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ROC Compliance Retainership Service in India

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Company Information

Overview of ROC Compliance in India

After the incorporation of a company in India, adhering to regulatory requirements with the Registrar of Companies (ROC) becomes crucial. Different types of companies, such as One Person Company, Private Limited, and Limited Company, have specific compliance obligations depending on their nature and business activities. Failure to meet these obligations can result in penalties, including fines up to 12 times the normal fee, and in extreme cases, potential strike-off by the ROC and disqualification of directors from other companies.

In general, ROC compliance can be categorized into two main types:

  • A. Annual Compliances These include essential tasks such as appointing auditors and filing annual returns.
  • B. Special Compliances This category encompasses various changes within the company, such as alterations in capital, amendments to the Memorandum and Articles of Association (MOA/AOA), and updates to the registered address.
    Ensuring timely compliance with these obligations is critical for maintaining the legal and operational standing of the company in India.

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Benefits of Regular ROC Compliance

01
Penalty Prevention: Timely filing of forms for regular and special compliances helps avoid hefty penalties, which can be as high as 12 times the normal fee.
03
Protection from Strike Off: Annual compliance ensures safeguarding against ROC actions to strike off companies that have not filed annual compliance for two consecutive years. This also protects directors from disqualification in other companies and legal penalties under the Companies Act 2013. Restoration or reactivation of a company's name can cost lakhs
05
Maintaining Active Company Status: Regular compliance ensures the company's status remains active on the ROC portal, keeping it up-to-date. This is crucial for various business activities such as obtaining finance, participating in tenders, and undergoing third-party inspections.
07
Compliance with Legal Provisions: Keeping minutes, statutory registers, board resolutions, and issuing share certificates on time, along with stamping them appropriately, is essential for a company to stay compliant with the Companies Act and its rules.

Annual Filing Documents Required

List of Compliances

  • • Annual Filing of Balance Sheet and Profit & Loss Account, etc
  • • Attestation of All ROC Forms by Practicing CA/CMA/CS
  • • Issuance of Share Certificates & Stamping
  • • Maintenance of Statutory Registers
  • • Keeping Records of All Minutes Up-to-Date
  • • Auditor Removal (Form ADT-3)
  • • Filing Charges in Case of Loan Taken
  • • Changes in Share Capital
  • • Changes in Directorship
  • • Changes in Registered Address
  • • Changes in Name and/or Object
  • • XBRL Filing (for Limited Companies), etc.

FAQ's For ROC Compliance

What is ROC Compliance?
  • A.ROC Compliance refers to adhering to the regulations and requirements set forth by the Registrar of Companies (ROC) to ensure legal compliance for companies and LLPs.
What are the various ROC Compliances post incorporation of a One Person Company?
  • A. Following incorporation, a One Person Company must fulfill various ROC requirements such as appointing an auditor, filing annual financial statements, maintaining statutory registers, and complying with other relevant regulations.
What are the various ROC Compliances post incorporation of a Private Company?
  • A.Post incorporation, a Private Company needs to undertake tasks like appointing auditors, filing annual returns, updating changes in directorship or share capital, and ensuring compliance with all statutory requirements.
What are the various ROC Compliances post incorporation of a Limited Company?
  • B.A Limited Company, after incorporation, is required to comply with regulations including appointing auditors, filing annual financial statements, updating changes in directorship, share capital, registered address, and adhering to other statutory requirements.
What are the various ROC Compliances post incorporation of a Limited Liability Partnership (LLP)?
  • A.Following incorporation, an LLP must fulfill obligations such as appointing designated partners, maintaining statutory registers, filing annual returns, and adhering to other prescribed compliances by the ROC.
How to Comply with Regularities with ROC?
  • A.Compliance with ROC requirements involves timely filing of forms, maintaining accurate records, appointing auditors, and ensuring adherence to statutory provisions applicable to the company or LLP.
Is Practicing CA/CMA/CS sign compulsory in ROC form?
  • A.Yes, certification by a Practicing Chartered Accountant (CA), Cost Accountant (CMA), or Company Secretary (CS) is mandatory for certain ROC forms to validate the accuracy and compliance of the information provided.
Why is CA/CMA/CS certification required in ROC Form?
  • A.Certification by CA/CMA/CS ensures that the information provided in the ROC form is accurate, compliant with regulations, and meets the standards set by the regulatory authorities.
What are the Government fees for Filing?
  • A.Government fees for filing ROC forms vary depending on the type of form and the authorized capital of the company or LLP. Fees are subject to change as per regulatory notifications.
What is a Minute, Board Resolution, and Statutory Register?
  • A.Minutes are written records of meetings held by a company or LLP, Board Resolutions are formal decisions made by the board of directors, and Statutory Registers are registers maintained to record specific company information as required by law.
What is Directors' Liability for Non-compliance?
  • A.Directors can be held personally liable for non-compliance with ROC requirements, which may result in penalties, legal action, disqualification, or other consequences as prescribed by law.
What is the penalty for delayed filing of Forms?
  • A.Penalties for delayed filing of ROC forms vary depending on the duration of the delay and the specific form. Penalties can range from monetary fines to additional compliance requirements or legal consequences.
What if you do not file annual compliance for three consecutive financial years?
  • A.Failure to file annual compliance for three consecutive financial years can lead to the ROC initiating action to strike off the company's name from the register, potentially resulting in the company being dissolved and its assets becoming vested in the government. Additionally, directors may face disqualification and other legal penalties.

Our Service Coverage

After Company incorporation, you will receive below documents

  • Company Certificate of Incorporation
  • Memorandum of Association & Article of Association (MOA & AOA)
  • PAN Card and TAN Allotment
  • EPF & ESI Registration
  • Digital Signatures (Class 2)
  • Directors Identification Number (DIN)
  • Assist in Bank A/c Opening
  • Professional Tax Registration (in Maharashtra Only)
  • GST Registration (Optional)
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Navneet K Arora & Co LLP

Effects India, where professionalism meets excellence. Established in 1995, we have built a reputation for delivering comprehensive consultancy services across diverse industries. Our team comprises dedicated professionals including Company Secretaries, Chartered Accountants, Advocates, Solicitors, Management Professionals, and IT Experts, all committed to providing top-notch solutions tailored to your business needs.

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