ROC Compliances Filing Online In India
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ROC Compliances Process
Here is the procedure for filing financial statements and annual return of the company below:
Our experts will find the size of business and collect documents accordingly.
Step 1
Our experts will appoint an auditor and prepare the financial statements according to the business type.
Step 2
Our experts will prepare forms and upload those forms on the portal after successful verification and acknowledgement.
Step 3
What is ROC Compliance?
ROC stands for Registrar of Companies which is an office under the
Indian Ministry of corporate affairs which deals with the administration
of the Companies Act, 2013. ROC has been allocated under the section
609 of companies act covering the various states and union territories
with the prime duty of registering companies and LLPs floating in
respective states and the union territories and making sure that such
companies and LLPs comply with statutory requirements under the act.
The office of ROC associates as a registry records, connected to the companies registered with them, which are available for an inspection by the members of the public on payment of a prescribed fee. Furthermore, there are currently 22 Registrars of companies (ROC) who are managing from offices in all the major states of India.
It is foremost to comply with all the compliance applicable to your company to avoid fines and penalties.
The office of ROC associates as a registry records, connected to the companies registered with them, which are available for an inspection by the members of the public on payment of a prescribed fee. Furthermore, there are currently 22 Registrars of companies (ROC) who are managing from offices in all the major states of India.
It is foremost to comply with all the compliance applicable to your company to avoid fines and penalties.
What are the benefits to file ROC Compliance?
Save penalty
Filing up all the required forms on time for regular
compliances and special compliances saves a penalty of up to 12
times of normal fee.
Safe from strike off
Regular annual compliance provision
prevents you from an action nowadays taken by ROC to strike off
companies who have not filed annual compliance for the last 2 years
and accordingly, provision Directors disqualification from other
companies and the legal penal provisions under companies act 2013.
As the restoration or activation of the company name cost Lakhs to the company.
As the restoration or activation of the company name cost Lakhs to the company.
Maintaining company status active
Regular compliance
helps to maintain the company’s status active on the ROC portal and
up to date that helps the company in different business activities like
taking finance, tender, third-party inspection, etc.
Company legal provision
Maintaining up-to-date Minutes,
statutory Register, Board Resolutions, Issue share certificate on time,
and stamping of share certificates is a basic requirement for a
company to keep up to date as per the company act and rules.
What are the essential documents required to File ROC?
The following mentioned documents are required to be submitted while
filing a ROC Compliance:-
Annual Return (Form MGT-7)
Balance Sheet : A detailed report of the company’s financial status.
Profit & Loss Account : Statement showing the company’s profits and losses.
Shareholder Details : List of shareholders and their holdings.
Indebtedness Details : Information on the company’s debts.
Changes in Shareholding : Documentation of any changes in shareholding during the year.
Financial Statements (Form AOC-4)
Balance Sheet : Detailed balance sheet.
Profit & Loss Account : Comprehensive P&L statement.
Cash Flow Statement : A summary of cash inflows and outflows.
Directors’ Report : Report from the board of directors.
Auditors’ Report : The auditors’ findings and observations.
Notes to Accounts : Detailed notes explaining various aspects of the financial statements.
Appointment of Auditor (Form ADT-1)
Board Resolution : Copy of the resolution passed by the board.
Consent Letter from the Auditor : The appointed auditor’s consent to act as an auditor.
Notice of AGM : Notice of the Annual General Meeting where the auditor was appointed.
Director’s KYC Form (Form DIR-3 KYC)
PAN Card : Permanent Account Number card issued by the Income Tax Department.
Aadhaar Card : Issued by the Unique Identification Authority of India (UIDAI).
Other Document : Photo and director’s contact details.
What are the forms filed for ROC Compliances?
Form DIR-3 Director’s KYC -
Every Director who has been allotted a Director Identification Number
(DIN) must submit their KYC (Know Your Customer) details annually
through Form DIR-3 KYC. This process ensures that the details of all
directors are up-to-date.
Form ADT-1 Auditor appointment -
The ADT-1 form is a document required for the appointment of directors
in Indian companies. It needs to be filed with the Registrar of Companies
(ROC) within 30 days from the date of appointment of a director.
Form AOC-4- Financial Statements
Mainly all the companies file their financial statements and relevant
attachments using Form AOC-4 every year. The adopted financial
statements of the company must be filed within 30 days of the date of
AGM.
On the other hand, if the company needs to revise the financial statements
or Board’s report then revised financial statements can also be filed using
form AOC-4.
Form MGT-7-Annual Return
- Registered office details of the company, principal business activities particulars of its holdings, and associate companies
- Debentures, share and other securities and shareholding guide
- Indebtedness
- Debenture holders and members along with changes
- Directors, promoters, key managerial personnel with changes
- Meeting with members
- Director’s remuneration and key managerial personnel
- Punishment or penalty imposed on the company, its officers or director and details imposed on the company of offenses as well as appeals made against such punishment/penalty
- Certification of compliances matters
- A pattern of shareholding of the company and such other matters as required in the form
What is the process to file a ROC Compliance?
Here is the procedure for filing financial statements and annual return of the company below:
- Validate the auditor for producing the financial statements as per schedule III of the companies act, 2013.
- Identifying the director or company secretary for preparation of the board’s report and annual return as per the companies act, 2013.
- Hold a separate Board Meeting for accepting the draft financial statements, board report, and annual return by the directors of the company.
- Supervise the Annual General Meeting (AGM) of the company and plot the necessary resolutions. Financial statements could be reviewed as the final only when the same resolution is approved by the shareholders in a general meeting.
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Frequently Asked Questions
A. All companies registered under the Companies Act, including private
limited companies, public limited companies, and one-person companies,
are required to comply with ROC requirements
A. The Companies Act 2013 and the Ministry of Corporate Affairs.
A. Penalties for non-compliance can include fines, penalties, and legal action
against the company and its directors. The specific penalties depend on
the nature and severity of the non-compliance.
A. Post incorporation ROC Compliances for a Private Limited are as
followed:-
✔ Affix the name of a company and address of its registered office outside the office
✔ Open a bank account
✔ Appoint auditor within 30 days of incorporation
✔ Hold anannual general meeting every financial year
✔ Prepare and file annual Compliances with ROC.
✔ Affix the name of a company and address of its registered office outside the office
✔ Open a bank account
✔ Appoint auditor within 30 days of incorporation
✔ Hold anannual general meeting every financial year
✔ Prepare and file annual Compliances with ROC.
A. Post incorporation ROC Compliances for LLP are as follow:-
✔ File an LLP agreement
✔ Make PAN and TAN application
✔ Open a new Bank account
✔ Auditor appointment, if essential
✔ Filing LLP Annual Return
✔ File an LLP agreement
✔ Make PAN and TAN application
✔ Open a new Bank account
✔ Auditor appointment, if essential
✔ Filing LLP Annual Return
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