ROC Compliances
The ROC also has a number of other compliance requirements, such as filing annual returns, keeping proper books of accounts
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ROC Compliances
The Registrar of Companies (ROC) is a government agency responsible for registering and regulating companies in India. The ROC has a number of compliance requirements that companies must meet in order to remain compliant.
- File the necessary documents with the ROC
- Pay the registration fees as prescribed by the ROC
- Get a certificate of incorporation from the ROC
The ROC also has a number of other compliance requirements, such as filing annual returns, keeping proper books of accounts, and paying taxes. Companies that fail to meet these compliance requirements may be subject to penalties or even dissolution.
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PROCESS
Process of ROC Compliances
ONLINE REGISTRATION
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Addition or Retirement of Director
- PFilling of e-Form DIR-12 with Registrar of Companies (ROC) within 30 days (Event day + 30 Days) from the date when such change take place.
Changing of Registered office address
- For authorised capital change e-Form SH-7 is to be filled.
- For subscribed capital and Paid Up Capital form PAS-3 (Return of allotment of shares) is to be filled.
Change of Company Name
- The Existing Company needs to reserve the name through ‘RUN’. Filling of Form MGT-14 and e-Form INC-24 (For approval of Central Government for change of name)
Change of Objective Clause of MOA
- In case a company wants to change its object clause. It can do so by passing necessary resolution and filling e-Form MGT-14.
Increase in Companies Authorised Capital
- A company can increase its authorised capital by filling e-Form SH-7.Similarly, for subscribed capital and paid up capital by filling Form PAS-3.
THE PROCESS
Procedure for ROC Compliances
Modification to a Registered Charges (Other then Debentures)
- To register a charge or make modifications in registration charges, Form CHG-1 needs to be filled.
Public Company to Private Company
- If a Company wants to convert from Public company to private company or Private Company to Public Company, it can do so by filling Form MGT-14 and then taking approval of Form INC-27.
Repayment or Satisfaction of registered charges
- In case you want to report repayment or satisfaction of registered changes, Form CHG-4 needs to be filled.
Change in information of a Foreign Company
- A Foreign Company can change its information by filling Form FC-2 and Form FC-3.
Annual ROC Filing
- Company ROC Annual Filling- MGT-7 and AOC-4
- LLP ROC Annual Filling- Form 11 and Form 8
DOCUMENTS REQUIRED
DOCUMENTS REQUIRED FOR ROC Compliances
MSME Certificate ( for Annual Filing)
Statement of Accounts ( Annual Filing)
COMPARE RELATED SERVICES
ROC Compliances
| Form Name | Purpose | Filing Frequency | Due Date | Penalties |
|---|---|---|---|---|
| INC-20A | Declaration before Commencement of Business | One-time filing | Within 180 days of incorporation | Penalty for delay |
| DPT-3 | Return of Deposits | Annual filing | 30th June | Penalty for delay |
| AOC-4 | Financial Statement and Annual Return | Annual filing | 30th September | Penalty for delay |
| DIR-12 | Appointment of Directors and Key Managerial Personnel | Event-based filing | 30 days from the date of appointment | Penalty for delay |
| MGT-7 | Annual Return | Annual filing | 60 days from the AGM date | Penalty for delay |
| CHG-4 | Particulars of Charges | Event-based filing | 30 days from the creation/modification of charge | Penalty for delay |
| DIR-3 | Intimation of Director Identification Number (DIN) | Event-based filing | Within 30 days of appointment | Penalty for delay |
| DPT-4 | Statement regarding deposits covered under Section 73 and 74 | Annual filing | 30th June | Penalty for delay |
| ADT-1 | Appointment of Auditor | Annual filing | Within 15 days of AGM | Penalty for delay |
| ADT-3 | Return of Appointment of Auditor | Event-based filing | Within 15 days of AGM | Penalty for delay |
ROC COMPLIANCES
Get a Complete Strategy of ROC Compliances
Running a company in India comes with several legal and regulatory responsibilities. One of the most crucial among them is ROC (Registrar of Companies) compliances. Whether you are a Private Limited Company, One Person Company (OPC), Limited Liability Partnership (LLP), or Public Company, timely compliance with ROC requirements is mandatory to avoid penalties and legal issues.
At Efilingcompany, we ensure that your company stays 100% compliant with the Companies Act, 2013 and other related regulations. Our team of experts handles everything from annual filings to event-based compliances, so that you can focus on growing your business without worrying about fines or notices.
Types of ROC Compliances
These are mandatory filings that all registered companies must file annually:
- Form AOC-4 – Filing of financial statements (Balance Sheet, P&L, Director's Report, Auditor's Report).
- Form MGT-7 / MGT-7A – Filing of Annual Return containing details of shareholders, directors, etc.
- DIR-3 KYC – Annual KYC filing of Directors.
- ADT-1 – Appointment of Statutory Auditor.
How Efilling Company Helps You
We provide end-to-end ROC Compliance Services:
- Annual ROC Filings (AOC-4, MGT-7, ADT-1, DIR-3 KYC).
- Event-based compliances (Director change, share allotment, registered office change, etc.)
- Drafting of Resolutions, Notices, Minutes, and Board Reports.
- Filing with MCA and timely reminders.
- Professional guidance to stay updated with the latest ROC norms.
PACKAGES FOR
Type Of ROC Compliances
Company Related Services
Check Relevant Pricing below
- INC-20A (Commencement of Business) at just Rs.1,000 + Govt. fees
- DSC (Digital Signature Certificate) at just Rs.2,500 + Govt. fees
- Change of Registered Office Address (within city) at just Rs.2,000 + Govt. fees
- Change of Registered Office Address (within State) at just Rs.2,000 + Govt. fees
- Change of Registered Office Address (Different State) at just Rs.20,000 + Govt. fees
- MOA & AOA Amendment at just Rs.3,000 + Govt. fees
- Change in Authorised Share Capital at just Rs.3,000 + Govt. fees
- Share Transfer (SH-4 filing) at just Rs.3,000 + Govt. fees
- DPT-3 Filing at just Rs.1,500 + Govt. fees
Director Related Services
Check Relevant Pricing below
- DIN Allotment at just Rs.1,000 + Govt. fees
- Director KYC (DIR-3 KYC)
- Appointment of Director (DIR-12) at just Rs.2,500 + Govt. fees
- Resignation of Director (DIR-12) at just Rs.2,500 + Govt. fees
Auditor Related Services
Check Relevant Pricing below
- Auditor Appointment (ADT-1 filing) at just Rs.1,000 + Govt. fees
- Auditor Removal (ADT-2 filing)
- Auditor Resignation (ADT-3 filing)
- Annual Filing (AOC-4 & MGT-4)
- Auditor Change
General frequently asked questions
In case you want to report repayment or satisfaction of registered charges, you need to file Form CHG-4 (satisfaction of charge). This form is applicable for both the type of charges.
A foreign company can change its information by filing Form FC-2 and Form FC-3. Form FC-2 is required when there is -
• Alteration in the charter, statute or memorandum and articles of association
• Alteration in registered or principal office of the company in the country of incorporation.
• Alteration in places of business in India of the company.
• Alteration in directors and secretary of a foreign company.
• Alteration in particulars of company authorized representative(s)
Similarly, Form FC-3 is required to give notice in case of -Annual accounts and list of places of business established in India by a foreign company
To register a charge or make modification in registered charges (other than those related to debentures), Form CHG-1 needs to be filed.
A Private company can convert itself into a Public company by filing Form MGT-14 for registration of such resolution passed by the company (Alteration of MOA and AOA) and filing of Form INC-27.
A public company can convert itself in to a private company by filing Form MGT-14 (Alteration of MOA and AOA) and then taking approval of Form INC-27.
A company can increase its authorized capital by filing eForm SH-7. Similarly, subscribed capital and paid up capital of the company can be increased on filing and approval of Form PAS-3 (Return of allotment of shares).
In case company wants to change its registered office within local limits of the same city or place, intimation regarding the same has to be filed in Form INC-22.
Similarly, if company wishes to shift or change its registered office outside local limits of city, town or village, first eForm MGT-14 and then eForm INC-22 are required to be filed to Registrar of Companies (ROC) to give effect to such change.
In case, company wants to shift the registered office from one state to another state or from jurisdiction of one RoC to another, it needs to file following forms to give effect to such change:
1) Form MGT-14
2) Form INC-23 - File application with Central Government in Form No.
3) Form INC-28
4) Form INC-22
In case a company wants to change its object clause, it can do so by filling passing necessary resolution and file eForm MGT-14.
The following eforms need to be filed:
1. The existing company needs to reserve the name through ‘RUN’ available at MCA.
2. After the name is approved, MGT-14 (necessary resolution for alteration of Memorandum of Association and Articles of Association (MOA and AOA) needs to be filed.
3 .eForm INC-24 (Application for approval of Central Government for change of name) needs to be filed to give effect to change in name.
A company can intimate changes among Managing Director, Directors, Manager and Secretary of a company by filing eForm DIR-12 with Registrar of Companies (ROC) within 30 days (Event date + 30 days) from the date when such change takes place.