ROC Compliance Services
Complete Regulatory Compliance for Companies and LLPs
Registrar of Companies (ROC) compliance involves filing various statutory returns, forms, and documents with the Ministry of Corporate Affairs (MCA) to maintain active status and good standing. Aggarwal H K & Co. provides comprehensive ROC compliance services, ensuring your company or LLP meets all regulatory requirements and avoids penalties.
What is ROC Compliance?
ROC compliance refers to mandatory filings and adherence to provisions under the Companies Act 2013 and LLP Act 2008. It includes annual returns, financial statements, director appointments, changes in shareholding, and various event-based filings.
Why ROC Compliance is Critical?
Avoid Penalties
Non-compliance attracts heavy penalties, additional fees, and can lead to director disqualification and prosecution.
Maintain Active Status
Regular compliance keeps your company/LLP active and prevents it from being struck off by the Registrar.
Business Credibility
Compliance demonstrates professional management and builds trust with investors, banks, and stakeholders.
Access to Finance
Banks and financial institutions verify compliance records before sanctioning loans and credit facilities.
Legal Protection
Proper compliance protects directors and officers from personal liability and legal complications.
Annual Compliance for Private Limited Companies
Form AOC-4 – Financial Statements
Filing of audited balance sheet, profit & loss account, and cash flow statement within 30 days of AGM.
Form MGT-7 – Annual Return
Comprehensive return containing details of shareholding, directors, meetings, and other company information filed within 60 days of AGM.
Annual General Meeting (AGM)
Mandatory AGM within 6 months from the end of financial year or 15 months from previous AGM.
Board Meetings
Minimum 4 board meetings required annually with proper gap between meetings as per Companies Act.
Form ADT-1 – Auditor Appointment
Filing appointment of auditor within 15 days of AGM where auditor is appointed.
Income Tax Return
Annual ITR filing with audited financials and tax audit report if applicable.
Annual Compliance for LLPs
Form 11 – Annual Return
Statement of accounts and solvency filed within 60 days from the end of financial year.
Form 8 – Statement of Account & Solvency
Financial statements filed within 30 days from the end of 6 months of financial year end.
Income Tax Return
Annual ITR with proper books of accounts and audit if required based on turnover.
Event-Based Compliance
Director Appointments/Resignations
Form DIR-12 for appointment and Form DIR-11 for resignation/cessation within 30 days.
Change in Registered Office
Form INC-22 for change of address within or outside city limits within 30 days.
Increase in Authorized Capital
Form SH-7 for alteration of share capital and MOA amendment.
Share Transfer
Form SH-4 for recording share transfers and updating register of members.
Allotment of Shares
Form PAS-3 for allotment of shares to new or existing shareholders within 30 days.
Addition of Directors
Form DIR-12 and obtaining DIN (Director Identification Number) if not available.
Change in Shareholding Pattern
Form MGT-14 for resolutions and changes approved by board or shareholders.
Statutory Registers to Maintain
- Register of Members
- Register of Directors
- Register of Charges
- Register of Investments
- Minutes Book (Board and General Meetings)
- Register of Loans, Guarantees, and Securities
Consequences of Non-Compliance
Financial Penalties
Late filing fees ranging from ₹100 per day to ₹100,000 depending on form and delay period.
Additional Fees
Compounding fees up to 10 times the normal filing fee for continued non-compliance.
Director Disqualification
Directors can be disqualified from holding directorship in any company for up to 5 years.
Company Strike-Off
Persistent non-compliance may result in company being struck off from MCA records.
Legal Prosecution
Criminal liability including imprisonment for serious violations.
Our ROC Compliance Services
Complete Annual Compliance
Managing all annual filings including AOC-4, MGT-7, and ensuring timely AGM conduct.
Event-Based Filings
Prompt filing of forms for any changes in directors, address, capital, or shareholding.
Compliance Calendar
Customized calendar with all due dates and advance reminders to avoid missing deadlines.
Statutory Registers
Preparation and maintenance of all required registers in physical and digital format.
MCA Portal Management
Complete management of your company’s MCA portal including DSC, login credentials, and filings.
Notice Handling
Response to MCA notices, clarifications, and rectification of rejected filings.
Get Compliance-Ready! Trust Aggarwal H K & Co. for comprehensive ROC compliance services ensuring timely filings, penalty avoidance, and good corporate governance.