Services for clients across India. Applicable state, sector and professional requirements are assessed before an engagement.
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.
When this service is typically required
- A private placement or rights issue is closing and filings must follow the money
- Funds arrived before the paperwork — the classic cure situation
- Convertibles (CCPS/CCD) are converting and the allotment chain needs papering
- Historic allotments were never filed and diligence will find them
Indicative scope
- Route selection: private placement (Sec 42) vs rights (Sec 62) mechanics on your facts
- Documents: offer letters/LOF, resolutions, valuation coordination
- Timeline management: allotment and PAS-3 within statutory windows
- Share certificates, stamping and register updates
- Cure projects for late/unfiled past allotments, costed upfront
Key points at a glance
| 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 |
Deliverables
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.
Information and documents generally required
Term sheet/SSA, investor KYC, bank credit proofs, cap table, and prior allotment history.
Engagement process
Client responsibilities, assumptions and reliance
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.
Scope exclusions
SHA negotiation, FEMA reporting for foreign money (run under the FDI scope, coordinated), and valuation reports (issued under the valuation engagement).
Frequently asked questions
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.