Introduction

Corporate compliance services help Private Limited Companies, LLPs, OPC, Section 8 (NPO (Non-profit organization) and Farmer producers' companies and startups meet ROC filing deadlines, maintain statutory records and avoid penalties under the Companies Act, 2013. Nine O Six Advisory provides end-to-end compliance management services, from annual returns to event-based filings, for businesses across Nashik, Pune, Mumbai, and across India.

Corporate compliance is not just a legal requirement. It is one of the most important pillars of a professionally managed and financially disciplined business.

Many companies focus heavily on sales, growth, hiring, and expansion, while underestimating the importance of ROC filings, board governance, statutory documentation, and regulatory management.

Initially these gaps may seem manageable. But over time, poor compliance creates serious business risks:

• Heavy ROC penalties and late filing fees
• Director Disqualification: Under Section 164(2) of the Companies Act, 2013, if a company fails to file its financial statements (AOC-4) or annual returns (MGT-7) for three consecutive financial years, its directors become disqualified for a period of five years from being reappointed in that company or appointed in any other company.
• Company strike-off risk
• Investor due diligence failures
• Banking complications and funding delays
• Operational restrictions

• Legal standing and business continuity
• Director eligibility and DIN status
• Investor confidence and funding eligibility
• Banking relationships and credit access
• Governance quality and operational credibility

MGT-7 / MGT-7A filing (Annual Return)

Covers shareholding structure, directors, registered office, and governance disclosures

AOC-4 filing (Financial Statements)

Includes balance sheet, profit & loss, auditor reports, and financial disclosures

LLP Form 8 (Statement of Accounts & Solvency) and Form 11 (Annual Return)

DIR-3 KYC compliance

Maintains active DIN status and prevents director deactivation. Non-filing by 30 September deactivates the DIN; restoration requires a flat reactivation fee of ₹5,000 (not ₹100 per day, a common misconception)

DIR-12 Filing (Appointment / Resignation of Director or KMP)

Filing of Form DIR-12 for appointment, resignation, cessation, or change in designation of directors and Key Managerial Personnel (KMP).

PAS-6 Filing (Reconciliation of Share Capital Audit Report)

Half-yearly filing of reconciliation of share capital audit report applicable to unlisted public companies, ensuring reconciliation between issued capital and dematerialised shares.

ADT-1 Filing (Appointment of Auditor)

Filing of Form ADT-1 for appointment or reappointment of statutory auditors with ROC.

ADT-3 Filing (Resignation of Auditor)

Filing of Form ADT-3 for resignation of Statutory auditors with ROC.

DPT-3 Filing (Return of Deposits / Outstanding Loan Reporting)

Annual filing for reporting outstanding loans, advances, and non-deposit transactions as required under Companies Act provisions.

MSME-1 Filing

Half-yearly reporting of outstanding payments due to MSME vendors beyond prescribed timelines.

BEN-2 Filing (Significant Beneficial Ownership Reporting)

Filing relating to declaration and reporting of Significant Beneficial Owners (SBO) in a company.

INC-20A Filing (Commencement of Business Certificate)

Mandatory declaration for commencement of business by newly incorporated companies having share capital.

FC-GPR / FC-TRS Compliance (FEMA Reporting)

FEMA compliance filings relating to foreign investment, transfer of shares, and reporting to the Reserve Bank of India.

Charge Creation / Modification / Satisfaction Filings (CHG-1 / CHG-4)

Filing of charges relating to loans, security creation, modification, or satisfaction with ROC.

Board Resolution & Secretarial Compliance Support

Drafting of board resolutions, maintenance of statutory registers, minutes, and assistance with ongoing secretarial compliance requirements.

Many LLPs underestimate their compliance obligations. Delayed or inaccurate LLP filings can still result in penalties of ₹100 per day per form, with no upper limit. We assist LLPs with annual filings, partner-related changes, agreement modifications, and ongoing regulatory documentation

• Director appointment or resignation
• Share allotment or transfer
• Change in registered office address
• Increase in authorised share capital
• Changes in LLP partners or designated partners

Common compliance mistakes businesses make

• Missing ROC filing deadlines- penalties accumulate quickly at ₹100 per day per form, and late filings appear on MCA records permanently.
• Weak documentation systems- incomplete records create serious problems during audits, investor due diligence, and legal reviews.
• Ignoring event-based compliance- director changes, share transfers, and capital restructuring all trigger mandatory ROC filings.
• No compliance tracking- without structured systems, businesses lose visibility over statutory deadlines until penalties have already accrued.
• Delayed response to regulatory notices- ignoring notices significantly increases legal exposure and can accelerate director disqualification proceedings.

Step 1 — Compliance assessment

We review your current compliance status, pending filings, governance gaps, and documentation quality. This identifies risk areas, overdue obligations, and corrective actions required.

Step 2 — Compliance calendar setup

We create a structured compliance calendar mapping annual filings, statutory deadlines, event-based obligations, and recurring compliance activities specific to your company or LLP.

Step 3 — Documentation and filing execution

We prepare and submit ROC forms, LLP filings, annual returns, board resolutions, and all supporting documentation, ensuring accuracy and timely submission.

Step 4 — Ongoing monitoring and alerts

We provide compliance reminders, deadline tracking, filing status updates, and ongoing coordination support so your team never misses a statutory deadline.

Step 5 — Advisory and regulatory guidance

We help businesses understand regulatory changes, governance obligations, filing implications, and compliance risk areas, providing proactive guidance rather than reactive corrections.

• Private Limited Companies at any stage of growth.
• LLPs across professional services, consulting, and business sectors
• Startups- compliance obligations apply from the date of incorporation, regardless of revenue
• MSMEs and manufacturing businesses with multiple directors and shareholders
• Investor-backed companies preparing for due diligence or funding rounds
• Growing enterprises with expanding operations, new directors, or ownership changes
• Section 8 (Non-profit) Companies and Farmer Producer Companies- these entities are subject to the same standard ROC filing obligations as other registered companies, including AOC-4, MGT-7, DIR-3 KYC, and board meeting compliance under the Companies Act, 2013, in addition to any sector-specific regulatory requirements

What is ROC compliance for companies?

ROC compliance refers to statutory filing and reporting obligations under the Companies Act, 2013, including annual returns (MGT-7), financial statement filings (AOC-4), director KYC (DIR-3), board meeting compliance, and event-based ROC filings. These filings maintain your company's active legal status on the MCA portal.

What are mandatory annual compliances for a Private Limited Company?

What happens if ROC compliance is not completed on time?

What are LLP annual compliance requirements?

Do startups and small businesses also require ROC compliance?

Yes. Compliance obligations apply from the date of incorporation, regardless of company size, revenue, or whether the business is actively trading. Even dormant companies must file annual returns to maintain active status.

Can you manage ongoing compliance for our company or LLP?

Yes. We provide end-to-end compliance management including annual ROC filings, LLP compliance, event-based filings, compliance calendar tracking, documentation support, deadline reminders, and ongoing advisory. Most of our clients engage us on a retainer basis for full-year compliance coverage.

Related Insights (From Our Knowledge Library)

• Corporate Compliance for Companies & LLPs in India: ROC Filings, Annual Returns & Penalties (2026)