Raising money is a legal sequence, not a bank transfer: offer letters, valuation, board and shareholder approvals, separate bank account where required, allotment within time limits, PAS-3 to the ROC, stamped certificates. Skip a step and the round works commercially but limps legally for years.
| Item | Position |
|---|---|
| Private placement | Defined offer process; allotment within 60 days of money; PAS-3 within 15 days |
| Rights issue | Offer to existing holders in proportion; its own timeline discipline |
| Use of funds | Placement money is restricted until allotment + filing are done |
| Certificates | Issue and stamp within the prescribed period after allotment |
The complete allotment file: approvals, offers, valuation reference, PAS-3 with SRN, stamped certificates, updated registers — the exact bundle the next diligence asks to see.
Term sheet/SSA, investor KYC, bank credit proofs, cap table, and prior allotment history.
Money movement dates drive statutory deadlines — tell us before funds move, not after. Investor cooperation on KYC and documents is the company's to obtain.
SHA negotiation, FEMA reporting for foreign money (run under the FDI scope, coordinated), and valuation reports (issued under the valuation engagement).
Money already came in last month. How bad?
Common and usually curable — the clock positions determine additional fees and the cure path. The costing is done before anything is filed, and honestly.
Can we use the funds while filings are pending?
Private-placement rules restrict use until allotment and filing — one of the most-tripped wires. The calendar exists to make the restriction short.
Foreign investor in the round?
Then FC-GPR timelines run alongside — handled with the FDI compliance scope so neither filing waits on the other.
Stamp duty on certificates — really?
Really, per state law, and diligence checks it. Cheap now; explanatory later.
The applicable scope, documentation, professional responsibilities and timelines are agreed in an engagement letter before commencement.
FDI & FC-GPRValuation for the RoundCap Table ManagementRequest a Scope DiscussionThis page describes the service in general terms as on 6 August 2026 and is not professional advice or an assurance of any outcome. Registrations, filings, refunds and departmental outcomes depend on facts and the concerned authority. Figures and due dates change; verify current positions before acting.
| Compliance | Due | Note |
|---|---|---|
| DPT-3 (deposits/loans return) | 30 June (annual) | Covers director loans and advances |
| DIR-3 KYC | 30 September | Now triennial for unchanged particulars |
| AGM (other than first) | 30 September | First AGM: 9 months from first FY end |
| AOC-4 / MGT-7 | 30 / 60 days from AGM | Rs 100 per day per form if late |
| MSME Form 1 | 30 April / 31 October | If MSE dues pending beyond 45 days |
| CCFS-2026 amnesty | Till 31 August 2026 | 90% additional-fee waiver + immunity |
Dates as generally applicable on 15 July 2026; extensions/notifications can change them — confirm current dates before relying.
Section and dates fixed before money moves.
Resolutions and offer documents executed.
Allotment inside limits; PAS-3 filed.
Issued, stamped, registered.
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