgments
• Preparation and submission of Foreign Assets & Liabilities (FLA) returns
• Valuation certification and documentation as per DCF method

Overseas Direct Investment (ODI)

• Assistance in RBI approvals and Form ODI submissions for investments abroad
• Preparation of Board Resolutions, Form A2, and Annexure IIIA under automatic/approval routes
• Compliance certification and UIN generation
• Filing of Annual Performance Reports (APR) and FLA returns for foreign subsidiaries and JVs
• Advisory on FEMA documentation and periodic disclosures

External Commercial Borrowings (ECB)

• Advisory and procedural support for obtaining ECB approvals
• Drafting of Loan Agreements, Declarations, and FEMA documents
• Assistance in calculating average maturity and limit eligibility
• Filing of Form 83 and obtaining Loan Registration Number (LRN)
• Submission of periodic ECB returns to RBI

Mergers & Acquisition (M&A) Advisory

We provide strategic and end-to-end support for business restructuring through Mergers, Demergers, Slump Sales, Subsidiarisation, Buy-outs, and Valuations. Our team ensures that every transaction is compliant, value-driven, and seamlessly executed across legal, financial, and operational dimensions.

Our Services Include

• Strategic Evaluation: Assessing all available options to identify the most effective mode of acquisition or restructuring.
• Due Diligence: Comprehensive review across business, legal, tax, accounting, and financial aspects to identify risks and opportunities.
• Valuation Services: Determining fair value and exchange ratios using recognized methodologies to ensure transparency and compliance.
• Transaction Structuring: Advising on accounting methods, consideration mechanisms, and tax-efficient transaction structures.
• Documentation & Compliance: Drafting acquisition or merger agreements, share purchase documents, and Schemes of Merger/Demerger in line with NCLT and ROC requirements.
• Post-Transaction Support: Managing all post-merger/demerger formalities and ensuring full legal and regulatory implementation.

Incentives / Rebate / Assistance

We assist businesses in availing government incentives and rebates under various Foreign Trade Policy (FTP) and state-level schemes designed to promote exports and industrial growth. Our services cover the complete process — from eligibility assessment and documentation to application filing and follow-up with authorities.

Foreign Trade Policy (FTP) Schemes

• RoDTEP (Remission of Duties and Taxes on Exported Products): Assistance in claiming remission of duties and taxes on exported goods.
• Advance Authorization Scheme: Advisory and documentation support for duty exemption on import of inputs for export production.
• Duty-Free Import Authorization (DFIA): End-to-end assistance for DFIA-related applications and utilization.
• Duty Drawback (DBK) Scheme: Support in filing and obtaining duty drawback refunds.
• RoSCTL (Rebate of State and Central Taxes and Levies): Specialized assistance for textile exporters under the Ministry of Textiles scheme.
• EPCG (Export Promotion Capital Goods): Advisory and compliance support for availing duty benefits on capital goods imports.

State-Level Incentive Schemes

• Industrial promotion and IT/ITeS incentives issued by the Government of Gujarat and other states.
• GST refund claims and industrial assistance schemes administered by state industry departments and commissionerates.

Alternate Investment Fund (AIF) Advisory

We provide comprehensive advisory and compliance support for setting up and managing Alternate Investment Funds (AIFs) in India and the IFSC Gift City. Our team assists clients through every stage — from legal structuring and registration to ongoing regulatory compliance and reporting.

Our AIF Services Include

• Entity Structuring: Guidance on choosing the optimal legal structure — Trust, LLP, or Company — for establishing an AIF in India.
• Category Advisory: Assistance in determining the appropriate AIF category (I, II, or III) based on investment objectives and regulatory fit.
• Formation & Registration: End-to-end support for formation and registration of AIFs with SEBI and IFSCA (Gift City), including documentation and representation.
• Regulatory Compliance: Ensuring alignment with applicable laws and authorities including SEBI, RBI, IFSCA, the Companies Act, LLP Act, and the Income Tax Act.
• Ongoing Support: Assistance with maintenance of statutory records, periodic reporting, and filings required under the AIF regulatory framework.

Miscellaneous Services

Our expertise extends beyond core audit and tax functions to a wide range of specialized advisory and compliance services that support businesses through every stage of growth and transformation.

Advisory & Transaction Support

• Drafting and vetting of agreements, contracts, and MOUs.
• Business and financial due diligence covering technical, legal, and operational aspects.
• Valuation services for regulatory and transactional purposes in line with:
  • FEMA, The Companies Act, and Rule 11 UA of the Income-tax Rules
  • ODI and AIF regulations
  • Swap ratio and fair value certification requirements
• Arbitration and dispute resolution support.

Certification & Compliance

• Issuance of certificates for turnover, net worth, cash disbursement, and regulatory filings.
• Physical verification of stock and fixed assets.
• Reconciliation of TDS and other tax-related records.
• Acting as Surveyor / Loss Assessor for insurance or financial assessments.

Project & Investment Facilitation

• Advisory on import–export operations, EOU and SEZ unit setup.
• Guidance for inbound and outbound investment, including SOP formulation and RBI compliance.
• Assistance with renewable energy ventures such as wind and solar projects.
• Strategic planning and project evaluation for new and ongoing ventures.

Management Consulting

• Comprehensive management consultancy for performance improvement, process optimization, and strategic growth initiatives.