ROC Compliance Services
Annual filings are only half of ROC compliance. Director changes, share allotments, and charge creation all need their own filings, in real time, not bundled into the next AGM season. We handle both halves together, so a filing backlog never has the chance to start.
Illustrative recent outcomes. Every case turns on its own facts.
When people come to us
Annual filing season has arrived
Financial statements and the annual return are due after the AGM, and the clock doesn't extend itself.
A director change or share allotment just happened
Each needs its own filing, treating it as something to catch up on later is how a backlog starts.
A funding round is approaching
Compliance history gets scrutinized closely, better resolved before someone else finds the gap.
Filings missed for one or more years
ROC notices may already be arriving, and strike-off is a real, not theoretical, risk.
Statutory registers need proper maintenance
Not just filings done, but the underlying records that support them.
Annual and event-based, handled together
This is ongoing Registrar of Companies and Companies Act, 2013 compliance for private limited companies and LLPs: annual filings, statutory registers, board and shareholder meeting compliance, and event-based filings. It covers both the routine annual compliance calendar and one-off filings triggered by specific events.
This is especially relevant for foreign-owned subsidiaries and startups, where a compliance lapse can complicate future fundraising or an exit far more than the original filing effort would have cost.
A clean ROC compliance history is one of the first things investors and acquirers check. It's worth maintaining even when no transaction is on the horizon.
Who needs this
Private Limited Companies & LLPs
Of every size, from newly incorporated to well-established.
Foreign-Owned Subsidiaries
Needing coordinated ROC and FEMA/FDI compliance.
Startups Preparing for Funding
Where ROC compliance history is closely scrutinized.
Companies Behind on Filings
Needing to regularize their status with the ROC.
Annual filings vs. event-based filings
Most ROC compliance risk comes from treating these as the same thing. They aren't.
| Annual Filings | Event-Based Filings | |
|---|---|---|
| Trigger | The financial year and AGM, on a fixed calendar | A specific event: director change, share allotment, charge creation, office change |
| Timing | AOC-4 within 30 days of the AGM; MGT-7 or MGT-7A within 60 days | Varies by event, but generally due promptly after the event, not bundled into annual season |
| Key Forms | AOC-4 (financial statements), MGT-7/7A (annual return) | DIR-12 (director changes), PAS-3 (share allotment), CHG-1/CHG-4 (charges), INC-22 (office) |
| What Goes Wrong | Missed entirely, or filed late once the AGM has already happened | Deferred until annual season "to save a trip," creating a backlog that's harder to unwind |
Late filing of AOC-4 or MGT-7 attracts an additional fee of ₹100 per day per form, with no cap, separate from statutory penalty exposure that can run considerably higher for continued default. This structure has no annual reset, delay compounds daily for as long as the filing remains outstanding.
Our process, start to finish
Set Up or Clean Up the Foundation
Statutory registers, minute books, and a compliance calendar.
Prepare and File Annual Returns
AOC-4 and MGT-7/7A, filed through the MCA portal, within the timeline.
Handle Event-Based Filings
Director appointments and resignations, share allotments, charge registration.
Coordinate Meeting Compliance
Notices, minutes, and resolutions, maintained properly, not reconstructed later.
Conduct a Compliance Health-Check
For companies with a filing backlog, identifying and filing overdue documents.
Provide Ongoing Advisory
Related party transactions, deposits, loans to directors, as the business grows.
Event-based filings need to happen in real time, not bundled into annual filing season. Delays compound quickly.
Book a ConsultationDocuments required
- Certificate of Incorporation, MOA/AOA
- Audited financial statements and the board's report
- Registers of members, directors, and charges
- Minutes of board and shareholder meetings
- Details of any events during the year: allotments, transfers, director changes, charges
The exact document list depends on whether this is routine annual filing or a backlog clean-up.
Mistakes that create risk
Missing Annual Filing Deadlines
Additional fees escalate the longer the delay continues, with no cap on how high they can run.
Not Filing Event-Based Forms in Real Time
Director changes and share allotments left unfiled create a backlog that's harder to unwind.
Poor Statutory Register Maintenance
Surfaces as a red flag during funding or M&A due diligence, even when filings are technically current.
Assuming Dormant Companies Have No Obligations
They generally still do, dormancy doesn't exempt a company from ROC compliance.
DIY Compliance Without Understanding Nuances
Related party transactions, and loan or deposit rules, carry real risk of inadvertent violation.
ROC non-compliance escalates predictably
- Escalating additional fees for delayed filings, uncapped and often higher than the original fee
- Risk of the company being marked for strike-off by the ROC
- Directors risking disqualification for defaults across multiple companies
- Compliance red flags during funding, acquisition, or IPO due diligence
- Reviving a struck-off company, typically requiring an NCLT application
Annual and event-based, coordinated together
We handle annual and event-based filings together, coordinated so nothing falls through the cracks between the two. Our experience includes cleaning up multi-year filing backlogs and preparing companies specifically for funding or M&A due diligence.
We're particularly familiar with foreign-owned subsidiaries, where ROC and FEMA/FDI compliance need to stay in sync.
Reviewed by Cash Stream Advisors, 6+ years managing ROC and Companies Act compliance.
Case studies
2-Year Backlog Cleared Ahead of Funding
A foreign-owned subsidiary with two years of pending annual filings was brought current ahead of a planned funding round, clearing a due diligence red flag before it became a deal issue.
Read the complete case studyEvent-Based Filings Reorganized
A growing startup's event-based filings, multiple share allotments and director changes, were reorganized into a real-time process, eliminating a recurring year-end compliance scramble.
Read the complete case studyFrequently Asked Questions
AGM Season Approaching, or Behind on More Than You'd Like?
We handle the annual filings, the event-based ones, and the backlog, together.
Book a Consultation