ROC Compliance

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ROC & MCA Compliances

According to The Companies Act, certain compliance needs to be filed by the Pvt Ltd Company or any Company for that matter. These ROC compliance majorly include Annual filing. However, annual return draft, disclosure by Directors and updating the Statutory Register are also included in these Compliance.

ROC Compliance is necessary. Any slack can lead to penalties and other legal issues pertaining to the Company.Ministry Of Corporate Affairs allows you to file these forms online as well.

Types of Compliance Filing

  • Annual Compliance Filing
  • Other Compliance Filing

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Events Based Compliance Filing

  • When there is a change in the paid-up capital of the Company.
  • When a Director has to disclose his interest in other entities in the first meeting of the Board of Directors in every financial year.
  • When there is a conversion of a company.
  • When the Director’s Report needs to be filed.
  • When there is a change in the interest of the director.
  • When an Independent Director is Appointed.
  • When a Cost Auditor is appointed.
  • When a Listed Company has to file a return in case of a change in the number of shares held by promoters and the top ten shareholders of such Company, within fifteen days of such change.
  • When a woman director is appointed.
  • When a Listed Company has to get a Secretarial Audit of the Company from the Practicing Company Secretary whose report will be part of Director’s Report.
  • When there is a half-yearly share transfer Audit.
  • When there is Reconciliation of Share Capital Audit.
  • When a shareholding pattern is to be filed within 21 days of the end of each quarter.
  • When there is a corporate governance report to be filed.
  • When there is allotment, transfer or invitation to subscribe shares.
  • When shares are issued to Directors or the employees of the Company.
  • When there is a sub-division of face value of shares.
  • When investment is made in shares or other similar securities.
  • When a loan is given to other Companies.
  • When there is any change in the Board of Directors.
  • At the time of the appointment of Managing Director.
  • Any payment of Remuneration.
  • When any bank account is opened or closed. When there is any change in the running or working of the Bank Accounts of the Company.
  • Any kind of deposits made by the Directors or their relatives into relation to their loans from the Company.
  • When any sale or purchase is done regarding the fixed assets of the Company.
  • When any new business venture or Partnership is established.
  • When any kind of change is made in the Memorandum Of Association and Article Of Association 0f the Company.
  • While maintaining the minutes of a Board meeting or while convening the meeting in general.
  • When there is a change in the location of the Registered office.
  • When an appointment or change is made regarding the Statutory Auditors of the Company.
  • When an agreement is established by Shareholders and Company is treated as a party.

The 10 Mandatory ROC Compliances

  1. Appointment of Auditor (E-form ADT-1)
    • First Statutory Auditor has to be appointed within 30 days of incorporation in first board meeting
    • Subsequent auditors will be appointed for 5 years in AGM

    Form ADT-1 is filed for 5-year appointment. After that every year in AGM, Shareholder ratify the Auditor but there is no need to file ADT-1

  2. Holding Board Meeting
    • First meeting within 30 days of incorporation
    • Minimum 2 meetings, one in each half calendar year

    Minimum gap of 90 days is required between 2 meetings (ignore if more than 2 meetings held during the year

  3. Holding Annual General Meeting(AGM)
    • One AGM
    • Maximum gap of 15 months between 2 AGMs
  4. E- Forms Filing Requirements
    • E-form: MGT-7 File Annual Return within 60 days of holding of AGM for the period 1st April to 31st March.
    • E-form: AOC-4 File Financial Statement: i.e Balance Sheet along with Statement of Profit and Loss Account and Directors’ Report
    • Form MBP- 1 Every Director of the Company in First Meeting of the Board of Director in each Financial Year needs to disclose his interest in other entities by filing the form
    • Fresh MBP-1 needs to be filed, whenever there is change in his interest from the earlier given MBP-1
    • Form DIR – 8 Every Director of the Company in each Financial Year has to file with the Company disclosure of non-disqualification
  5. Directors’ Report

    Directors’ Report is to be filed covering all the information required for Small Company under Section 134.
    It should be signed by the “Chairperson” authorized by the Board, where he is not so authorized by at least 2 Directors

  6. Statutory registers and books of accounts
    • Statutory Registers
    • Minutes Book
    • Board Meeting Minutes Book
    • General Meeting Minutes Book (i.e. AGM, EGM, Postal Ballot, Creditors Meetings, Debenture holders Meetings)
    • Books of Accounts/Financial Statements (Section 44aa)
    • Register of Directors Attendance at Board/Committee Meetings
    • Circulation of Financial Statement & other relevant Docs

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