Corporate Compliance

ROC & Regulatory Filing

End-to-end MCA/ROC filing management, compounding assistance, SBO compliance, XBRL reporting, and representation before the Regional Director and NCLT — so your company stays fully compliant and protected from regulatory action.

Applies to: apartment Private & Public Limited Companies volunteer_activism Section 8 (Not-for-Profit) Companies person One Person Companies (OPC) warning Companies with Pending Defaults / Show-Cause Notices public Companies with Foreign Shareholders (SBO / XBRL)
What We Do

Complete ROC & Regulatory Filing Coverage

From routine annual filings and compliance calendar management to compounding, SBO declarations, XBRL reporting, and regulatory petitions — every ROC obligation, resolved.

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Core Filings

Regular MCA/ROC Filings & Compliance Calendar Management

The Companies Act, 2013 imposes a continuous cycle of ROC filings — annual returns, financial statements, event-based forms for changes in directors, capital, registered office, charges, and more. Missing a deadline triggers daily late fees and, if prolonged, attracts prosecution. We manage the complete MCA filing lifecycle for your company: maintaining a customised compliance calendar, preparing and filing every form on time, and ensuring your MCA21 portal records remain clean and updated.

MGT-7 / MGT-7A Annual Return — due 60 days from AGM
AOC-4 / AOC-4 XBRL Financial Statements — due 30 days from AGM
DIR-3 KYC / DIR-12 Director KYC (annual) & Director change events
CHG-1 / CHG-4 Charge creation, modification & satisfaction with banks/NBFCs
INC-20A / INC-22A Commencement of Business & ACTIVE company compliance
SH-7 / PAS-3 Capital alteration & return of allotment forms
Proactive deadline tracking — never miss a filing date again arrow_forward
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Offence Resolution

Compounding of Offences under the Companies Act

When a company or its officers have defaulted on a compoundable provision of the Companies Act — whether through late filings, procedural lapses, or technical non-compliance — compounding offers a structured legal route to resolve the default and avoid prosecution. Under Section 441, compoundable offences are settled by paying a designated fee to the Regional Director (RD) or the National Company Law Tribunal (NCLT), depending on the penalty cap. We assess whether the offence is compoundable, prepare the compounding application with supporting documents, and represent your company before the authority to obtain the order.

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  • Section 441 eligibility check
  • RD vs. NCLT jurisdiction
  • Fee estimation & risk analysis
description Application Filing
  • Form GNL-1 preparation
  • Affidavits & supporting docs
  • Default narrative & remediation
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  • Appearance before RD / NCLT
  • Compounding order procurement
  • Post-order MCA record update
info Compoundable offences under Section 441: RD handles penalties ≤ ₹25 lakh; NCLT handles penalties above ₹25 lakh
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Beneficial Ownership

Significant Beneficial Ownership (SBO) Compliance

The Companies (Significant Beneficial Ownership) Rules, 2018 — issued under Section 90 of the Companies Act — require companies to identify and register individuals who ultimately hold 10% or more of shares, voting rights, or dividend entitlements, either directly or through a chain of entities. Non-compliance exposes both the company and defaulting SBOs to significant penalties and restrictions on share rights. We assess your ownership structure, identify SBOs, manage BEN-1 declarations from SBOs, and file BEN-2 with the ROC.

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Ownership Structure Mapping
Tracing ultimate beneficial owners through holding companies, trusts, and nominee arrangements to identify all SBOs under the 10% threshold
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BEN-1 — SBO Declaration
Drafting and obtaining Form BEN-1 declarations from Significant Beneficial Owners — required before filing BEN-2
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BEN-2 — ROC Filing
Filing Form BEN-2 with the ROC within 30 days of receipt of BEN-1, and maintaining the Register of Significant Beneficial Owners (BEN-3)
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BEN-4 — Notice to Suspected SBOs
Where an SBO fails to declare, the company must issue Form BEN-4 notice. We manage this process to protect the company from Section 90(10) penalties
Penalty: ₹50,000 on company + ₹1,000/day on continuing default under Section 90(10) arrow_forward
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Digital Reporting

XBRL Filing of Financial Statements

XBRL (eXtensible Business Reporting Language) is a mandatory format for filing financial statements with the MCA for certain classes of companies — including listed companies, companies with paid-up capital of ₹5 crore or more or turnover of ₹100 crore or more, and all companies required to prepare CFS. XBRL converts your financial statements into a structured, machine-readable format using a prescribed taxonomy. Errors in XBRL tagging result in rejected forms, which in turn delay the filing and trigger late fees. We handle XBRL conversion, validation, and filing end-to-end.

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Applicability Check
Determining whether XBRL is mandatory based on paid-up capital, turnover, listing status, or CFS requirement
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Taxonomy Mapping & Tagging
Mapping every line item of P&L, Balance Sheet, and notes to the correct MCA XBRL taxonomy element
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Validation & Error Resolution
Running MCA validation tools to detect and fix tagging errors before submission — preventing form rejections
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AOC-4 XBRL Filing
Attaching the validated XBRL instance document to AOC-4 XBRL and filing with the ROC within 30 days of AGM
Covers standalone and consolidated financial statements; Ind AS and non-Ind AS taxonomies arrow_forward
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Regulatory Petitions

Filing of Petitions before the Regional Director & NCLT

Certain matters under the Companies Act require a formal petition or application before the Regional Director (RD) of MCA or the National Company Law Tribunal (NCLT) — a judicial body. These include conversion of a company type (e.g., Private to Public, OPC to Pvt Ltd), obtaining extension of time for holding AGMs, compounding of non-compoundable offences, rectification of register of members, investor complaints under oppression and mismanagement, and approval of schemes of arrangement. These proceedings are quasi-judicial in nature and require technically precise petitions, supporting affidavits, and often in-person appearances. We handle preparation, filing, and representation end-to-end.

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Company Conversion Petitions
Private to Public, OPC to Private Ltd, Pvt Ltd to Section 8 — RD approvals under applicable rules
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AGM Extension Applications
Form GNL-1 application to the RD for extension of time to hold AGM under Section 96
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Scheme of Arrangement (NCLT)
Section 230–232 schemes for mergers, demergers, and capital restructuring — petition preparation and hearing support
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Rectification of Register
Section 59 petitions before NCLT for rectification of the Register of Members where share transfer disputes exist
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Oppression & Mismanagement — Section 241/242 (NCLT)
Petitions before NCLT for relief against oppression of minority shareholders or mismanagement of company affairs — strategic advisory and petition drafting for both complainants and respondents
Covers RD matters (NCLT Bench Jurisdiction) and all NCLT Benches across India arrow_forward
Quick Reference

Key MCA Forms & Deadlines

The most commonly filed MCA/ROC forms, their purpose, and the applicable deadlines — late filing attracts ₹100/day or higher penalties depending on the form.

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Annual Compliance Forms

MGT-7 / MGT-7A 60 days of AGM
AOC-4 / AOC-4 XBRL 30 days of AGM
DIR-3 KYC / KYC Web 30 September annually
MSME-1 (Half-yearly) April 30 / Oct 31
DPT-3 (Deposit return) 30 June annually
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Event-Based & Change Forms

DIR-12 (Director change) 30 days of event
SH-7 (Capital change) 30 days of resolution
INC-22 (Registered office) 15 days of change
CHG-1 (Charge creation) 30 days of creation
PAS-3 (Return of allotment) 15 days of allotment
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SBO & Specialised Forms

BEN-1 (SBO declaration) Within 90 days / on change
BEN-2 (ROC return) 30 days of BEN-1
MGT-14 (Board resolutions) 30 days of passing
GNL-1 (Compounding / RD) As required
INC-20A (Commencement) 180 days of incorporation
Our Process

How We Manage Your ROC Compliance

A structured four-step process — from onboarding and compliance mapping to proactive filing, real-time tracking, and resolution of any defaults or regulatory proceedings.

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1

Compliance Mapping & Audit

We review your company's MCA records, filing history, and existing defaults — identifying all pending filings, missed deadlines, and compliance gaps before building your compliance calendar.

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2

Calendar Setup & Document Collection

We set up a tailored compliance calendar for your company, send advance reminders for each upcoming deadline, and collect the necessary data and documents from your team well ahead of due dates.

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3

Filing & Confirmation

We prepare, validate, and file every form on MCA21 within the due date — sharing the SRN (Service Request Number) and acknowledgement with you immediately after filing for your records.

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4

Default Resolution & Representation

Where past defaults exist, we assess compounding options, file condonation or compounding applications, and represent your company before the RD or NCLT to obtain closure — protecting your directors from prosecution.

Track Record

Trusted ROC Filing Partner for Companies Across India

From startups filing their first annual return to established companies with complex shareholding structures requiring SBO compliance, XBRL filing, and compounding applications — our ROC filing practice is built on precision, timeliness, and zero-default results.

1,000+
MCA/ROC forms filed across companies every year
₹0
Late filing penalties for clients on our compliance calendar
75+
Compounding applications and RD/NCLT petitions resolved
15+
Years of ROC filing and corporate compliance practice
Our Advantage

Why Companies Trust Us for ROC & Regulatory Filings

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Never Miss a Deadline

Our compliance calendar system tracks every filing obligation for your company — annual, half-yearly, and event-based — and initiates preparation weeks before the due date, not days.

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Legal & Technical Expertise

ROC filings span both legal and financial disciplines. Our team combines Companies Act expertise with XBRL technical knowledge and MCA21 portal proficiency — ensuring forms are accurate and accepted first time.

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Regulatory Representation

When a matter escalates to the RD or NCLT, you need experienced representation — not just filing assistance. We draft petitions, prepare supporting affidavits, and appear on your behalf before regulatory authorities.

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Clean MCA Records, Always

Investors, banks, and acquirers check MCA records before transacting. A company with a clean ROC filing history and no outstanding defaults commands significantly more confidence in due diligence.

Keep Your ROC Records Clean. Leave Nothing Pending.

Whether you need routine MCA filing management, assistance with a compounding application, SBO declarations, XBRL filing, or representation before the NCLT — we are ready to handle it so your directors never face prosecution risk.

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Office Address

4th Floor, Solitaire 1, New Link Rd, Malad West, Mumbai 400064.

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Direct Line

+91-8169820387 | 022-46022657