RoC Annual Compliance & Secretarial Retainer
Full-lifecycle statutory secretarial and RoC compliance management under the Companies Act, 2013 and LLP Act, 2008. Eliminate Section 403 cumulative daily late fee liabilities (₹100/day per form without statutory ceiling), prevent director disqualification under Section 164(2), and maintain pristine active MCA company standing.
Companies Act, 2013 / MCA V3
AOC-4, MGT-7/7A, DIR-3 KYC, ADT-1
Continuous Monitoring & AGM Filings
Who This Service Is For & Statutory Deadlines
Every active Private Limited Company, One Person Company (OPC), Section 8 Company, and LLP incorporated in India is legally mandated to file annual financial statements and annual returns with the Registrar of Companies (RoC), irrespective of turnover or operational activity.
Statutory Annual Milestone Calendar:
- Annual General Meeting (AGM): Must be convened within 6 months of the close of the financial year (on or before September 30 under Section 96). First AGM can be held within 9 months of first FY close.
- DIR-3 KYC: Mandatory annual verification for all DIN holders on or before September 30. DINs are deactivated with ₹5,000 reactivation fee if missed.
- Form AOC-4 / AOC-4 XBRL: Filing of audited financial statements within 30 days of AGM (typically on or before October 30 under Section 137).
- Form MGT-7 / MGT-7A: Filing of annual return within 60 days of AGM (typically on or before November 29 under Section 92). Small companies file abbreviated Form MGT-7A.
Scope of Work & Exclusions
Statutory Secretarial Inclusions:
- Preparation and MCA V3 e-filing of Form AOC-4 (Balance Sheet, P&L, Notes to Accounts, and Director Report).
- Preparation and e-filing of Form MGT-7 or MGT-7A (Annual Return with shareholding patterns and debenture data).
- Annual DIR-3 KYC / DIR-3 KYC Web filings for up to 4 active directors.
- Form ADT-1 auditor appointment preparation and filing.
- Board Meeting Notice, Agenda, and Resolution drafting for financial statement approval.
- AGM Notice, Directors' Report under Section 134, and Extract of Annual Return.
- Statutory registers maintenance (Register of Members, Directors, Charges under Section 88).
- Continuous MCA compliance status monitoring & email alerts.
Exclusions & Event-Based Requirements:
- Independent Statutory Audit: The audit report must be prepared and signed by your independent statutory auditor / Chartered Accountant firm with valid UDIN.
- Event-Based Filings: Director appointments/resignations (DIR-12), registered office shifts (INC-22), or share capital increases (SH-7) are billed per event.
- Form DPT-3: Return of deposits and outstanding loans (due June 30, available under Enterprise plan).
- Compounding Petitions: Section 441 compounding for legacy defaults before Regional Director or NCLT requires separate mandate with independent legal counsel.
- Government Late Fees: MCA normal and additional penalty fees are paid at actuals.
Required Documents & Financial Information
1. Audited Financial Statements
- Audited Balance Sheet and Statement of Profit & Loss.
- Notes to Accounts and Significant Accounting Policies.
- Cash Flow Statement (if applicable / non-small company).
- Statutory Auditor's Report with ICAI UDIN.
2. Governance & Corporate Records
- Draft Directors' Report signed by 2 directors (including Chairman if designated).
- List of share transfers, transmissions, or allotments during the financial year.
- Details of Board Meetings held during the year (minimum 4 meetings with gap ≤ 120 days).
- Details of loans taken from directors or banking institutions.
3. Digital Credentials & Signatures
- Active Class 3 Digital Signature Certificate (DSC) of at least 1 authorized director.
- MCA V3 portal user login credentials.
- Practicing professional DSC (PCS/PCA) for annual return certification (if applicable).
Statutory Process & Late Fee Risk Mitigation
Receipt of signed audited accounts. Board meeting convened with 7 days' statutory notice to adopt financials, approve the Director's Report, and issue the AGM notice.
Annual director verification submitted online. Prevents DIN deactivation and ₹5,000 statutory penalty per defaulting director.
Compilation, pre-scrutiny, and electronic submission of financial statements with the RoC. Eliminates Section 403 cumulative ₹100/day penalty exposure.
Filing of comprehensive annual return. Challan download, SRN archiving, and statutory registers update.
Annual Retainer Plans
Standard Startup Retainer
For private limited companies and LLPs with authorized capital up to ₹10 Lakhs.
- Form AOC-4 & MGT-7/7A Annual Filings
- Up to 4 Directors DIR-3 KYC Filings
- Form ADT-1 Auditor Appointment
- AGM & Board Meeting Minutes Drafting
- Statutory Register Maintenance
Enterprise Annual Retainer
For growing entities requiring XBRL, DPT-3, MSME-1, and quarterly secretarial oversight.
- Everything in Standard Retainer
- Form AOC-4 XBRL Tagging & Filing
- Form DPT-3 Return of Deposits Filing
- Half-Yearly MSME-1 Compliance Filings
- Up to 4 Board Meeting Minutes & Resolutions
- Priority MCA Liaison & Resubmission Desk
Section 403 Statutory Warning: Failure to file AOC-4 or MGT-7 within the statutory timeframe attracts an automatic, mandatory additional fee of ₹100 per day per form under Section 403 of the Companies Act, 2013, with no upper ceiling. Non-filing for 3 consecutive years results in director disqualification under Section 164(2).
Relevant Diagnostic Tools & Secretarial Modules
Request Compliance Audit & Retainer Quote
Provide your company CIN or legal name for an immediate compliance health check and deadline review.