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ROC Filing

Every company is required to file the annual accounts and annual return as per The Companies Act, 2013 within 30 days and 60 days respectively from the conclusion of the Annual General Meeting. The ROC filing of annual accounts is governed under Section 129(3), 137, of The Companies Act, 2013 read with Rule 12 of the Company (Accounts) Rules, 2014 and annual return is governed under Section 92 of the Companies Act,2013 read with Rule 11 of the Companies (Management and Administration) Rules, 2014.

All companies incorporated in India are required to file certain documents with the Registrar of Companies every year. Failure to comply with the regulations could result in penalties and fines for the Officers or the Company or Directors. Hence, it is important for Management personnel of a company to be aware of all the necessary compliances for the company and comply on time. In this article, we look at documents that must be filed with the ROC every year by a company.

All companies are required to file its financial statements and mandatory attachments using Form AOC-4 each year. In case the financial statements of the company are not adopted in an Annual General Meeting then un-adopted financial statements should be filed within 30 days of date of AGM (due date of AGM if AGM not held or extended due date if any). If financial statements are adopted by the company, then the adopted financial statements must be filed within 30 days of the AGM (actual or adjourned whichever is applicable).

Registration Steps

  1. Step1:

    Download the forms as per above table (i.e. AOC-4 and MGT-7) from the MCA website under MCA services menu ====> E-filing===> Company Forms Download.

  2. Step2:

    Fill the appropriate E-forms applicable of your company and attach the pdf or XML documents as per the requirement of the form ===> Press Check form ===> Attach the Digital Signature of the Director and Practicing professional (if applicable; exempted for OPC and small companies) ===> Now do pre-scrutiny.

  3. Step3:

    Get yourself registered on MCA portal as a Business User or registered user. After getting registered on the portal, login with your ID and password.

  4. Step4:

    After login go to upload E-forms ===> Browse the filled and signed form from your system’s location.

  5. Step5:

    After uploading the form, the system will automatically generate a payment window. You have two options: Pay Later and save the challan generated and pay within the due time. Pay using internet banking or debit/credit card facility simultaneously and save the payment challan for future reference.

  6. Step1:

    After doing this complete process, you can track the transaction status of your form under MCA services menu. What you need to do is just put the SRN no. generated in the challan and you will be able to know whether your form is approved or for pending for approval.

Documents Required For Registration

  1. MOA/AOA of company
  2. Certificate of Incorporation
  3. Form MGT-7- Annual Return
  4. Registered office details of the company, particulars of its holdings, principal business activities and associate companies
  5. Debentures, share and other securities and shareholding pattern
  6. Indebtedness
  7. Debenture holders and members along with changes
  8. Directors, Promoters, key managerial personnel along with changes
  9. Members meeting
  10. Director’s remuneration and key managerial personnel;
  11. Punishment or penalty imposed on the company, its officers or director and details of compounding of offenses as well as appeals made against such penalty/ punishment
  12. Certification of compliances matters
  13. A pattern of the shareholding of the company and such other matters as required in the form
  14. Form AOC-4 – Financial Statements & Other Documents

General Points to be Kept in Mind while Doing the Annual ROC Filing

  • The notice of Board Meeting should be sent to all the directors before 7 days and acknowledgement for the same should be taken.

  • As per Section 134 of the Companies Act, 2013 the financial statement, including consolidated financial statement, if any, shall be signed on behalf of the Board at least by the chairperson of the company where he is authorized by the Board or by two directors out of which one shall be the managing director and the Chief Executive Officer, if he is a director in the company, the Chief Financial Officer and the company secretary of the company, wherever they are appointed, or in the case of a One Person Company, only by one director.

  • As per Section 101 of the Companies Act, 2013, a clear 21 days’ notice for the general meeting shall be given to all the members, legal representatives of any deceased person, auditor, and every director of the company by physical or electronic mode. The notice should also contain the location map of the venue of the general meeting as per Secretarial Standards and should be placed on the website if any.

  • The company shall prepare its books of accounts and keep at its registered office. If the company chooses to place at any other place, then the company will have to file AOC-5 by passing a board resolution.

  • While uploading the forms, care should be taken that the form is the latest version as provided on the MCA.


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Frequently Asked Questions

An LLP is a new form of business which is basically a partnership firm but with limitation on the liability of the partners of the LLP. A LLP is considered as a separate legal entity, perpetual succession, with liability of partners limited to the capital being contributed by them. Hence, a shareholder is not personally liable for the debts of the company. FAQ Of LLP Registration

Registrar of Companies (ROC) is the official agency that deals with administration of Companies Act 1956 and it falls under Ministry of Corporate Affairs. All the Companies incorporated under the Companies Act, 1956 are mandatory required to file various forms, returns and documents with the Registrar of Companies (ROC) in an electronic mode within the prescribed time along with the prescribed fees.

Companies have to Comply with ROC by filing various return, forms and documents and these could be categorized in two heads.

  1. Annual compliance filling – Compliances which are required to be made once in a year by all the companies incorporated under the Companies Act, 1956.
  2. Other Compliance filling – Compliances which are required to be made from time to time on various events.

Form 66, 23AC, 23ACA should be filed within 30 days from the date of AGM. Form 20B should be filed within 60 days from the date of AGM.

On Successful e-filing and payment of e-form a SRN (Service Request Number) is provided and with the help of this number one can view the status of transaction using the “Track your transaction status” link in the website of MCA. Moreover, once the form has been approved by the concerned official of the Ministry, one will receive an email regarding the same and the status of the form will get changed to Approved. In case the status is other than approved, necessary action need to be taken.

Income tax return is submitted to Income Tax department whereas ROC returns are filed with Ministry of Corporate Affairs (MCA) with whom the company is registered. It is mandatory to file the prescribed ROC forms and other returns on annual basis.

  1. LLP form 11 needs to be signed with digital signature of any one designated partner.
  2. In case of company, the annual return form has to be signed with the digital signature of the director or the company secretary in practice (as the case may be).

Yes, the plan covers only the professional & ROC filing fees (excluding fee for SH-7) from Cleartax. Apart from this, there is stamp duty payable. Stamp duty charges are imposed by state in which the registered office is proposed to be located. The charges will be based on the nature of MCA form. In some states the amount varies according to the authorised capital of the company. These charges are not part of the plan’s price.