Your ROC Compliance, Simplified

A clear, guided process to help your company meet applicable ROC filing and statutory compliance requirements.

  1. 01

    Initial Consultation

    Understand your company structure, filing status, and compliance requirements.

  2. 02

    Compliance Assessment

    Identify applicable ROC forms, statutory deadlines, and pending filings.

  3. 03

    Document Collection

    Collect financial statements, board resolutions, annual reports, and company records.

  4. 04

    Document Preparation

    Review company details and prepare the required ROC forms and supporting documents.

  5. 05

    ROC Form Submission

    File the applicable forms with the Ministry of Corporate Affairs (MCA) portal.

  6. 06

    Filing Confirmation

    Review submission status and retain acknowledgements for company records.

Professional Assistance at Every Stage

Get support with statutory documentation, ROC form preparation, and applicable company compliance requirements.

Schedule a Compliance Consultation

Overview

ROC Compliance & Filings involve submitting mandatory forms, annual returns, financial statements, and other statutory documents to the Registrar of Companies (ROC) through the Ministry of Corporate Affairs (MCA) portal. CA Lokesh Pratap Singh provides professional assistance with annual ROC filings, AOC-4, MGT-7/MGT-7A, DIR-3 KYC, and applicable event-based filings. These services help companies maintain statutory compliance, keep corporate records updated, and manage filing deadlines under applicable provisions of the Companies Act, 2013.

Advantages

Advantage Description
Regulatory Compliance Helps companies fulfil applicable statutory filing requirements under the Companies Act.
Avoidance of Late Filing Penalties Supports timely submission of required forms to reduce the risk of additional fees and penalties.
Updated Company Records Helps maintain accurate company information and statutory records with the MCA.
Improved Business Credibility Demonstrates a commitment to corporate governance and statutory responsibilities.
Financial Transparency Supports proper reporting of financial statements and annual company information.
Better Corporate Governance Encourages organised documentation, statutory reporting, and compliance monitoring.
Reduced Compliance Burden Professional assistance helps simplify form preparation, document verification, and filing procedures.
Support for Business Continuity Helps companies manage ongoing statutory obligations and maintain compliance records as required.

Eligibility Criteria

Eligibility Criteria Details
Private Limited Companies Companies must complete applicable annual ROC filings and statutory compliance requirements.
Public Limited Companies Companies must submit prescribed annual returns, financial statements, and other required statutory forms.
One Person Companies (OPCs) OPCs must comply with applicable annual filing requirements, including prescribed financial statement and annual return filings.
Section 8 Companies Eligible non-profit companies must meet applicable ROC filing and reporting obligations.
Companies with Active Directors Directors must complete applicable KYC and other statutory requirements within prescribed timelines.
Companies with Changes in Particulars Companies must file prescribed forms when reportable changes occur in directors, registered office, share capital, or other company details.
Newly Incorporated Companies New companies must complete applicable post-incorporation filings and ongoing statutory compliance.
Required Company Records Relevant financial statements, board resolutions, statutory registers, director details, and other supporting documents may be required.

Note: Applicable forms, due dates, and filing obligations depend on the company's type, status, and circumstances under the Companies Act and MCA rules.

Documents Required

Document Purpose
Certificate of Incorporation Verifies the company's legal incorporation and registration details.
Company PAN Details Supports company identification and statutory filing requirements.
Financial Statements Provides balance sheets, profit and loss statements, and other financial information for applicable annual filings.
Board Meeting Resolutions Documents relevant board approvals and decisions required for statutory filings.
Annual General Meeting (AGM) Details Provides meeting dates and related information for applicable annual return filings.
Director KYC Documents Supports director identification and applicable DIR-3 KYC compliance.
Shareholding Details Provides shareholder information and share capital details for applicable company filings.
Registered Office Proof Supports verification of the company's registered office address, where required.
Auditor's Report Provides the auditor's report and related financial information, where applicable.
Previous ROC Filing Records Helps verify earlier submissions, filing acknowledgements, and outstanding compliance requirements.

Note: The documents required depend on the company type, applicable ROC forms, and the specific compliance or filing being completed.

Process

Step Process Description
01 Initial Consultation Understand your company's structure, compliance status, and statutory filing requirements.
02 Compliance Assessment Identify applicable ROC forms, filing deadlines, and pending statutory obligations.
03 Document Collection Collect financial statements, director details, board resolutions, and other required company records.
04 Form Preparation & Verification Prepare the applicable ROC forms and verify company information and supporting documents.
05 Online ROC Filing Submit the required forms and documents through the official Ministry of Corporate Affairs (MCA) portal.
06 Filing Confirmation Review submission status and retain the filing acknowledgements and records for future reference.

Features

Feature Description
Annual Return Filing Assistance with applicable annual return forms, including MGT-7 or MGT-7A, based on company eligibility.
Financial Statement Filing Support with preparing and filing financial statements through the applicable AOC-4 form.
Director KYC Compliance Guidance on completing DIR-3 KYC requirements for directors, where applicable.
Event-Based Filings Assistance with prescribed filings for changes in directors, registered office, share capital, and other reportable events.
Statutory Deadline Tracking Helps monitor applicable filing due dates and manage compliance schedules.
Digital Form Submission Supports electronic filing of applicable forms through the official Ministry of Corporate Affairs portal.
Document Verification Reviews company records and supporting documents for consistency before submission.
Filing Record Maintenance Helps maintain filing acknowledgements and statutory compliance records for future reference.

Types

Filing Type Description
Annual Return Filing (MGT-7 / MGT-7A) Reports prescribed company details, shareholding information, and other annual compliance particulars, using the applicable form.
Financial Statement Filing (AOC-4) Submits the company's financial statements and related documents to the Registrar of Companies.
Director KYC (DIR-3 KYC) Supports compliance with applicable KYC requirements for directors holding a Director Identification Number (DIN).
Director Appointment or Resignation Reports applicable changes in the company's board of directors through prescribed MCA forms.
Registered Office Change Records changes to the company's registered office address in accordance with applicable procedures.
Share Capital Changes Covers prescribed filings relating to changes in authorised or paid-up share capital, where applicable.
Auditor Appointment Filing Reports the appointment or relevant changes of statutory auditors through applicable forms.
Other Event-Based Filings Includes prescribed filings for reportable corporate events, resolutions, and changes in company particulars.

Note: The applicable forms and filing requirements depend on the company type, corporate event, and provisions of the Companies Act and MCA rules.

Why Us

Why Choose Us What You Get
Professional Compliance Guidance Assistance in understanding applicable ROC filing requirements and statutory obligations.
Accurate Documentation Careful review of company records and supporting documents before filing.
Annual Filing Assistance Support with applicable annual returns, financial statements, and statutory forms.
Deadline Management Guidance on applicable filing deadlines to help reduce the risk of late filing.
Event-Based Filing Support Assistance with prescribed filings for changes in directors, registered office, share capital, and other company details.
Transparent Communication Clear information about documentation, filing procedures, and applicable professional fees.
Filing Status Updates Support with tracking submissions and maintaining filing acknowledgements.
Ongoing Compliance Assistance Guidance on future ROC filings and statutory requirements relevant to your company.

FAQs

1. What is ROC Compliance & Filing?

ROC Compliance & Filing involves submitting mandatory annual returns, financial statements, and other prescribed documents to the Registrar of Companies through the Ministry of Corporate Affairs (MCA) portal.

2. Who needs to complete ROC Compliance?

Companies registered under the Companies Act, 2013, including private limited companies, public limited companies, and One Person Companies, must fulfil applicable statutory filing requirements.

3. Which forms are commonly required for ROC Filing?

Common forms include AOC-4 for financial statements, MGT-7 or MGT-7A for annual returns, and DIR-3 KYC for applicable director KYC requirements. The applicable forms depend on the company's circumstances.

4. What happens if a company misses an ROC filing deadline?

Late filing may result in additional fees, penalties, or other consequences under applicable company law. Companies should monitor statutory deadlines and complete required filings on time.

5. What documents are required for ROC Compliance?

Common documents include financial statements, board resolutions, director details, shareholding information, auditor reports, and previous filing records, depending on the specific compliance requirement.