ROC Filing


ROC filings are the compliances which are to be done by every company under Companies Act. As per The Companies Act, there are sure compliances that are to be documented by the Private Limited Company or any Company besides. The ROC filings are important and cannot be skipped else the ministry can impose high penalty form non-filing.

As every company have to intimate the ROC about the income and expenditure and information regarding its shareholders, meetings, any kind of change in the Company during the Financial year etc. and to make company free from non-compliances, ROC filings are must. If any Company fails to do so then a heavy penalty will be imposed for non-filing.

There are different types of forms for ROC filing which are as follows:
1. ADT-1 : Details for appointment of auditor shall be filed with this form.
2. AOC-4: Financial statements of the Company shall be filed in this form.
3. MGT-7 : Annual Return of the Company shall be filed in this form.

The due date for ROC filing forms is differently described by the Ministry of Corporate Affairs. The due dates are:
1. ADT-1: This form is to be filed within 15 days from the date of conclusion of Annual General Meeting.
2. AOC-4: This form is to be filed within 30 days from the date of conclusion of Annual General Meeting.
3. MGT-7: This form is to be filed within 60 days from the date of conclusion of Annual General Meeting.

Documents Required For ROC Filing

  1. Financials of the Company
  2. Annual report of the Company
  3. List of shareholders of the Company
  4. Auditor Report of the Company
  5. Appointment Letter to auditor
  6. Consent letter of the auditor
  7. Notice of AGM
  8. Annual Return
  9. MGT-8 (if Company has paid up capital of Rs. 10 Crores or more OR turnover of Rs. 50 crores or more )

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Process Involved




Meeting of the Board of Directors


Collection of the signed documents


Annual General Meeting


Approval of financials and Board Report


Filing of required forms


what is ROC? Show Answer Show Less

The Registrar of Companies India is the official agency that deals with administration of Companies Act, 2013. It falls under Ministry of Corporate Affairs.[1] It has offices in all major Tstates of India.The Registrar of Companies is the primary regulator for company- related matters in India. It is popularly known as ROC.

What are the documents to be filed with RoC every year? Show Answer Show Less

Invariably, the Balance Sheet and Annual Return have to be filed every year. Other documents such as, Return of Allotment (Form No. Pas-3), Change of Registered office (Form No. INC-22), Change among the Directors (Form No. DIR-12), Charges (Form No. CHG- 1, 9, 4)etc., have to be filed within the due date from the events taking place in the company as per the Companies Act, 2013.

what is the form regarding balance sheet to ROC? Show Answer Show Less

Form 23AC to be filed by all companies and due date is 30 days from date of AGM

what is Form 66 (Compliance Certificate)? Show Answer Show Less

Certain companies whose paid up share capital for the year in the range of Rs. 10 lakhs to 50 crores are required to file a Compliance Certificate in Form 66 with the following provisions: The companies having paid up capital of more than Rs. 10lacs, has to digitally file with the ROC a compliance certificate which is obtained from a Company Secretaries in whole time Practice within 30 days from the date of annual general meeting, along with the Annual Report In case the Annual General Meeting of the company is not held for the same year, the aforesaid Compliance Certificate to be digitally filed with the ROC within 30 days from the latest day on or before which that meeting should have been

What should I do, if I fail to make payment of challan of Form SH-7 before expiry date? Show Answer Show Less

In such a case, you need to file Form SH-7 again but same can be filed only after 15 days from the Challan Date. On attempting to file Form SH-7 before the expiry of above said period, the system will give an error message "There is/ are pending Form(s) SH-7 in respect of the company. Please file this form SH-7 after approval of the pending Form(s) SH-7."

How can I apply for a Company Name? Show Answer Show Less

File e Form INC-1 by logging in the portal along with a payment of fees of Rs.1000/- and attaching the digital signature of the applicant proposing to incorporate the company.

What is the validity period of the Name approved? Show Answer Show Less

The approved name is valid for a period of 60 days from the date of filing of Form INC-1..If,the proposed company is not incorporated within such period, the name shall be lapsed and will be available for other applicants. Please note that there shall not be any provision for renewal of the name


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