ROC Compliance for Private Limited Company

Name: ROC Compliance for Private Limited Company
Brand: Registration Arena
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ROC Compliance for Pvt Ltd Company

Every Private Limited Company registered with the Ministry of Corporate Affairs (MCA) is required to comply laws under the Companies Act 2013. Accordingly, all companies are mandatorily required to file various e-forms to the regional Registrar of Companies (ROC) every year disclosing information about the appointment of auditor, financial statements, annual returns, board’s report, list of shareholders and directors etc.

A company is required to manage various operations in day-to-day business in line with the complex structure of Company Law, which can be a difficult task. Therefore, it is advisable to carry out ROC Filing of Company under the guidance of a professional for understanding the legal requirements and timely fulfilment of the compliances so as to avoid the penalties and fines.

What is the Due Date of ROC Filing for Private Limited Company?

The due date for filing forms and returns with ROC and MCA is different for each form and return. The below table shows the illustrative list of applicable due dates for the company.

Purpose of Form	Due Date
Form DPT 3 – Return of Deposits	30th June after the end of the financial year
Form DIR 3 – KYC of Directors	30th September after the end of the financial year
Form ADT 1 – Appointment of Directors	Within 15 days from the date of appointment or Annual General Meeting (AGM)*
Form AOC 4 – Filing of financial statement and other documents with the ROC	Within 30 days from the date of the Annual General Meeting (AGM)*
Form MGT 7 or MGT 7A – Filing of annual return with the ROC	Within 60 days from the date of the Annual General Meeting (AGM)*

*A company must hold Annual General Meeting (AGM) within a period of 6 (six) months from the end of the financial year. However, in the case of the 1^st AGM, the company can hold the AGM within 9 (nine) months from the end of the first financial year.

Advantages Of ROC Compliance

Avoid Heavy Penalty
A company has to mandatorily file ROC Returns every year under the Companies Act 2013. In case if it fails to file returns or doesn’t file required returns within the specified time period then the government charges heavy penalties on the company and its directors.
Attracts Potential Investors
The potential investors usually check the financial records and compliance status of the company under various laws, before investing in any company. Therefore, the companies with proper and regular compliance are preferred more by the investors.
To Maintain Active status of Company
If a company fails to file ROC returns under Companies Act, then apart from heavy penalties the Registrar of Companies (ROC) shall also declare the company as a defunct company and remove its name from the register, after which the company losses its existence and becomes ineligible to carry out further business operations.

Consequences of not Filing ROC Compliance for Pvt ltd Company

Payment of Additional Fees on Delayed Filings

If the company fails to file the Form AOC-4 or MGT-7 within the required time period, and files the same after the due date, then it shall be liable to pay the additional government fees of 100 per day per form. For other forms, it shall vary from 2 times to 12 times of the normal government fees, depending on the delayed time period.

Penalty on Company for default in filing Annual Return and Financial Statement

If the company fails to file financial statement and annual return in Form AOC-4 and MGT-7 within the required time period, then it shall also be liable to a penalty of Rs. 10,000 which shall extend to Rs. 2 lakhs, with further penalty of Rs. 100 for each day.

Penalty on the Officer who is in default in filing Annual Return and Financial Statement

If the company fails to file financial statement and annual return in Form AOC-4 and MGT-7 within the required time period, then the officer who is in default or the directors shall also be liable to a penalty of Rs. 10,000 which shall extend to Rs. 50,000, with a further penalty of Rs. 100 for each day.

Company liable for Strike Off or Closure by ROC

If the company does not file a financial statement and annual return to the ROC for a period of 2 years and if the ROC believes that the company is not carrying on any business or operation, then it shall send a notice to company/directors and remove its name from the Register of Companies (ROC)

Disqualification of Director

If a Company does not file financial statement and annual return for a continuous period of 3 years, then the Directors of such company shall be disqualified from being appointed as Director in any company for a period of 5 years.

What Is Included in our ROC Compliance Package for Pvt Ltd?

Preparing Notice for Annual General Meeting (AGM)
Preparing the directors’ disclosures of interest in other concerns
Preparing of Board’s report
Preparing of Annual return
Preparation of Board Meeting and Annual General Meeting (AGM) resolutions
Auditor’s appointment and reappointment documents and resolution (if any)
Filling of ROC forms ADT 1, AOC 4, MGT 7 with their respective attachments.
Advisory and Consultation with respect to limited transaction and matters.

Process of ROC Compliance for Private Limited Company

Collection of required Information and Documents
In the first step, we shall collect the required information and documents as per the checklist. We shall verify and confirm the documents and information provided.
Carrying out Compliance Process of the Company
Once we receive the information and documents, we shall then allocate a dedicated compliance professional who shall carry out the preparation and finalisation of various documents, forms, and returns as per the compliance requirements of the company.
Submission of Forms and Returns
After the forms and returns are prepared and finalised, it shall be signed by directors and Practicing Professional and shall be submitted to the Registrar of Companies (ROC) for approval purposes, after which an Acknowledgement Number shall be generated.
Get approval in few days
Once the form is successfully approved by the Registrar of Companies (ROC), you shall receive the mail of approval within few days from the government.

Documents Required for ROC Annual Filing

Certificate of incorporation of Company
Memorandum of Association (MOA), Article of Association (AOA), Company’s PAN Card
Audited copy of financial statement of company including Auditor’s Report
Digital signature of authorized director of company
Other information and documents as may be necessary

FAQ

Whether ROC filing is mandatory for all companies?Chandan Todi2021-09-18T22:31:42+05:30

Whether ROC filing is mandatory for all companies?

Yes, filing of returns with ROC is mandatory for all companies. It does not depend upon the total turnover or capital amount of the company; it is required to be done by every company registered under Companies Act 2013 irrespective of their turnover or capital.

What documents are filed with ROC during Annual ROC Compliances of Company?Chandan Todi2021-09-18T22:31:22+05:30

What documents are filed with ROC during Annual ROC Compliances of Company?

Documents in respect of appointment of auditors, financial statements, annual returns, boards report with and other documents and filed with the respective ROC during Company ROC Filing.

Do I need to be physically present during this process?Chandan Todi2021-09-18T22:29:13+05:30

Do I need to be physically present during this process?

No, the process is a completely online process. All the required forms and returns are filed electronically, so you would not need to be physically present at all. You would just need to send us scanned copies of all the required documents and information.

My company has not done any business during the year, do I need to file returns with the ROC?Chandan Todi2021-09-18T22:21:23+05:30

My company has not done any business during the year, do I need to file returns with the ROC?

Yes, even if there is no business in the company during the year, you have to mandatorily file returns in Form AOC-4 and MGT-7 to the ROC.

Is the appointment of auditor mandatory for all companies?Chandan Todi2021-09-18T22:20:55+05:30

Is the appointment of auditor mandatory for all companies?

Yes, every Company including Private, Public, OPC, or Small Company is mandatorily required to appoint an Auditor within 30 days from the date of company registration. The company may appoint an auditor at the Annual General Meeting (AGM) for a period of 5 years.

I have not filed annual ROC returns for my company for the past financial year, whether my company is eligible to file annual returns in the current financial year?Chandan Todi2021-09-18T22:20:11+05:30

I have not filed annual ROC returns for my company for the past financial year, whether my company is eligible to file annual returns in the current financial year?

Yes, the company can file the pending annual returns in the current financial years with payment of applicable additional fees and penalties.

My company has no sales and turnover during the current financial years, whether ROC Filing is required?Chandan Todi2021-09-18T22:19:50+05:30

My company has no sales and turnover during the current financial years, whether ROC Filing is required?

Yes, ROC filing is mandatory for all the companies, irrespective of its total amount of sales or turnover occurred during the year.

My company has filed Income Tax Return and GST Returns, do I still need to file returns with ROC?Chandan Todi2021-09-18T22:19:21+05:30

My company has filed Income Tax Return and GST Returns, do I still need to file returns with ROC?

Yes, a company is governed by Companies Act 2013, under which it has to file yearly returns to the respective regional Registrar of Companies (ROC).

My company has just incorporated a few months ago and I have not done any business yet, do I still need to do ROC Filings after 31st March of a financial year?Chandan Todi2021-09-18T22:18:59+05:30

My company has just incorporated a few months ago and I have not done any business yet, do I still need to do ROC Filings after 31st March of a financial year?

Yes, a company has to do ROC Filings after the end of financial year even if it has not done any kind of business or transactions.

What is the purpose of Form ADT-1, Form AOC-4, and Form MGT-7?Chandan Todi2021-09-18T22:16:49+05:30

What is the purpose of Form ADT-1, Form AOC-4, and Form MGT-7?

Form ADT- 1 is an E-Form that is used by the company to intimate the Registrar of Companies (ROC) about the appointment of an auditor. Form AOC-4 is used for filing financial statements, board’s report, and other documents with ROC. Whereas, Form MGT-7 is used for filing annual return details to the ROC.

Is DIR-3-KYC form to be filed every year?Chandan Todi2021-09-18T22:16:25+05:30

Is DIR-3-KYC form to be filed every year?

Yes, DIR-3-KYC has to be filed every financial year by 30^th September of next financial year and it is valid till 31^st March of such financial year

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