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ROC Company Annual Filing

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Introduction of Annual ROC Compliances for Private Limited Companies

The Companies Act, 2013 has mandated for every company whether Private Limited Company, One person Company, Section-8 Company incorporated under the provisions of the said Act whether public or private to annually file its audited Financial Statements in various e-forms along with the necessary documents with the respective Registrar of Companies irrespective of the turnover, capital, transactions done etc. The Annual filing is done to report the activities carried out during the Financial Year.

The Annual filing of a company includes all the documentation pertaining to the filing of audited Financial Statements and the Annual return which includes the information that of the Financial Statements of the Company, Registered Office Address Certifications(if any), Details of the Shares and Debenture issued during the year and transferred, Register of Members as on the date of end of Financial Year , The details and information of Debt also about the changes in the Management of the Company including the details of its Directors, KMPs, Meeting held and attended by the Directors etc. .

Advantages
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Advantages of Annual ROC Compliances

Increases trustworthiness

The primary requirement for any business is Compliance of law. If the Company is abiding by the laws it attracts the potential investors to invest in the Company as the date of the company’s annual return is displayed on the Master Data on MCA portal.

Helps in maintaining the Active status of Companies

In order to maintain the active status of the Company it is necessary to file the returns on a continuous basis which helps in avoiding the charges of heavy penalties.
Requirements
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Documents Required for Annual ROC

Process
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Process of Annual ROC Compliances for Private Limited Companies

1. Complete the Application Form

You are requested to first fill the simple questionnaire provided by our expert team.
Direction Arrows
Step 01

2. Document Processing

At the second step we will be requiring the documents as stated above in accordance with the questionnaire filled by you so that we can arrange them as per the requirement and for further processing.
Step 02

3. Preparation of E-forms

At this step we will prepare the E-forms along with some documents like Boards Reports and Annexures signed by you for submission depending upon your case which shall be further verified by our experts team before submission.
Step 03

4. Filing of E-forms with ROC

After preparation of E-forms we will upload your company's annual documents on the portal of the Ministry of Corporate Affairs on your behalf by filing Form AOC-4 and MGT-7.
Step 04

5. Getting the Compliance done

The status of the form along with the challan generated online will be shared with you at the earliest basis specifying that the compliance has been done. Legal Window has a team of expert professionals like Chartered Accountants, Company Secretaries, Lawyers who take care of all your company’s
Step 05
Provisional
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Annual Filing of Companies for FY 22-23

Companies incorporated on or before 31st December 2022 are required to file their financials for Financial Year 22-23 before the due dates. Companies incorporated on or after 1st January 2022 to 31st March 2023 can file their ROC Annual Filings next year by preparing the statement of 18 months.
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More Insights on Annual Filing of the Company

Every company has to mandatorily comply with the annual requirements as prescribed under the Companies Act, 2013. It is a statutory requirement to appoint a statutory auditor for auditing the annual accounts of the company. The companies have to get their accounts prepared and get it approved by the Board of Directors and Auditors of the company.

The companies in addition to MCA annual filings are also required to file Income Tax Return in respective form before 30th of September of every year with the Income Tax Department. It is compulsory to file ITR and annual accounts with ROC irrespective of the fact whether the company is working or not.

The companies are required to conduct an Annual General Meeting once a year within 6 months from the end of that financial year i.e. 30th September of every year. For Newly incorporated companies the AGM must be held within 9 months of the end of financial year i.e. by 31st December of the respective year. The time gap between any two AGM should not be more than 15 months.
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Form AOC-4 (Filing of Financial Statements)

The financial statements after approval must be signed by the board of directors/KMP if any and the statutory auditor of the company. Along with the financial statements, Board Report and its annexures are also required to be filed along with the form. Form AOC-4 is required to be filed within 30 days of the AGM or before 29th of September whichever is earlier.
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Form MGT-7 (Filing of Annual Return)

Every company is required to file the statement of annual return containing the particulars of securities, details of meetings, directors, shareholder and transfer details any various other details within 60 days of the AGM or 28th November whichever is earlier.
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Penalty for Non-Filing of Annual Accounts with ROC

If the companies are unable to file Form AOC-4 and MGT-7 before the due date, they will be liable for an additional fee of Rs.100.00 per day till the date of filing.
Faq's
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FAQs on Annual ROC Compliances for Private Limited Companies

Whether annual filing is compulsory for all companies?

Yes, it is mandatory for all companies registered under Companies Act, 2013 irrespective of the turnover, capital, transactions done etc. The Annual filing is done to report the activities carried during the Financial Year.

Is appointment of an auditor falls under annual compliance?

No, it does not fall under annual compliance as the auditor appointed once in a Annual General Meeting shall remain for a five consecutive years or till the conclusion of next Annual General Meeting.

In case the Company does not have any operations whether the company is required to get the accounts audited and file the respective ITR and annual forms of ROC ?

It is mandatory to file ITR and annual forms with ROC, irrespective of the facts that the company has carried on any operations or not.

What is Annual Return which form is used for the same and in how much time the same is to be filed?

Annual return which includes the information that of the Financial Statements of the Company, Registered Office Address Certifications(if any), Details of the Shares and Debenture issued during the year and transferred, Register of Members as on the date of end of Financial Year , The details and information of Debt also about the changes in the Management of the Company including the details of its Directors, KMPs, Meeting held and attended by the Directors etc.

The same is filed in e-form MGT-9 along with various other attachments within 60 days from the date on which the annual general meeting is held.

What are the penal provisions for non-compliances?

If the company doesn’t comply with the provisions and fails to file the returns it may also be declared as defunct or removed from the registers of ROC which also affects the status of the concerned directors thereby either disqualifying or debarred from their further appointment in any Company. The additional fee of Rs.100 for each day of delay shall be levied till the date of filing. For continuous failure the penalty apart from the additional fee can be levied by the Government on both – company and directors, including the imprisonment.

Is it necessary to file audited Financial Statements?

The Companies Act, 2013 has made it mandatory for the companies specified to get their Financial Statements audited from an statutory Auditor and the same shall be filed along with its report.

Which form is filed for audited Financial Statements and when?

E-form AOC-4 or E-form AOC-4 (CFS) or E-form AOC-4 (xbrl) is submitted depending upon the case of the Company within 30 days from the date of Annual General Meeting of the Company or

Do we require certifying the Annual Forms from a practicing professional?

The big companies having turnover of more than 2 crores or paid up capital of more than 50 lakhs are required to get their forms certified by the practicing professional.

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