What is ROC Compliance?

Every registered company in India is required to file various forms, returns, and documents with the Registrar of Companies annually. These filings maintain transparency in corporate affairs and ensure compliance with government regulations.

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Types of ROC Compliances

1. Annual ROC Filings
   Companies are required to file annual returns and financial statements with the ROC:

   • AOC-4: Filing of financial statements
   • MGT-7: Filing of annual return
   • MGT-9: Extract of annual return to be attached with the Board’s Report

2. Event-Based ROC Filings
   Event-based compliance is triggered by specific corporate actions, such as:

   • Change in the registered office
   • Appointment or resignation of directors
   • Change in authorized or paid-up share capital
   • Issuance or transfer of shares
   • Alteration of Memorandum of Association (MOA) or Articles of Association (AOA)

3. Other ROC Filings

   • DIR-3 KYC: KYC for directors
   • DPT-3: Return of deposits
   • ADT-1: Appointment of auditors
   • DIR-12: Appointment or resignation of directors

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Why is ROC Compliance Important?

1. Avoid Penalties: Non-compliance leads to hefty penalties and disqualification of directors.
2. Legal Recognition: Regular compliance enhances the legal standing and credibility of your company.
3. Government Benefits: Only compliant companies can avail various government schemes and incentives.
4. Transparency: Ensures transparency in financial and operational matters.
5. Investor Confidence: Compliant companies attract more investors and funding opportunities.

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Documents Required for ROC Compliances

1. Financial Statements (Balance Sheet and Profit & Loss Account)
2. Audit Report and Board Report
3. List of Shareholders and Directors
4. MOA & AOA of the Company
5. Company PAN and GST Registration Certificate
6. Proof of Registered Office

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Our ROC Compliance Services

1. Annual Compliance Management
   We take care of your company’s annual compliance, including filing of AOC-4 and MGT-7, ensuring timely submissions.

2. Event-Based Filings
   Our team helps in filing forms related to any corporate actions, such as director changes, share issuance, or capital changes.

3. Secretarial Compliance
   We assist in maintaining statutory registers, minutes of meetings, and other secretarial records required by law.

4. Audit Support
   We coordinate with auditors and ensure that all necessary documents are prepared for a smooth audit process.

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Our Process for ROC Compliances

1. Consultation: Understanding your company’s operations and compliance requirements.
2. Document Collection: Gathering the required documents for filing.
3. Filing & Submission: Preparing and filing the necessary forms with the ROC.
4. Acknowledgment & Tracking: Providing acknowledgment of filings and tracking their status until completion.

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Why Choose Nirmal G & Associate for ROC Compliances?

• Experienced Team: Our experts have extensive experience in corporate compliance.
• Timely Filings: We ensure that all filings are done before the due dates to avoid penalties.
• Customized Solutions: We provide tailored compliance solutions based on your company’s needs.
• Cost-Effective Services: Our pricing is transparent and competitive.
• Post-Filing Support: We offer continuous support for all compliance-related queries even after filing.

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Stay Compliant, Stay Ahead!

Avoid unnecessary penalties and safeguard your company’s reputation by staying compliant with ROC regulations. Let Nirmal G & Associate handle your ROC compliances while you focus on growing your business.