ROC Compliances
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ROC Compliances
Key filings required include:
ROC Form MGT-7:
This form is focused on the shareholding structure, directorship changes, and share transfer details during the year, with a filing deadline of 28th November, 60 days after the AGM
ROC Form AOC-4:
Due by 29th October (30 days after the AGM), this form contains the balance sheet, profit & loss account, compliance certificate, and management information.
ROC Form ADT-1:
This form, related to auditor appointments, is due by 14th October, within 15 days of the AGM's conclusion.
Non-compliance with these filing requirements can lead to significant penalties, in addition to the standard fees charged by the Ministry of Corporate Affairs (MCA).
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Most Popular Questions
Frequently Asked Questions (FAQs) for ROC Compliance can help clarify common queries and concerns regarding the regulatory requirements for companies in India. Here are some FAQs designed to address the key aspects of ROC compliance:
ROC Compliance refers to the regulatory requirements mandated by the Registrar of Companies (ROC) under the Ministry of Corporate Affairs (MCA), India. It involves the submission of various forms, returns, and documents to ensure transparency and adherence to the legal obligations set forth in the Companies Act, 2013.
Every registered company in India, including private limited companies, public limited companies, one-person companies (OPCs), and Section 8 companies, must fulfill ROC compliance requirements annually.
The key documents include the Balance Sheet, Profit and Loss Account, Compliance Certificate, details of the registered office, Register of Members, details concerning shares and debentures, debt information, and details about the company's management.
- Form MGT-7: Annual return detailing the company's shareholding structure, changes in directorship, and share transfer details.
- Form AOC-4: Financial statements, balance sheet, and profit & loss account.
- Form ADT-1: Filed for the appointment of auditors.
- Form MGT-7: Must be filed within 60 days from the conclusion of the AGM, typically by 28th November.
- Form AOC-4: Due within 30 days from the conclusion of the AGM, generally by 29th October.
- Form ADT-1: Due within 15 days from the conclusion of the AGM, usually by 14th October.
Non-compliance can result in hefty penalties and additional fees, beyond the normal charges imposed by the MCA. It's crucial to adhere to the deadlines to avoid such penalties.
The Companies Act, 2013, mandates that the financial year of a company must start on 1st April and end on 31st March of the next year, except in certain cases approved by the National Company Law Tribunal (NCLT).
Corrections can be made by filing a revised form with the ROC, subject to the provisions of the Companies Act, 2013. It's advisable to consult with a professional or the ROC for guidance on correcting specific errors.
Yes, digital signatures of the authorized directors or a practicing professional (CA/CS/CMA) are required for filing documents with the ROC.
Companies can monitor deadlines through the MCA portal, maintain an internal compliance calendar, or engage a professional service provider to ensure timely compliance.