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Pvt Ltd ROC Compliances

Home / Compliances / Pvt Ltd ROC Compliances

Pvt Ltd ROC Compliances

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Pvt Ltd ROC Compliances​

  • About
  • Types
  • Rules
  • Process
  • Penalties
  • FAQ's

About

Pvt Ltd ROC Compliances

A Private Limited Company needs to comply with the statutory requirements listed in the Companies Act. Get in touch with the Wissen team to know and act on your Secretarial Compliance for Private Limited Companies and breathe easy

Types of Private Limited Compliances

1 . COMPULSORY COMPLIANCES

Private Limited companies must ensure that the following mandatory compliances are in place:

First Board Meeting

The first board meeting must be held within 30 days of the company incorporation. At least seven days prior to the meeting, a BM notice must be sent to all the directors.

Subsequent Board Meetings

Two meetings (minimum) to be held annually, a gap of 180 days or less in between the two.

Filling of Disclosure of Interest by Directors

Every director at-

  • First board meeting in a financial year; or
  • Any change in disclosures will be revealed in Form MBP-1 (along with (as per RPT definition) the list of relatives and their concerns in the company), his interest in the company, body corporate firm or other associations, including interest of shareholders.
  • Form MBP-1 to be kept in the company records.

First Auditor

The company’s first auditor will be appointed by the Board of Directors (within 30 days of incorporation) and shall hold the office till the first AGM’s end. ADT-1 filing not mandatory for the first auditor.

Subsequent Auditor

The subsequent auditor will be appointed by the BOD during company’s first AGM. The auditor will hold the office till the sixth AGM’s end and shall inform the ROC by filling ADT-1.

Annual General Meeting

An annual AGM is to be held by company on or before September 30th during business hours, not on a public holiday. This AGM must be held at registered company office address or within the city (21-day notice required).

Filing of Annual Return (Form MGT-7)

Annual returns are to be filed within 60 days of the AGM by every Private Limited company -annual returns are for the 1st April to 31st March period.

Filing of Financial Statements (Form AOC-4)

Every Private Limited company is required to file a balance sheet, a profit and loss account statement and a director report within 30 days of its AGM.

Statutory Audit of Accounts

Accounts have to be prepared and audited by a Chartered Accountant at the end of the financial year. An audit report and audited financial statements to be filed with the Registrar are part of the audit.

2 . EVENT BASED COMPLIANCES

These compliances are triggered on occurrence of certain events like change of registered office, change in directors, etc. Event Based Compliances details are as follows:

EVENTS FORM NO. TIME LIMIT
Change of registered office address INC-22 15 days from date of change
Change in Directors or KMP DIR-12 Within 30 days of change
Increase in Authorized Share Capital SH-7 Within 30 days of passing ordinary resolution
Filing of resolution & agreements MGT-14 Within 30 days from date of passing resolution
Increase in paid up share capital (Issue of security) PAS-3 15 days within the date of allotment
Change in secured borrowings (Creation, modification and satisfaction of charge) CHG-1 All types of changes within 30 days
Application of KYC of Directors DIR-3 KYC On or before 30th April of the immediate FY (Annual Compliance)
ACTIVE (Active Company Tagging Identities and Verification) INC-22A On or before 25th April 2019 (Applicable to companies registered before 31st December 2017)
Declaration of Commencement of Business INC-20A Within 180 days of the date of incorporation

Private Limited Liability Partnerships Rules

The ROC requires the following documents every year:
1. Form MGT-7- Annual Return

This includes, among other things:

  • Registered company office details
  • Primary business activities, associate companies’ details (if any)
  • Debenture holders and members along with changes
  • Directors, and other key managerial personnel
  • Director’s salary and key managerial personnel details
  • Punishment or penalty imposed on the company, its officers or director and details of compounding of offenses as well as appeals made against such penalty/ punishment
  • Certification of compliances matters
  • Company shareholding pattern
2. Form AOC-4 – Financial Statements &
Other Documents
  • Filed every year, the form is to file the company's financial statements and other important attachments.
  • There are other conditions under which filing of financial statements must be done within 30 days of Annual General Meeting (AGM).
  • Revised financial statements can also be filed using this form.

Private Limited Compliance Process

The ROC Compliance Filing process is as follows :

Fill in details in our customer-friendly form.

01
02

Submit required documents. Wissen takes over from here.

Required documents are verified.

03
04

Filing of the forms and required returns, your records are updated.

After filing return, receive the documents and DSCs (Digital Signature Certificates) from Wissen.

05

Private Limited Non-Compliance Penalties

The company and every concerned officer in default shall be fined in the case of non-compliances.Penalties will keep adding up if compliances are not followed.

Frequently Asked Question

[ultimate-faqs include_category="private-limited-compliance"]

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