Our Core Compliance Services

1. Entity Formation & Corporate Structuring

• Company incorporation (USA – LLC, C-Corp, S-Corp / UK – Ltd / Canada – Corp / Europe jurisdictions)

• Drafting incorporation documents

• EIN registration (for US entities)

• State registrations & annual business license setup

• Corporate governance framework setup

2. SEC Compliance (For US Companies)

We help US-based entities meet Securities and Exchange Commission (SEC) requirements including:

• Form 10-K annual filings

• Form 10-Q quarterly filings

• Form 8-K current reports

• S-1, S-3 registration statements

• Insider reporting (Form 3, 4, 5)

• Equity & stock-based reporting

• Support for public companies, pre-IPO companies & companies preparing to raise capital

We ensure accuracy, timeliness, and full regulatory alignment with SEC standards.

3. Corporate Secretarial Compliance

• Maintaining statutory registers

• Preparing minutes, board resolutions & corporate records

• Annual general meeting (AGM) support

• Board meeting documentation

• Director appointment & resignation filings

• Shareholding & equity updates

4. Regulatory Filings & Annual Returns

• Country-specific filings for:

• USA: State annual reports, franchise tax filings

• UK: Companies House filings, Confirmation Statements

• Canada: Annual corporate returns

• Europe: Jurisdiction-specific business filings

• Middle East: Freezone & mainland regulatory filings

5. Governance, Risk & Compliance (GRC)

• Corporate governance structure design

• Internal control framework review

• Compliance risk assessments

• Policy creation (finance, HR, operations, IT)

• SOX compliance support (for US entities)

6. Contract & Document Compliance Review

• Vendor & customer contract compliance

• Review of shareholder agreements

• Legal document consistency checks

• Policy review and documentation

7. Foreign Qualification & Multi-State Compliance (USA)

Companies operating in multiple US states must register and maintain compliance in each:

• Foreign entity registration

• Multi-state annual reporting

• State-specific tax & compliance obligations

8. Ongoing Annual Compliance Management

• We manage your entire yearly compliance calendar:

• Compliance tracking & reminders

• Preparation & filing of annual statements

• Director & officer updates

• Beneficial ownership reporting (BOI in USA – FinCEN)

• Statutory document maintenance

Why Corporations Need Compliance Support

• Staying compliant across multiple jurisdictions prevents:

• Penalties & fines

• Business suspensions

• Loss of good standing status

• Tax complications

• Investor confidence issues

Who We Serve

• Foreign subsidiaries of Indian companies

• US-based startups & SMEs

• UK, EU, Canada, Middle East entities

• Multi-state and multi-country businesses

• Public & pre-IPO companies

• Private equity backed companies

Why Choose Kaalafino?

• Experts in global compliance: US, UK, EU, Canada, Middle East

• Strong team of CAs, CMAs, legal & compliance professionals

• Experience with SEC, Companies House, FinCEN, State regulators

• 100% accurate filings & on-time compliance management

• End-to-end support from incorporation to governance

• Cost-effective outsourced compliance team

• We act as your external compliance department, ensuring smooth operations and regulatory safety.

Our Compliance Process

• Compliance Assessment

• We evaluate your existing compliance status, gaps, risks & jurisdiction requirements.

• Compliance Calendar Setup

• We create a full-year schedule of filings, deadlines, and mandatory submissions.

• Documentation & Filing

• We prepare, review, and file all required forms, returns, and regulatory documents.

• Governance & Review

• Strengthening internal controls, policy frameworks, and risk frameworks.

• Ongoing Monitoring

• Proactive alerts, renewal reminders & continuous compliance tracking.

Deliverables You Receive

• Compliance dashboard & calendar

• Corporate records & statutory registers

• Annual/quarterly regulatory filings (SEC or local jurisdiction)

• Board resolutions & minutes

• Director/shareholding change filings

• BOI (Beneficial Ownership) reporting

• Compliance gap report

• Governance policies