Q.3 : We, a SEBI Registered partnership LLP firm, titles – Advantage Financial Planners LLP, FORMED IN 2013 and rest in 2014, have been following all compliance related since the beginning. HOWever, recent new rules, like issued in July 2020, need a carefully listed checklists. Hence it becomes necessary to have the right list and timing for submissions.

1. Please provide a complete list of all compliance related documents to be kept ready
2. A calendar of month wise – what is to be submitted when
3. Formats for these documents
4. Link to respective websites
5. Necessary precautions to be taken

Response:

ARIA has already posted detailed IA COMPLIANCES REFERENCER ver. 1.0 dt. 25-Apr-2021 (pdf document) authored by Sanjay Kadel & Co. Chartered Accountants. It is accessible to ARIA members upon login to the site.

Also, in connection to this, held a webinar too on 6-May-2021.

Broadly it contains, as you will find useful:

— Category-wise Monthly compliances calendar

— Requirements for Annual Compliance Audit

— Compliances relevant Glossary / Guidance References

You are requested to refer to the above-mentioned detailed – referencer document.
However, in case of any specific query – please do let us know.

—Replied by: ARIA forum expert, CA. Sanjay Kadel ( sk@sanjaykadel.com)

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