ROC Filing

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What is ROC Filing?

ROC (Registrar of Companies) filing is a mandatory compliance requirement for all companies registered in India under the Companies Act, 2013. This process involves submitting various financial statements and annual returns to the Registrar of Companies to ensure transparency and adherence to legal standards. Regular ROC filing helps maintain the company’s good standing and avoids penalties.

Why is ROC Filing Important?

  1. Legal Compliance: Ensures your company complies with the statutory requirements of the Companies Act, 2013.
  2. Transparency: Enhances transparency and credibility of your business by maintaining accurate records.
  3. Avoid Penalties: Prevents hefty fines and legal consequences due to non-compliance.
  4. Investor Confidence: Builds trust among investors, shareholders, and stakeholders by showing adherence to regulations.
  5. Company Reputation: Upholds the reputation of your company by demonstrating responsibility and accountability.

Types of ROC Filings

Annual Returns (Form MGT-7)

  • Filed by all companies to provide details of their shareholders, directors, and other key information.
  • Due within 60 days from the date of the annual general meeting (AGM).

Financial Statements (Form AOC-4)

  • Filed to submit the company’s balance sheet, profit and loss account, and other financial statements.
  • Due within 30 days from the date of the AGM.

Annual Compliance for LLPs (Form LLP-11)

  • Filed by Limited Liability Partnerships to report their annual financial and business activities.
  • Due within 60 days from the end of the financial year.

Director KYC (Form DIR-3 KYC)

  • Filed to update the KYC details of the directors of the company.
  • Due annually by 30th September of every year.

Changes in Company Structure (Form MGT-14, Form SH-7, etc.)

  • Filed for any changes in the company’s structure, such as an alteration in the memorandum of association (MOA), increase in share capital, etc.
  • Due within specified timelines based on the type of change.

Documents Needed for ROC Filing

  1. Audited Financial Statements: Balance sheet, profit and loss account, cash flow statement, and notes to accounts.
  2. Board Report: Directors’ report on the company’s financial performance and compliance.
  3. Auditor’s Report: Report from the auditor on the financial statements.
  4. Annual Return: Details of shareholders, directors, and other relevant information.
  5. AGM Minutes: Minutes of the AGM where the financial statements were approved.
  6. KYC Documents: Updated KYC details of directors.

How to File ROC Returns?

Step 1: Prepare Financial Statements

  • Compile the company’s financial statements, including balance sheet, profit and loss account, cash flow statements, and notes to accounts.

Step 2: Conduct Annual General Meeting (AGM)

  • Hold the AGM to approve the financial statements and other business matters.
  • Record the resolutions passed during the AGM.

Step 3: Fill Required Forms

  • Fill the necessary ROC forms such as MGT-7, AOC-4, and others as applicable.
  • Attach the required documents, including audited financial statements and board resolutions.

Step 4: Upload and Pay Fees

  • Upload the forms on the Ministry of Corporate Affairs (MCA) portal.
  • Pay the prescribed filing fees online.

Step 5: Verification and Acknowledgment

  • ROC verifies the filed forms and documents.
  • Once approved, receive acknowledgment from ROC confirming the successful filing.

Why Choose Us?

At Tech Munshi, we provide comprehensive ROC filing services to ensure your company’s compliance with all legal requirements. Here’s why you should choose us:

  • Expert Guidance: Our team of experts offers precise guidance through each step of the ROC filing process.
  • Accurate Documentation: Assistance in preparing and verifying all necessary documents.
  • Timely Filing: Ensure your forms are filed within the due dates to avoid penalties.
  • Compliance Assurance: Guarantee adherence to all legal and statutory requirements.
  • Ongoing Support: Continuous support for any queries or issues related to ROC filing.

Consequences of Non-Compliance

  • Penalties and Fines: Imposition of hefty fines and penalties for delayed or non-filing.
  • Legal Actions: Possible legal proceedings against the company and its directors.
  • Company Status: Company’s status may be marked as non-compliant, affecting its credibility.
  • Disqualification of Directors: Directors may be disqualified from holding their positions in any company.