Expert ROC Compliance Services

ROC Compliance for Private Limited Company in India

Stay Compliant with Companies Act, 2013. Avoid heavy penalties and director disqualification with our end-to-end ROC filing services.

AOC-4 (Financial Statements) Filing

MGT-7 (Annual Return) Filing

ADT-1 (Auditor Appointment)

Director KYC (DIR-3 KYC)

Board Meeting & AGM Documentation

Statutory Audit Assistance

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ROC COMPLIANCE FOR PVT LTD - AN OVERVIEW

Every Private Limited Company incorporated in India is required to comply with the annual filing requirements of the Registrar of Companies (ROC) under the Companies Act, 2013. These compliances are mandatory regardless of the company's turnover or business activity.

The primary objective of ROC compliance is to ensure transparency and accountability in the corporate sector. It involves filing various forms and returns that provide a snapshot of the company's financial health, management changes, and shareholding patterns to the government and stakeholders.

Failure to meet these compliance deadlines results in heavy penalties (₹100 per day per form) and can lead to the disqualification of directors or even the company being struck off from the register.

At Taxcom Technologies, we provide comprehensive ROC compliance services. Our team of experienced Chartered Accountants and Company Secretaries handles everything from statutory audits to the final filing of annual returns, ensuring your company remains in good standing with the MCA.

Key Annual Compliances

Annual compliance for a Private Limited Company involves several critical filings and events throughout the financial year.

Form AOC-4: Filing of financial statements, including Balance Sheet and Profit & Loss Account.
Form MGT-7: Filing of Annual Return containing details of shareholding, directors, and management.
Statutory Audit: Mandatory audit of accounts by a practicing Chartered Accountant.
Annual General Meeting (AGM): Mandatory meeting of shareholders to approve accounts and appoint auditors.

ROC Compliance Calendar

Within 15 days of AGM

ADT-1

Appointment of Statutory Auditor for a period of 5 years.

Within 30 days of AGM

AOC-4

Filing of Audited Financial Statements with the ROC.

Within 60 days of AGM

MGT-7

Filing of Annual Return of the Company.

By 30th September

DIR-3 KYC

Annual KYC filing for all Directors holding a DIN.

By 30th June

DPT-3

Return of Deposits or items not considered as deposits.

Half-Yearly

MSME-1

Return for outstanding dues to MSME vendors.

Requirements for ROC Compliance

To ensure smooth ROC filing, the following documents and information are required:

Audited Balance Sheet & Profit/Loss Account

Director's Report & Auditor's Report

Notice of AGM & Minutes of the Meeting

List of Shareholders & Shareholding Pattern

Details of Board Meetings held during the year

DSC (Digital Signature Certificate) of Directors

Proof of Registered Office Address

Details of Loans, Deposits & Investments

Mandatory Registers & Records:

Register	Description	Significance
Register of Members	Details of all shareholders and their holdings	Proof of ownership in the company
Register of Directors	Details of directors and KMP	Record of management personnel
Minute Books	Minutes of Board and General Meetings	Legal record of company decisions
Register of Charges	Details of loans secured against assets	Record of company's secured debts
Register of Allotment	Details of shares allotted to members	History of capital infusion

Step-by-Step ROC Filing Process

Our streamlined process ensures your ROC filings are accurate and on time:

Step 1: Document Collection

We collect all necessary financial data, bank statements, and previous year filings to prepare the base for current year compliance.

Step 2: Statutory Audit

Our associated CAs conduct the statutory audit and provide the Audit Report as per the Companies Act requirements.

Step 3: Board Meeting

We assist in drafting the notice and minutes for the Board Meeting to approve the audited financial statements and Director’s Report.

Step 4: Annual General Meeting (AGM)

We help in conducting the AGM where shareholders adopt the accounts and approve the appointment of auditors if required.

Step 5: Preparation of Forms

Our team prepares the e-forms AOC-4 and MGT-7 with all necessary attachments like the XBRL filing if applicable.

Step 6: Certification & Filing

The forms are certified by a practicing professional (CA/CS) and filed with the MCA portal using the Digital Signatures of directors.

Step 7: Acknowledgement

We provide you with the SRN (Service Request Number) and the final challan as proof of successful filing with the ROC.

AI Compliance Check

Quickly assess your company's ROC compliance status

Has the Statutory Auditor been appointed (ADT-1 filed)?

Has the AGM been held for the current financial year?

Is the Statutory Audit completed for the financial year?

Is DIR-3 KYC filed for all active directors?

Private Limited Compliance in Various States

While ROC compliance is centralized under the MCA, Private Limited Companies must also adhere to state-specific regulations based on their registered office and operational locations:

Andhra Pradesh

Professional Tax Registration
AP Shops & Establishments Act
AP Pollution Control Board Consent

Arunachal Pradesh

Trade License (Local Authority)
Shops & Establishments Registration
Professional Tax (if applicable)

Assam

Professional Tax Enrollment
Assam Shops & Establishments
Trade License (GMC/Municipal)

Bihar

Bihar Shops & Establishments
Professional Tax Registration
Trade License (Municipal Corporation)

Chhattisgarh

Chhattisgarh Shops & Establishments
Professional Tax Registration
Labour Welfare Fund

Delhi

DPCC Consent (Pollution)
MCD Trade License
Labour Department Registration

Goa

Goa Shops & Establishments
Professional Tax Registration
Trade License (Panchayat/Municipal)

Gujarat

GPCB Consent
Professional Tax Registration
Factory License (if applicable)

Haryana

Haryana Shops & Establishments
Labour Department Registration
Trade License (Municipal)

Himachal Pradesh

HP Shops & Establishments
Trade License
Professional Tax (if applicable)

Jammu and Kashmir

J&K Shops & Establishments
Trade License
Labour Registration

Jharkhand

Jharkhand Shops & Establishments
Professional Tax Registration
Trade License

Karnataka

Professional Tax Registration
Kaveri Online Services (Property)
Shops & Commercial Establishments

Kerala

Kerala Shops & Establishments
Professional Tax (Local Body)
Trade License (D&O License)

Ladakh

Shops & Establishments Registration
Trade License
Local Authority Permits

Madhya Pradesh

MP Shops & Establishments
Professional Tax Registration
Trade License (Gumasta)

Maharashtra

Professional Tax (PTEC/PTRC)
Shop & Establishment (Gumasta)
Labour Welfare Fund (MLWF)

Manipur

Manipur Shops & Establishments
Trade License
Professional Tax Registration

Meghalaya

Meghalaya Shops & Establishments
Trade License
Professional Tax Registration

Mizoram

Mizoram Shops & Establishments
Trade License
Professional Tax Registration

Nagaland

Nagaland Shops & Establishments
Trade License
Professional Tax Registration

Odisha

Odisha Shops & Establishments
Professional Tax Registration
Trade License

Puducherry

Puducherry Shops & Establishments
Professional Tax
Trade License

Punjab

Punjab Shops & Establishments
Professional Tax (Development Tax)
Trade License

Rajasthan

Rajasthan Shops & Establishments
Professional Tax (if applicable)
Trade License

Sikkim

Sikkim Shops & Establishments
Trade License
Professional Tax Registration

Tamil Nadu

Professional Tax (Corporation)
TNEB Connection Details
Fire & Safety License

Telangana

Professional Tax Registration
Telangana Shops & Establishments
TS-iPASS (if applicable)

Tripura

Tripura Shops & Establishments
Trade License
Professional Tax Registration

Uttar Pradesh

UP Shops & Establishments
Trade License
Professional Tax (if applicable)

Uttarakhand

Uttarakhand Shops & Establishments
Trade License
Professional Tax Registration

West Bengal

Trade License (KMC/Municipal)
Professional Tax Enrollment
Fire Safety Certificate

Important Note on State Compliances

State-specific compliances vary significantly. For instance, Professional Tax is not applicable in Delhi or Haryana but is mandatory in Maharashtra and Karnataka. Our experts can help you identify the exact state-level registrations required for your company.

Consequences of Non-Compliance

Ignoring ROC compliance can lead to severe legal and financial repercussions:

Consequence	Description	Impact
Heavy Penalties	₹100 per day per form for delay in filing AOC-4 and MGT-7.	Financial burden that increases daily without limit.
Director Disqualification	Directors can be disqualified for 5 years for non-filing.	Cannot be appointed in any other company.
Company Strike-Off	ROC can strike off the company for continuous non-filing.	Company loses its legal existence and bank accounts are frozen.
Legal Prosecution	Fine and imprisonment for directors in case of fraud or gross negligence.	Criminal liability and loss of reputation.
Deactivation of DIN	DIN is deactivated if DIR-3 KYC is not filed.	Director cannot sign any document or file any form.

FAQs on ROC Compliance

What are the mandatory annual filings for a Private Limited Company?

The mandatory annual filings include Form AOC-4 (Financial Statements), Form MGT-7 (Annual Return), and Form ADT-1 (Auditor Appointment). Additionally, Director KYC (DIR-3 KYC) is required annually.

What is the due date for filing AOC-4 and MGT-7?

AOC-4 must be filed within 30 days of the AGM, and MGT-7 must be filed within 60 days of the AGM. Typically, if the AGM is held on Sept 30, AOC-4 is due by Oct 30 and MGT-7 by Nov 29.

What is the penalty for late filing of ROC forms?

The standard penalty for late filing of ROC forms like AOC-4 and MGT-7 is ₹100 per day of delay, per form, with no upper limit.

Is statutory audit mandatory for all Private Limited Companies?

Yes, statutory audit by a practicing Chartered Accountant is mandatory for all Private Limited Companies, regardless of their turnover or profit/loss.

How many board meetings are required in a year?

A Private Limited Company must hold at least 4 board meetings in a calendar year, with a maximum gap of 120 days between two consecutive meetings.

What is DIR-3 KYC?

DIR-3 KYC is an annual exercise for every director who has been allotted a DIN (Director Identification Number). It must be filed by Sept 30 every year.

Can a company be struck off for non-compliance?

Yes, if a company fails to file its annual returns or financial statements for two consecutive financial years, the ROC can initiate strike-off proceedings.

What is MSME-1 filing?

MSME-1 is a half-yearly return filed by companies that have outstanding dues to MSME vendors for more than 45 days.

What is DPT-3 filing?

DPT-3 is an annual return of deposits or items not considered as deposits, which must be filed by June 30 every year.

What happens if a director is disqualified?

A disqualified director cannot be appointed as a director in any other company for a period of 5 years and must vacate office in all companies where they are a director.

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Enter your details to receive a full quote and consultation

By submitting, you agree to our Terms & Privacy Policy and Data & Consent Policy.

Why Choose Taxcom Technologies?

Timely Filings

We ensure all your ROC forms are filed well before the due dates.

Expert Guidance

Our CA/CS team provides accurate advice on complex compliance matters.

Hassle-Free Process

We handle the entire documentation and filing process for you.

Data Security

Your company data and documents are handled with utmost confidentiality.

Transparent Pricing

Clear and upfront pricing with no hidden costs.

End-to-End Support

From audit to filing, we provide complete compliance support.

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