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ROC (Registrar of Companies) compliance refers to the regulatory requirements and obligations that companies registered under the Companies Act, 2013, must adhere to with the Registrar of Companies. The ROC functions under the Ministry of Corporate Affairs (MCA) and oversees the administration and regulation of companies and their compliance with statutory provisions.
Types of ROC Compliance
ROC (Registrar of Companies) compliance in India encompasses various requirements and filings that companies registered under the Companies Act, 2013, must fulfill with the Registrar of Companies. Some key types of ROC compliance include:
Annual Filings:
- Annual Return (MGT-7): Every company needs to file an annual return within 60 days of its Annual General Meeting (AGM), containing details of its shareholders, directors, meetings, and financial performance.
- Financial Statements (AOC-4): Submission of financial statements, including the balance sheet, profit and loss statement, and other financial documents, within 30 days of the AGM.
Event-Based Filings:
- Change in Registered Office (INC-22): Informing the ROC about any change in the company’s registered office address within a specified timeframe.
- Change in Directors or Key Personnel (DIR-12): Notifying the ROC about changes in directors, key managerial personnel, or their particulars within prescribed timelines.
Annual General Meeting (AGM):
- Holding an AGM within the stipulated timeframe, as required by the Companies Act, and filing resolutions passed at the AGM with the ROC.
ROC Annual Compliance Certificates:
- Company Secretary Compliance Certificate (CS-2): Obtaining and filing compliance certificates from a practicing Company Secretary.
- Cost Audit Report (CRA-4): If applicable, filing a cost audit report within the prescribed time.
Charge-related Filings:
- Creation or Modification of Charge (CHG-1, CHG-9): Registering and filing charges created or modified on the company’s assets, including mortgages, debentures, or other borrowings.
Maintenance of Statutory Registers:
- Maintaining and updating various statutory registers, such as registers of members, directors, and debenture holders, and filing changes or updates with the ROC.
Secretarial Standards Compliance:
- Compliance with Secretarial Standards issued by the Institute of Company Secretaries of India (ICSI) concerning corporate governance and secretarial practices.
Compliance under Companies Act, 2013:
- Adhering to the provisions of the Companies Act, including conducting board meetings, filing resolutions, and complying with governance norms.