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ROC Compliance

ROC Compliance (Registrar of Companies)

Importance of ROC Compliance

Every registered company or LLP in India is legally required to file periodic returns and maintain statutory records with the Registrar of Companies (ROC). Staying compliant ensures transparency, avoids penalties, and keeps your business legally active.
Failure to file ROC forms can lead to heavy late filing fees, disqualification of directors, and even company strike-off by the Ministry of Corporate Affairs (MCA). With Agarwal Avinash & Co, your company stays compliant, audit-ready, and in good standing-all year round.

About ROC Filings

ROC filings refer to the mandatory submissions and disclosures that all companies and LLPs must file annually or upon specific corporate events.
These compliances are governed by the Companies Act, 2013 and are monitored through the MCA portal.
Proper ROC compliance establishes your business’s credibility with regulators, investors, and banks while minimizing the risk of prosecution or notices.

Annual ROC Requirements

Annual Mandatory Filings:

Form AOC-4: Filing of financial statements along with the auditor’s report (within 30 days of AGM).
Form MGT-7 or MGT-7A: Annual return containing company details, shareholding pattern, and directorship information (within 60 days of AGM).

Event-Based ROC Filings:

DIR-12: Appointment or resignation of directors.
INC-22: Change of registered office address.
SH-7 / PAS-3: Increase in share capital, share allotment, or issue of new shares.
CHG-1 / CHG-9: Creation, modification, or satisfaction of charges.

Other Key Compliances:

DIR-3 KYC / DIR-6: Director e-KYC verification and updates.
Maintenance of Registers: Members, directors, charges, and share transfer registers.
Minutes Preparation: Recording of board meetings and AGM proceedings for statutory documentation.

Why Choose Agarwal Avinash & Co

Qualified Company Secretaries (CS) & Legal Experts: Experienced professionals managing your filings end-to-end.
Automated Compliance Tracking: Never miss a deadline with our digital reminder system.
Pre-Filing Verification: Avoid MCA rejections through professional scrutiny of forms and documents.
All-India Coverage: ROC compliance services for companies and LLPs across all jurisdictions.
Transparent Pricing & Fast Turnaround: Fixed rates with no hidden charges; filings delivered well before due dates.
Agarwal Avinash & Co ensures your company meets every statutory requirement while remaining audit-ready and compliant.

Procedure for ROC Compliance

Compliance Calendar Setup:
Create a schedule mapping due dates for board meetings, AGM, and filing submissions.
Collection of Documents:
Gather audited financials, meeting minutes, board resolutions, and KYC details.
Drafting and Filing Forms:
Draft AOC-4, MGT-7, and event-based forms. Pre-validate to eliminate MCA errors.
Digital Signature & Upload:
Execute and digitally sign forms using DSC of authorized directors.
Review and Submission:
Submit filings through the MCA portal and confirm acceptance status.
Post-Filing Reporting:
Deliver digital receipts, compliance status reports, and advisories for upcoming deadlines.

Documents Required

Audited financial statements and auditor’s report.
Director KYC proofs (PAN, Aadhaar, address proof).
Proof of registered office (rent agreement, ownership proof, or utility bill).
NOC from landlord if office is rented.
Shareholder and board meeting resolutions (for specific events).

Pricing

Agarwal Avinash & Co offers cost-effective ROC compliance packages with flexible options suited to your company size and filing frequency.

Service Type	Pricing Range (excluding govt. fees)
Annual ROC Compliance Bundle	₹ 10,000 - ₹ 40,000 per year
Event Filings (Per Form)	₹ 2,000 - ₹ 15,000
Custom pricing is available for multi-company groups or overdue filings requiring condonation.

Timeline

Filing Type	Statutory Deadline	Typical Completion Time
AOC-4 (Financial Statements)	Within 30 days of AGM	3-5 working days
MGT-7 (Annual Return)	Within 60 days of AGM	3-7 working days
Event-Based Filings	Within 15 days of occurrence	7-10 working days

Agarwal Avinash & Co manages all filings ahead of deadlines and ensures timely submissions through automated reminders and expert review.

Compliance Calendar (Indicative)

Compliance Activity	Form	Due Date	Frequency
Financial Statement Filing	AOC-4 / AOC-4 XBRL	Within 30 days of AGM	Annual
Annual Return Filing	MGT-7 / MGT-7A	Within 60 days of AGM	Annual
Director KYC	DIR-3 KYC / WEB KYC	30 September (every year)	Annual
Appointment/Resignation of Director	DIR-12	Within 30 days	As needed
Change of Office / Capital / Charges	INC-22 / SH-7 / CHG Forms	Within 15 days	As needed

Deliverables

Filed and approved ROC forms (digital copies).
MCA filing acknowledgment and challans.
Updated statutory registers and minutes book (digital or printed).
Annual compliance calendar and reminder system.
Post-filing compliance summary report.

Common Issues & Our Solutions

Issue	Mitigation Provided by Agarwal Avinash & Co
MCA form rejection due to mismatch	Pre-validation and data cross-check before submission.
Missed AGM or filing deadlines	Preparation of condonation applications and remedial filings.
Director disqualification	Filing of DIR-10 and petition guidance to restore directorship.
Non-filing penalties	Calculation of exact late fees and support with waiver petitions (if eligible).

FAQs

1. What is ROC compliance and who is responsible for it?
ROC compliance includes all annual and event-based filings required by companies and LLPs under the Companies Act. Directors are responsible for ensuring these filings are made on time.

2. What happens if I miss the ROC filing deadline?
Late filings attract daily penalty charges (up to ₹ 100 per day) and may lead to prosecution or company strike-off in severe cases.

3. Are LLPs also required to file ROC returns?
Yes. LLPs must file Form 8 (Statement of Account) and Form 11 (Annual Return) annually with the Registrar of Companies.

4. Can ROC filings be done online?
Yes. All filings are submitted electronically through the MCA portal using digital signatures.

5. Do I need a practicing Chartered Accountant or Company Secretary for ROC filing?
Certain filings like AOC-4 and certification of MGT-7 require authentication from a practicing CA, CS, or CMA. Agarwal Avinash & Co arranges complete filing and certification services.

6. What if my company has not filed returns for previous years?
Agarwal Avinash & Co assists with filing backlogs, calculating late fees, and applying for condonation of delay if required.

7. Can ROC compliance be outsourced?
Absolutely. Outsourcing saves time and ensures continuous compliance through experts who track every statutory update and deadline.

Stay Compliant with Agarwal Avinash & Co

Ensure your company maintains perfect compliance status and avoids penalties.
Agarwal Avinash & Co manages all ROC filings, director KYC, and secretarial documentation-so your business stays confident, compliant, and credible.

Call / WhatsApp: +91 - 9743956549
Email: caavinash1985@gmail.com
Visit: www.caagarwalavinash.com

Agarwal Avinash & Co - Trusted Partner for ROC Filings and Company Compliance Management.