ROC Annual Compliance Filing — AOC-4, MGT-7, ADT-1, DIR-3 KYC | Coordinated through Batchwise
ROC annual compliance filing for private limited companies, One Person Companies (OPCs), and LLPs — AOC-4 financial statements, MGT-7 annual return, ADT-1 auditor appointment, DIR-3 KYC, board resolutions. Coordinated by Batchwise; filed via MCA21 portal by a vetted partner (CA or Company Secretary) under their own credentials.
What this is
End-to-end annual ROC (Registrar of Companies) compliance for private limited companies, One Person Companies (OPCs), public limited companies, and LLPs in India. The service covers all standard annual MCA21 filings — AOC-4 for filing audited financial statements, MGT-7 / MGT-7A for the annual return, ADT-1 for auditor appointment notice, DIR-3 KYC for director KYC, and the LLP-equivalent forms (Form 11 annual return, Form 8 statement of account and solvency).
You upload your audited financial statements, board resolutions, AGM minutes, and director / shareholder details; engagement is routed to a vetted partner — typically a Company Secretary in practice or a Chartered Accountant — who prepares the forms on the MCA21 V3 portal, certifies them under their own DSC and Membership Number, and files them under their own credentials. MCA21 acknowledgments and challans are uploaded to your dashboard.
Batchwise itself does not file with MCA21 — every form is filed by a vetted partner who takes professional responsibility for the certification.
Statutory framework — what every company must file annually
Under the Companies Act 2013 and the Companies (Management and Administration) Rules 2014, every company incorporated in India has a recurring annual compliance calendar. Defaulting on these filings attracts additional fees on a per-day-late basis (Rule 12 of Companies (Registration of Offices and Fees) Rules 2014) and may attract penalty under Section 450 (general penalty for ongoing default — ₹10,000 plus ₹1,000 per day until cured, capped at ₹2 lakh) and disqualification of directors under Section 164(2) for chronic default.
| Form | Purpose | Deadline | Late fee |
|---|---|---|---|
| AOC-4 (companies) | Filing of audited financial statements | 30 days from AGM (typically 30 October if AGM on 30 September) | ₹100/day per form (no upper cap on additional fees in default cases) |
| AOC-4 XBRL | XBRL-tagged filing for listed companies / specified large companies | Same as AOC-4 | Same as AOC-4 |
| MGT-7 (most companies) | Annual return — directors, shareholders, KMP, RPT, etc. | 60 days from AGM (typically 29 November) | ₹100/day |
| MGT-7A (OPCs and small companies) | Simplified annual return | 60 days from AGM | ₹100/day |
| ADT-1 | Notice of auditor appointment (post-AGM) | 15 days from AGM resolution | ₹100/day |
| DIR-3 KYC / DIR-3 KYC Web | Annual director KYC | 30 September each year | ₹5,000 per director + DIN deactivation |
| DPT-3 | Return of deposits / loans not treated as deposits (annual return on outstanding receipts) | 30 June each year | Per Section 76A late fee |
| MSME-1 | Half-yearly return on outstanding payments to MSME suppliers (over 45 days) | 31 October (April–Sept) and 30 April (Oct–March) | Per Section 405 |
| Form 11 (LLP) | LLP annual return | 30 May each year | ₹100/day |
| Form 8 (LLP) | Statement of Account and Solvency | 30 October each year | ₹100/day |
Who needs this service
- Private limited companies — every Pvt Ltd has a recurring annual ROC obligation regardless of whether it is operationally active. "Dormant" status requires a separate Form MSC-1 application; otherwise, full annual filings apply even for nil-revenue companies.
- One Person Companies (OPCs) — same forms as Pvt Ltd but with simplifications (MGT-7A, AOC-4 within 180 days of FY end).
- Public limited companies — additional disclosures in MGT-7; AOC-4 XBRL applicable above prescribed thresholds.
- LLPs (Limited Liability Partnerships) — Form 11 + Form 8 annual; LLP DIR-3 KYC for designated partners.
- Companies with subsidiaries / step-down subsidiaries — additional consolidated financial statement requirements; XBRL filing applicability checks.
- Companies that have missed prior years\' filings — chronic-default cases needing CFSS-2020-style condonation or compounding under Section 441. Coordinated as a separate engagement.
How the engagement works
- Sign up + select service. Sign in; pick "ROC Compliance".
- Pay ₹4,999 base fee. Razorpay; covers one financial year, one entity (Pvt Ltd / OPC / LLP), standard form set. Add-ons quoted separately.
- Upload data. Audited financial statements (signed PDF), Director\'s Report, AGM minutes, board resolutions for the year (auditor appointment, financials adoption, dividend declaration if any), CIN / LLPIN, list of directors / designated partners with DIN-DPIN and KYC status, list of shareholders / partners with shareholding pattern movement during the year, related-party transaction summary.
- Partner assignment. Vetted partner (CS in practice or CA) is assigned and contact details surface in your dashboard.
- Form preparation. Partner prepares all applicable forms on MCA21 V3 portal in draft, attaches the financials and resolutions, and shares for your review and signatures (forms requiring physical / digital signatures of company-side authorised signatory).
- Form certification + DSC affixation. Designated company directors or signatories sign with their DSCs (the partner provides step-by-step instructions). Partner counter-certifies as the practising professional under their own membership number and DSC.
- MCA21 submission. Partner uploads the certified forms via MCA21 V3. Government filing fees (e.g., AOC-4 fee = ₹400 to ₹600 depending on capital; MGT-7 fee = same scale) are paid via the MCA21 challan — partner generates challan, you pay via net banking, partner completes submission post-payment.
- SRN tracking. Service Request Number (SRN) for each filing is shared in your dashboard for tracking. Approval / objection (resubmission) status monitored for 14 days post-submission; any resubmission within scope of original engagement.
- Closure pack. All filed forms (e.with MCA21 acknowledgment), challans, SRNs, and annual compliance certificate compiled and uploaded to your dashboard. Annual compliance is closed once all forms are approved.
Pricing
| Engagement | Price (₹) | Coverage |
|---|---|---|
| Pvt Ltd / OPC annual compliance — standard package | 4,999 | AOC-4 + MGT-7 / 7A + ADT-1 + DIR-3 KYC for all listed directors; one financial year, one entity |
| Public limited company annual compliance | 9,999 | Same as above + AOC-4 XBRL (where applicable) + extended MGT-7 disclosures |
| LLP annual compliance — standard package | 3,999 | Form 11 + Form 8 + LLP DIR-3 KYC for designated partners |
| DPT-3 standalone | 1,499 | Return of deposits / loans not treated as deposits |
| MSME-1 standalone (per filing) | 999 | Half-yearly return on MSME outstanding payments |
| DIR-3 KYC standalone (per director) | 499 | Web KYC if no change; full DIR-3 KYC if change of details |
| ADT-1 standalone (auditor appointment notice) | 1,499 | Mid-year auditor change or fresh appointment |
| Past-year default rectification | From 9,999 | Quoted after MCA21 default-status review; covers belated filings + condonation strategy |
| AOC-4 XBRL — separate | From 9,999 | Listed companies / specified threshold companies; tagging + filing |
All prices GST-exclusive. Government filing fees (per MCA fee schedule under Companies (Registration of Offices and Fees) Rules) are billed at actuals — typically ₹400 to ₹2,000 per form depending on share capital. Late filing additional fees (₹100 per day per form for default periods) are at actuals.
What you get
- Filed forms with MCA21 acknowledgments and SRNs — AOC-4, MGT-7 / 7A, ADT-1, DIR-3 KYC (or LLP equivalents)
- MCA21 challan receipts for Government filing fees paid
- Annual compliance certificate — partner-signed certificate confirming all annual filings completed
- Director KYC compliance status for each listed director
- Compliance calendar reminder set up for next year\'s deadlines
- Partner contact — direct line for any post-filing MCA query or resubmission requirement
- Dashboard archive — all forms, acknowledgments, and certificates stored for the lifetime of your account; useful for due diligence, fundraising, and audit responses
The marketplace model
Batchwise is a coordination platform, not a CS / CA firm. Every ROC filing is prepared and certified by a vetted partner — a Company Secretary in practice or Chartered Accountant in practice — under their own Membership Number and DSC. The MCA21 filing record shows the partner as the Practising Professional certifying the form; the company directors / designated partners separately affix their own DSCs as authorised signatories.
What Batchwise does: dashboard, secure document workspace, partner assignment, payment processing, status tracking, deliverable storage, methodology consistency.
What the partner does: form preparation on MCA21 V3, attachment of financials and resolutions, professional certification, MCA21 submission under their credentials, SRN tracking, resubmission if MCA raises an objection, post-filing follow-up.
Common gotchas worth knowing
- AGM gating: AOC-4 and MGT-7 deadlines are reckoned from the date of AGM, not from FY end. If AGM is delayed (which itself attracts a separate violation), all subsequent ROC filing windows shift but late fees still accrue from the original (deemed) AGM date.
- Auditor non-appointment: ADT-1 is a notice of appointment, not the appointment itself. The board / shareholder resolution appointing the auditor must precede ADT-1. Many first-time companies miss this — leading to late ADT-1 filing and a defective audit report.
- DIR-3 KYC silent default: Missing DIR-3 KYC by 30 September deactivates the DIN — the director cannot sign any subsequent MCA filing until KYC is filed (with ₹5,000 penalty per director). Cascade impact: DIN deactivation can block AOC-4 / MGT-7 filings if the director is the signatory.
- Beneficial Ownership (BO): Form BEN-2 must be filed within 30 days of any change in significant beneficial owners (10%+). Often missed — and now an MCA scrutiny focus.
- RPT disclosure in MGT-7: Related-party transactions disclosed in MGT-7 must reconcile with disclosures in the audited financials (Ind AS 24 / AS 18) and any Section 188 board approvals. Mismatch is an audit query and an MCA inspection trigger.
- XBRL applicability: AOC-4 XBRL is mandatory for listed companies, public companies with turnover ≥ ₹100 cr or paid-up capital ≥ ₹5 cr, and Ind AS-applicable companies. Many private limited companies that voluntarily adopt Ind AS forget the XBRL filing trigger.
Related reading
- ROC compliance per state — jurisdiction guides (coming soon — 28 state-level pages)
- DSC Class 3 — Digital Signature Certificate (coming soon)
- Payroll Processing — bundled for companies with employees
- ITR Filing — corporate ITR filing for the entity (separate engagement)
- Bookkeeping & Book Finalisation — finalise books before audit and ROC filing
Authoritative sources
- Ministry of Corporate Affairs (MCA) — MCA21 V3 portal and form set
- Companies Act, 2013 — Sections 92 (annual return), 129 (financial statements), 134 (Director\'s Report), 137 (filing of financial statements), 139 (auditor appointment), 164 (director disqualification), 450 (general penalty)
- Companies (Management and Administration) Rules, 2014 — Rule 11 (annual return), Rule 12 (filing of forms)
- Companies (Registration of Offices and Fees) Rules, 2014 — fee schedule and additional-fee structure
- Limited Liability Partnership Act, 2008 — LLP annual filing framework
How to start
- Sign up via Google or magic-link email.
- From the dashboard service catalog, select ROC Compliance.
- Pay ₹4,999 (Pvt Ltd / OPC) or ₹3,999 (LLP) base fee via Razorpay.
- Upload audited financials, board resolutions, AGM minutes, and director / shareholder details per the dashboard checklist.
- Partner prepares all applicable forms within 5 working days; filing happens after your DSC sign-off and Government fee payment.
Or book a free 15-minute scoping call if you have past-year defaults to clean up, public-limited XBRL filing, or multi-entity group filings.
Frequently asked questions
Which ROC forms does this service cover?
For private limited / public limited companies: AOC-4 (filing of audited financial statements with the Registrar of Companies, due within 30 days of AGM); MGT-7 / MGT-7A (annual return — MGT-7A for OPCs and small companies, MGT-7 for others — due within 60 days of AGM); ADT-1 (notice of auditor appointment, due within 15 days of AGM resolution); DIR-3 KYC (director KYC compliance, due 30 September annually). For LLPs: Form 11 (annual return, due 30 May); Form 8 (statement of account and solvency, due 30 October); LLP DIR-3 KYC for designated partners. Other forms (DPT-3 deposits, MSME-1, AOC-4 XBRL for listed / public companies above thresholds) covered as add-ons.
What are the deadlines for ROC annual filings?
For private limited companies (FY ending 31 March): AGM by 30 September; AOC-4 within 30 days of AGM (typically by 30 October); MGT-7 / MGT-7A within 60 days of AGM (typically by 29 November); ADT-1 within 15 days of the AGM resolution appointing auditors; DIR-3 KYC by 30 September each year (independent of AGM). For OPCs: same forms with extended timelines (AOC-4 within 180 days of FY end). For LLPs: Form 11 by 30 May; Form 8 by 30 October. Late filing attracts additional fees on a per-day-late basis (typically ₹100 per form per day) plus penalty under Section 450 of the Companies Act for ongoing default.
Does Batchwise file with MCA21?
No. Batchwise is a coordination platform. Each engagement is routed to a vetted partner — typically a Company Secretary (CS) in practice or a Chartered Accountant (CA) — who prepares the forms, attaches the audited financials and board resolutions, certifies the forms with the partner's own DSC and DIN-DPIN under their professional certification, and uploads them on the MCA21 V3 portal under their own credentials. The MCA21 acknowledgment and challan are uploaded to your dashboard.
Do I need a separate auditor appointment before this filing?
Yes. Per Section 139 of the Companies Act 2013, every company must appoint a statutory auditor — initially within 30 days of incorporation by the board, ratified by shareholders at the first AGM, then for a five-year tenure. The audit report on financial statements is a prerequisite for AOC-4 filing (the audited financials are an attachment). If your auditor is already appointed and the audit is complete, this service handles ROC filings only. If you also need an audit engagement coordinated, contact us for a separate quote.
What about DIR-3 KYC?
DIR-3 KYC is a separate annual compliance for every individual holding a Director Identification Number (DIN) — independent of whether the director is active in any company. Filing window: 1 April to 30 September each year. Web KYC (DIR-3 KYC Web) is sufficient if no details have changed; full Form DIR-3 KYC is required if any KYC detail (mobile, email, address) has changed. Late filing attracts a penalty of ₹5,000 per director plus DIN deactivation until KYC is filed and penalty paid. DIR-3 KYC is included in the standard ₹4,999 ROC compliance package for all listed directors of the company.
What if my company is a small company or OPC?
Small companies and OPCs (One Person Companies) get certain compliance relaxations: simpler annual return form (MGT-7A instead of MGT-7), extended AOC-4 timelines for OPCs (180 days from FY end vs 30 days from AGM for others), no requirement to hold an AGM (for OPCs — the resolution may be passed by the sole member). Pricing for small companies and OPCs is the same ₹4,999 base — the partner adapts the form set to your entity type.
Are there state-specific ROC offices?
Yes — there are 28 Registrar of Companies (ROC) offices across India, mapped to states or groups of states. Filings are made centrally on the MCA21 V3 portal but processed by the ROC of jurisdiction (typically the state where the registered office is located). Some forms require state-specific stamp paper for attached resolutions. The vetted partner handles jurisdiction-specific requirements transparently.