MCA/ROC filing refers to the process of submitting statutory documents and forms to the Ministry of Corporate Affairs or Registrar of Companies in compliance with company laws. It ensures legal compliance, transparency, and accountability for companies. MCA/ROC filing includes submitting documents like financial statements, annual returns, board resolutions, and disclosures. It enhances investor confidence, credibility, and protects the company’s legal status. Compliance with filing requirements helps companies avoid penalties, maintain business continuity, and provides stakeholders easy access to relevant company information. MCA/ROC filing plays a crucial role in corporate governance and ensures adherence to regulatory frameworks.
MCA/ROC filing ensures that companies comply with legal obligations and regulatory requirements. It helps companies adhere to the provisions of the Companies Act, 2013, and other applicable legislation, avoiding legal issues and penalties.
By filing documents such as financial statements, annual returns, and disclosures, MCA/ROC filing promotes transparency in corporate operations. Stakeholders, including investors, creditors, and employees, gain access to accurate and reliable information about the company's financial health and performance.
MCA/ROC filing enhances stakeholder confidence in the company. Transparent and timely filing demonstrates the company's commitment to compliance, good corporate governance practices, and accountability, fostering trust among investors, lenders, and other stakeholders.
Compliance with MCA/ROC filing requirements helps safeguard the legal status and protection of the company. It ensures that the company maintains its rights and privileges under the law and can avail legal remedies if necessary.
Timely MCA/ROC filing helps maintain the company's legal existence and continuity of business operations. It enables the company to enter into contracts, raise funds, and engage in various business activities without disruptions or obstacles.
MCA/ROC filing creates a centralized repository of company information, which is publicly available. This enables stakeholders to access relevant details about the company's legal and financial standing, facilitating informed decision-making.
MCA/ROC filing allows regulatory authorities to monitor compliance by companies. It assists in detecting potential non-compliance, ensuring that companies adhere to legal requirements, and maintaining the integrity of the corporate sector.
Compliance with MCA/ROC filing requirements contributes to the company's trustworthiness and reputation in the business community. It signifies the company's commitment to transparency, accountability, and responsible corporate practices.
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Every company and LLP has to comply with all compliances after the completion of each financial year. Mainly, it includes an audit of the books of accounts, filing of income tax return and annual forms with MCA.
Following are the forms to be filed with MCA:
Applicable for | Form | Particulars | Due date |
LLP/ Company | DIR-3 KYC | For every person who has allotted DIN | Within 30 days from the availability of the form for F.Y 2018-2019 (30th June of immediate financial year) |
LLP | Form-11 | Annual Return | 30th May 2019 (within 60 days of the end of financial year) |
LLP | Form-8 | Statement of Account & Solvency | 30th October 2019 |
Company | Form DPT-3 (One time) | For every company other than Government company having outstanding receipt of money or loan other than deposits from 1st April 2014 to 22nd January 2019 | 22nd April 2019 (within 90 days from the date of notification) |
Company | Form INC-20A | Declaration of Commencement of Business for companies incorporated on or after 2nd November 2018 | within 180 days from the date of incorporation of a company |
Company | Form INC-22A (One time) | Every company registered on or before 31st December 2017 to tag company as ACTIVE- (Active Company Tagging Identities and Verification | 25th April 2019 |
Company | MSME-I (first time) | For every specified company that get supplies of goods or services from MSME | Within 30 days from the availability of the form on MCA portal |
Company | MSME-I (half-yearly) | For every specified company that get supplies of goods or services from MSME | 31st October 2019 (April – September) 30th April 2020 (October – March) |
Company | Form ADT-1 (Annually) | Appointment of Auditor | Within 15 days from the conclusion of AGM |
Company | Form AOC-4 | Filing of financial statements of the company | Within 30 days from the conclusion of AGM |
Company | Form MGT-7 | Filing of annual return of the company | Within 60 days from the conclusion of AGM |
Company (Public) | MGT-15 | Form for filing Report on Annual General Meeting | Within 30 days of the conclusion of Annual General Meeting. |
Company | INC-23 | Application to the RD for approval to shift the Regd. Office from one state to another state or from the jurisdiction of one Registrar to another Registrar within the same state. | No Due Date.
The Company can file a Form after approval of Members. |
Company | INC-24 | Application for approval of Central Government for change of name. | Within 60 days of approval of name (RUN Approval). |
Company | INC-28 | Notice of Order of the Court or any other competent authority | The due date will be mentioned in the Order itself. |
Company | PAS-3 | Return of allotment of shares | Within 30 Days of Allotment of Shares. |
Company | SH-7 | Notice to Registrar of any alteration of share capital | Within 30 days of such alteration or increase. |
Company | ADT-2 | Application for removal of Auditor(s) from his/their office before the expiry of term | No Due Date
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Company | STK-2 | Application by Company to ROC for removing its name from Register of Companies | Within 30 days from the date of Statement of Assets & Liabilities. |
Company | DIR-12 | Particulars of appointment of Directors and the Key Managerial Personnel and the changes among them | Within 30 days from the date of appointment/resignation/change in designation etc. |
Company | MR-1 | Return of appointment of key managerial personnel | Within 60 Days from the date of such appointment. |
Company | CHG-1 | Application for registration of creation, modification of charge (other than those related to debentures) | Within 30 Days of the date of creation or modification of charge. |
Company | CHG-4 | Particulars for Satisfaction of Charge | Within 30 Days of satisfaction of charge. |
Company | DIR-6 | Intimation of change in particulars of Director/ Designated Partner to be given to the Central Government | Within 30 Days of such change. |
In the case of non-filing, MCA may levy penalties on the LLP and to its partners’. Also, MCA may issue notice for striking off the LLP.
A company must fulfill all the compliances within the due date to avoid late filing fees. The directors of the company may also liable for non-compliance and thus for penalties.
*It is not the exhaustive list; a company may need to file other forms as applicable to it
Gather all the necessary documents required for filing with the MCA or ROC. This may include the company's financial statements, board resolutions, annual returns, director details, shareholding information, and any other relevant documents as per the filing requirements.
Review and verify the gathered documents for accuracy, completeness, and compliance with the applicable laws and regulations. Ensure that the documents are up to date and reflect the current status of the company.
Convert physical documents into digital format as per the specified format and file size requirements. Scan and create PDF or other electronic copies of the documents for online filing.
Create an account on the MCA or ROC portal, if required, and register as a user. Obtain the necessary login credentials or digital signatures for authentication and authorization.
Identify the appropriate forms for filing based on the specific requirement. MCA or ROC forms vary depending on the type of filing, such as annual returns, financial statements, change in directors, change in registered office, or incorporation documents.
Fill in the required details in the selected forms accurately and completely. Provide the company's identification number (CIN) or other relevant information to ensure proper identification and linkage to the company's records.
Attach the scanned copies of the supporting documents in the prescribed format and file size limits. Ensure that the attachments are legible and clearly labeled for easy reference.
Calculate the applicable filing fees based on the selected forms and the company's authorized capital or turnover. Make the necessary online payment of fees through the designated payment modes provided on the MCA or ROC portal.
Submit the filled forms and supporting documents electronically through the MCA or ROC portal. Ensure that all required fields are correctly filled and all mandatory attachments are included.
Obtain the acknowledgment or receipt of the submitted forms as proof of filing. Track the status of the filed documents on the MCA or ROC portal and make note of any additional requirements or follow-up actions if needed.
Maintain copies of the filed forms, payment receipts, acknowledgment receipts, and any other relevant documents for future reference and compliance. Ensure compliance with any additional requirements, such as filing annual returns or other periodic filings.
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