When you register a company or LLP in Mumbai, you gain a legal identity — and an ongoing responsibility: ROC compliance. Every registered business, active or dormant, must meet annual filing requirements under the Companies Act, 2013 or LLP Act, 2008.

This guide explains what ROC compliance means, the key forms and due dates, penalties for non-compliance, and why choosing the right ROC compliance firm in Mumbai makes the process effortless.

What is ROC Compliance?

ROC compliance involves filing your company’s annual reports, financial statements, and statutory disclosures with the Registrar of Companies (ROC). These filings are mandatory and help ensure that companies operate transparently within Mumbain corporate law.

Even if your company hasn’t done any business during the year, the relevant ROC forms still need to be filed. Partnering with a trusted ROC compliance firm in Mumbai ensures that filings are timely, accurate, and compliant with MCA regulations.

Why ROC Compliance is Important

Staying compliant isn’t just about avoiding penalties — it safeguards your company’s legal standing and credibility.

Here’s why ROC compliance matters:

• It’s the law: Every registered company or LLP must file annual returns.
• Avoid penalties & disqualification: Missing filings for three years can lead to director disqualification.
• Builds credibility: Regular company compliance in Mumbai improves trust with banks, investors, and clients.
• Prevents strike-off: Repeated non-compliance can lead to the company being removed from the ROC register.

Compliance keeps your business legally sound and reputable — and the Best CS company in Mumbai can handle it without the hassle of missed deadlines.

Who Must File ROC Returns

ROC compliance applies to all registered entities in Mumbai, including:

• Private Limited Companies
• Public Limited Companies
• One Person Companies (OPCs)
• Limited Liability Partnerships (LLPs)

Even companies with no business or income must complete company compliance in Mumbai each year.

Key ROC Filings & Due Dates

For companies, the essential forms include:

• Form AOC-4: To file audited financial statements within 30 days of the Annual General Meeting (AGM).
• Form MGT-7 or MGT-7A: Annual return showing shareholding and directorship details, filed within 60 days of the AGM.
• Form ADT-1: Auditor appointment or re-appointment, filed within 15 days of the AGM.
• Form DIR-3 KYC: Director KYC verification, due by 30th September every year.
• Form DPT-3: Return of deposits or loan details, due by 30th June annually.

For LLPs, two filings are mandatory:

• Form 11: Annual return, filed by 30th May each year.
• Form 8: Statement of Accounts and Solvency, due by 30th October.

The financial year for both companies and LLPs ends on 31st March. Work with a reliable ROC compliance firm in Mumbai to plan filings early and avoid penalties.

Step-by-Step Process for ROC Annual Filings

1. Close books of accounts: Finalize financial records for the year.
2. Conduct audit: Have accounts audited (if required).
3. Hold AGM: Within six months of the financial year-end.
4. Approve reports: Directors approve audited statements and reports.
5. File MCA forms: Submit AOC-4, MGT-7, ADT-1, and others through the MCA portal.
6. Maintain registers: Keep minutes, resolutions, and statutory registers updated.
7. Handle event-based filings: Report changes in directors, address, or share capital promptly.

The Best CS company in Mumbai manages this entire process, ensuring every step is completed accurately and on time.

Penalties for Non-Compliance

The Ministry of Corporate Affairs (MCA) imposes strict penalties for missed filings:

• Late fee: ₹100 per day per form — no maximum cap.
• Director disqualification: If filings are skipped for three consecutive years.
• Company strike-off: Repeated default can lead to removal from the MCA register.
• Reputation loss: Non-compliance is public record and impacts credibility.

Engaging an experienced ROC compliance firm in Mumbai helps prevent these issues and ensures your company remains compliant year-round.

How to Stay ROC Compliant

Successful companies follow a few key practices to stay compliant:

• Maintain a compliance calendar: Track important ROC and tax deadlines.
• Review records regularly: Keep financials and minutes updated.
• Use professional support: Partner with the Best CS company in Mumbai for accurate and timely filings.
• Start early: Prepare documents well before the AGM.
• Stay updated: MCA rules and forms often change — keep track or let your CS firm handle it.

Outsourcing company compliance in Mumbai to experts like Cardiff Services saves time, prevents penalties, and lets you focus on running your business.

Frequently Asked Questions (FAQ)

1. What’s the difference between MGT-7 and AOC-4?
AOC-4 includes the company’s financial statements, while MGT-7 provides details of directors, shareholders, and company structure.

2. Do inactive companies need to file ROC forms?
Yes. Even dormant companies must complete annual filings to maintain legal status.

3. What happens if a director misses DIR-3 KYC?
The DIN becomes inactive until the KYC is filed with applicable late fees.

4. Can ROC forms be filed after the due date?
Yes, but a ₹100-per-day late fee applies until filing is complete.

5. Are LLPs required to file annual returns?
Yes. LLPs must submit Form 11 and Form 8 annually to maintain company compliance in Mumbai.

Conclusion: Why Cardiff Services is the Right Partner for ROC Compliance

ROC compliance and annual filings form the foundation of transparent and responsible business operations. They help your company stay legally compliant, penalty-free, and credible in the eyes of regulators and investors.

But managing compliance can be time-consuming and complex — which is why partnering with experts matters. Cardiff Services, one of the Best CS companies in Mumbai, simplifies the entire process with precision and reliability.

At Cardiff Services, compliance isn’t just paperwork. Our qualified company secretaries and professionals handle everything from preparing documents to e-filing forms on the MCA portal. As a trusted ROC compliance firm in Mumbai, we monitor deadlines, track MCA updates, and ensure your AOC-4, MGT-7, DIR-3 KYC, and other filings are always accurate and on time.

If you’re looking for a dependable, proactive, and transparent partner for company compliance in Mumbai, choose Cardiff Services. Let our experts manage your ROC filings — while you focus on building and scaling your business.

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Cardiff Services
Company Secretaries | Incorporation • Compliance • Advisory
📞 +91 9819 000 640
📧 info@cardiffservices.com
🌐 www.cardiffservices.com