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ROC Compliances

ROC Annual Filing for a Private Limited Company is a critical regulatory requirement for every registered company in India, encompassing private limited companies, limited companies, one-person companies, and Section 8 companies. This procedure is aimed at ensuring transparency and compliance with the Companies Act, 2013. It necessitates the holding of an Annual General Meeting (AGM) and the submission of annual accounts to the Registrar of Companies (ROC). The AGM must take place within six months of the financial year’s end, usually by 30th September, with specific provisions for the timing of the first AGM for new companies.

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).

For businesses seeking expert assistance with their annual filings, stands as a comprehensive solution provider. With a dedicated team of Chartered Accountants, Company Secretaries, Lawyers, and business administrators, offers a full spectrum of company compliance, ROC compliance, and a broad array of professional and advisory services in India. The introduction of their E-Retainer Concept goes beyond the traditional Virtual CFO Services to encompass book-keeping, return filings, advisory, HR, payroll, vendor management, and various legal compliances, positioning itself as a holistic platform for businesses to manage their compliance and regulatory needs efficiently. For detailed assistance or consultation, businesses are encouraged to reach out to their compliance management team.


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:

Q1: What is 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.

Q2: Who needs to comply with ROC filings?

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.

Q3:What are the key documents required for ROC Annual Filing?

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.

Q4:What are the major forms involved in ROC Annual Filing?
  • 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.
Q5:What are the deadlines for these filings?
  • 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.
Q6:What happens if a company fails to comply with ROC filings?

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.

Q7: Can the financial year be different from 1st April to 31st March?

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).

Q8: How can a company correct a mistake made in ROC filings?

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.

Q9:Are digital signatures required for ROC filings?

Yes, digital signatures of the authorized directors or a practicing professional (CA/CS/CMA) are required for filing documents with the ROC.

Q10: How can a company keep track of its ROC filing deadlines?

Companies can monitor deadlines through the MCA portal, maintain an internal compliance calendar, or engage a professional service provider to ensure timely compliance.