ROC Compliance List & deadlines


The Registrar of Companies in India is a governmental organization responsible for maintaining records of all registered companies. To ensure proper adherence to regulations, the ROC imposes various compliances, resulting in a complex landscape for companies. This comprehensive guide aims to simplify the compliance process by providing a detailed list of ROC compliances, their purposes, and the deadlines associated with them. ROC compliances can be broadly classified into two categories: Mandatory ROC Compliances and Event-based ROC Compliances.

Mandatory ROC Compliances, such as MBP-1 and AOC-4, pertain to the annual disclosure of directors’ interests and the submission of audited financial statements, respectively. On the other hand, Event-based ROC Compliances, like DIR-12 and SH-7, are triggered by specific company events such as changes in directorship or authorized share capital. Each compliance requirement has its own specific filing deadline.

For example, DIR-3 KYC, which involves filing the Director’s Identification Number (DIN) KYC, must be completed every financial year. Additionally, INC-20A, the certificate of commencement of business, must be filed within 180 days of the company’s incorporation. By understanding these compliances and their respective timelines, businesses can navigate the ROC requirements effectively, ensuring compliance with the regulatory framework.

Form NameDue Date of FilingPurpose
Mandatory ROC Compliances
MBP-1Every year at the first Board MeetingDisclosure of the Director’s Interest
AOC-4Within 30 days of its Annual General MeetingAudited financials and Director’s report
MGT-7Within 60 days of its Annual General MeetingAnnual return
DIR-3 KYCEvery Financial YearFiling of the Director’s Identification Number (DIN) KYC
INC-20AWithin 180 days of the incorporation of the companyCertificate of Commencement of Business
Event-based ROC Compliances
DIR-12Within 30 days of a change in DirectorshipChange in Director
SH-7Within 30 days of a change in Authorized Share CapitalChange in Authorized Share Capital
MGT-14, PAS-3MGT-14 within 30 days of passing the Special Resolution acknowledging the approval granted by the shareholders. The company is required to file E-Form PAS-3 within 15 days of making the allotment of shares.Return of Allotment
CHG-1Within 30 days of the creation or Modification of the chargeCreation and Modification of Charge
CHG-4Within 30 days of satisfaction, chargeRegistration of Satisfaction of Charge
ADT-1Within 15 days of the appointment of the statutory auditor with the ROCAppointment of a Statutory Auditor
ADT-3Within 30 days of the resignation of the auditorResignation of the Statutory Auditor
INC-22Inform the ROC of any change in the registered office of the companyShifting of Registered Office within the same city, town, or village without change in the jurisdiction of ROC
INC-23, INC-28, MGT-14, and INC-22The Company is required to file E-Form MGT-14 within 30 days of the special resolution. The company is required to apply for Approval from the RD for the shifting of its registered office in E-Form 23. The approval order of the RD is required to be filed within 60 days on E-Form INC-28. The Company is required to file INC-22 within 30 days of RD’s approval.Shifting of the registered office outside the same city, town, or village with a change in the jurisdiction of the ROC
DPT-3With the ROC before June 30th for every financial year ending on March 31stReturn of Deposits with the Company
MGT-14A Company is required to file various resolutions and agreements with the ROC by filing E-Form MGT-14Filing of Resolutions and Agreements with the ROC
AOC-5Within 7 days of passing the Board resolution to inform the ROCAdditional places other than the registered office where the books of accounts and statutory registers are being kept
BEN-2The company is required to inform the ROC regarding the Substantial Beneficial Owners in E-Form BEN-2Disclosure of Substantial Beneficial Ownership (SBO)
GNL-2Within 30 days from the event dateFile certain documents with the Registrar of Companies

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