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What is ROC Compliance for a Private Limited Company?
ROC compliance for a Private Limited Company refers to the mandatory annual filings and legal submissions that every company must complete with the Ministry of Corporate Affairs in India. It includes filing financial statements, annual returns, auditor details, and statutory company information within specific timelines. These filings help the government verify that the company is operating legally, maintaining proper records, and following the Companies Act. ROC compliance is essential even if the company has no business activity or revenue, because the MCA treats these filings as proof that the company is active and maintaining its legal status.
Who Must Complete ROC Compliance for a Pvt Ltd Company?
ROC compliance must be completed by every Private Limited Company registered in India, regardless of business size, turnover, or operational activity. All companies must submit their annual returns, financial statements, auditor information, and director KYC details. The board of directors is responsible for ensuring every filing is completed correctly and on time to avoid penalties. ROC compliance also applies to newly incorporated companies that must file their first financial statements and annual return within the prescribed deadlines.
Examples of who must file ROC compliance:
Small businesses and startups registered as Private Limited Companies
Companies with zero revenue or no transactions in the financial year
Newly incorporated companies are preparing their first annual filings
Companies seeking loans, funding, or government approvals
When Should a Private Limited Company File ROC Returns?
A Private Limited Company must follow fixed statutory timelines for filing its annual returns and financial statements with the ROC. Form AOC-4 must be filed within 30 days from the date of the AGM, and Form MGT-7 or MGT-7A must be filed within 60 days from the AGM. If the company does not conduct an AGM on time, the due dates are calculated from the last date on which the AGM should have been held. Other filings such as ADT-1, DIR-3 KYC, DPT-3, and MSME Form I also follow annual deadlines that must be completed every financial year to stay compliant.
Ideal time to ensure compliance:
Soon after closing the financial year ending 31 March
After audit completion and preparation of financial statements
Before applying for loans, tenders, or funding where compliance status is verified
Before MCA penalties start accumulating at ₹100 per day per form
Why Choose Ebizfiling for Pvt Ltd ROC Compliance?
Ebizfiling offers complete support for all ROC compliance requirements of Private Limited Companies, ensuring every form is filed correctly and on time. We prepare AOC-4 and MGT-7, coordinate with auditors, complete DIR-3 KYC, file ADT-1 and DPT-3, and manage all statutory submissions on the MCA portal. Our team also provides deadline reminders, compliance tracking, and accurate documentation support so your company remains fully compliant without stress.
Advantages of Timely ROC Compliance for Pvt Ltd Companies
Legal Penalties
Timely ROC compliance prevents heavy late fees and legal consequences, helping the company maintain a clean financial and statutory record.
Active Status
Completing annual filings on time keeps the company’s status active on the MCA portal and protects it from strike off or government action.
Strong Credibility
Proper compliance improves trust with banks, vendors, clients, and investors and supports applications for loans, tenders, or partnerships.
Smooth Operations
Updated ROC filings help avoid delays in approvals, licenses, contracts, or other business processes that require compliance verification.
Financial Accuracy
Regular filings ensure all financial data is recorded, audited, and updated, helping the company maintain transparent and reliable accounts.
Funding and Growth
Investors and lenders prefer companies with a strong compliance history, improving funding opportunities, and long-term expansion plans.
Protects Directors
Timely filings prevent penalties, notices, or DIN deactivation for directors and safeguard them from disqualification under the law.
Business Reputation
Consistent compliance strengthens the company’s reputation and helps establish it as a responsible and reliable business entity.
Documents Required for ROC Compliance Filing
Documents for ROC Compliance Filing
PAN Card of the company
Certificate of Incorporation
Memorandum and Articles of Association
Director PAN and Aadhaar
Director DIN and DSC
Audited financial statements
Profit and loss account
Balance sheet and notes
Bank statements for the year
Sales and purchase invoices
Expense invoices and ledgers
Audit report from the statutory auditor
Board resolutions (if applicable)
Shareholding records
MSME information (if applicable)
Loan or deposit details for DPT-3
Registers and statutory records
AGM documents and notices
Director KYC documents
Mandatory ROC Compliance Requirements for Pvt Ltd Companies
AOC-4
A Private Limited Company must file AOC-4 every year to submit its audited financial statements, director reports, and all supporting financial information to the ROC.
MSME Form I
A Private Limited Company must file MSME Form I if it has unpaid dues towards MSME suppliers, reporting pending payments and reasons for delay as per MCA rules.
DPT-3
A Private Limited Company must file DPT-3 every year to declare any outstanding loans, deposits, or financial transactions as required under the Companies Act.
DIR-3 KYC
A Private Limited Company must ensure that every director completes DIR-3 KYC annually to verify identity details and keep their Director Identification Number active.
ADT-1
A Private Limited Company must file ADT-1 each year to inform the ROC about the appointment or reappointment of its statutory auditor for the financial year.
MGT-7 / MGT-7A
A Private Limited Company must file MGT-7 or MGT-7A to report details of shareholding, management structure, compliance status, and annual return information to the ROC.
Stepwise ROC Compliance Filing Process
1
Document Collection
2
Financial Statement Preparation
3
Form Drafting and Verification
4
MCA Portal Filing
5
SRN Tracking and Approval
What Ebizfiling Does for ROC Compliance Filing?
We review your company’s compliance requirements and identify all ROC forms that must be filed for the financial year.
We prepare AOC-4, MGT-7 or MGT-7A, ADT-1, DPT-3, DIR-3 KYC, and all supporting documents with accurate financial and statutory details.
We coordinate with your auditor to finalize financial statements, audit reports, and other documents required for yearly filings.
We verify attachments, apply digital signatures, and file all ROC forms on the MCA portal without errors or resubmission issues.
We track SRNs, handle MCA queries, and provide updates until every annual filing is successfully completed and approved.
We send timely reminders so your Private Limited Company never misses an ROC filing deadline or faces penalties.
FAQs on ROC Compliance for Pvt Ltd Companies
Get answers to all your queries
What is ROC compliance for a Private Limited Company?
ROC compliance refers to the annual filings and statutory submissions that every Private Limited Company must file with the Ministry of Corporate Affairs to maintain legal status and fulfill the requirements of the Companies Act.
Is ROC compliance mandatory for all Pvt Ltd companies?
Yes, ROC compliance is mandatory for every registered Private Limited Company, whether active or inactive, because MCA requires annual returns and financial statements from all incorporated entities.
What happens if a company does not file ROC returns?
If a company does not file ROC returns, it will face heavy late penalties, director DIN deactivation, and possible strike off by the Registrar of Companies, along with legal notices and compliance restrictions.
What are the main forms filed under ROC compliance?
The key ROC forms are AOC-4 for financial statements, MGT-7 or MGT-7A for annual returns, ADT-1 for auditor appointment, DIR-3 KYC for director verification, DPT-3 for deposit details, and MSME Form I if applicable.
Is an AGM compulsory for Private Limited Companies?
Yes, every Private Limited Company must hold an AGM once every year to approve financial statements and discuss company matters, and the AGM date helps determine ROC filing deadlines.
When is AOC-4 due for filing?
AOC-4 must be filed within 30 days of the AGM date, and if the AGM is not held, the filing timeline is calculated based on the last date on which the AGM should have been conducted.
When is MGT-7 or MGT-7A due for filing?
MGT-7 or MGT-7A must be filed within 60 days of the AGM, and companies must ensure that all annual return information is properly updated before filing on the MCA portal.
Is statutory audit mandatory for Private Limited Companies?
Yes, statutory audit is mandatory for all Pvt Ltd companies regardless of turnover, and audited financial statements must be filed with MCA along with AOC-4.
Do newly incorporated companies need to file ROC compliance?
Yes, newly incorporated companies must file their first AOC-4 and MGT-7/MGT-7A within the specified deadlines once the financial year ends and the audit is completed.
What is DIR-3 KYC and who must file it?
DIR-3 KYC is the annual KYC verification for directors, and every director with a DIN must file it each year to keep their DIN active and avoid penalties or deactivation by MCA.
What is the purpose of filing DPT-3?
DPT-3 is filed to report all outstanding loans, deposits, or advances received by the company, helping MCA track financial liabilities and compliance with deposit rules.
Is MSME Form I applicable to all Pvt Ltd companies?
MSME Form I is applicable only to companies that have outstanding dues to MSME suppliers beyond the permitted payment period, and such companies must report these delays to MCA.
Can ROC forms be revised after filing?
Certain ROC forms can be resubmitted during the MCA resubmission window if errors are identified, but after approval, revisions may require additional procedures or fresh filings.
Can a company file ROC compliance without an auditor?
No, a company cannot file AOC-4 without audited financial statements, and auditor details must be filed through ADT-1 before submitting annual returns.
What are the penalties for late ROC filing?
The penalty for late filing is ₹100 per day per form, with no maximum cap, which means the amount continues to accumulate until the filing is completed.
Does an inactive or dormant company need ROC compliance?
Yes, even inactive and dormant companies must file annual returns and financial statements, as ROC compliance is mandatory for all registered companies.
Can a company be restored after a strike off due to non compliance?
Yes, a struck off company can apply for restoration through NCLT by providing valid reasons and completing pending ROC filings along with penalties.
Does GST registration replace ROC compliance?
No, GST registration is separate and does not replace ROC compliance, because ROC filings relate to company law requirements under the MCA.
Can ROC filings be completed fully online?
Yes, all ROC forms are filed electronically on the MCA portal using valid digital signatures, making the entire ROC compliance process completely online.
How does Ebizfiling help with ROC compliance for Pvt Ltd companies?
Ebizfiling prepares all ROC forms, coordinates with auditors, verifies documents, files forms on the MCA portal, tracks SRNs, handles resubmissions, and ensures timely compliance every year.
Pvt Ltd Company Compliance Cost
Start your ROC compliance and filing for your Private Limited Company at just 3,999/- only.
Ebizfiling manages all annual filings, ROC forms, and statutory compliance so your company stays fully updated throughout the year.