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Checklist of ROC Compliances

Sr. No. Name of Due Date Requirements Applicability
Form
1 DPT – 3 (1st Time) 22.04.2019 Auditor Certificate giving Details of outstanding receipt of money or loan by a company but not considered as deposits from 1st April 2014 upto 22nd January 2019. All company other than Govt. Company
2 MSME 1 30 days from 1. Total outstanding amount due on 22nd January 2019 All the companies who get their supplies of goods or services from micro and small enterprises and whose payments to micro and small enterprises exceeded 45 days from the date of acceptance of the goods or services shall submit a half yearly return to the MCA
availabilty of form  
For ‘April to 2. Name of Supplier
September’, 31st  
October 3. PAN of Supplier
For ‘October to  
March’, 30th April 4. Date from which such amount is due
   
  5. Reasons for delay in payment
3 E Form Active (INC- 22A) 25.04.2019 1. Photograph of registered Office showing external building and inside office. Also showing therein at least one director KMP who has affixed his/her DSC to this form. Every Company
 
2. Email ID and OTP generated on EMAIL ID
 
3. List of all Directors of the Company with Active status of DIN. If any Director on Board of the Company who does not have the Active DIN status, Company will not be able to file eForm INC 22A.
 
4. Details of Auditor/s
 
5. Details of Cost Auditor/s ,if any.
 
6. Details of CEO, CFO and CS, if any
 
7. SRN of AOC4/ AOC4 XBRL and MGT-7.
4 DIR 3 KYC 30.04.2019 1. DIN & Name All Directors
 
2. Educational Qualification
 
3. Father’s Name ( applicable also in Case of married women)
 
4. Mobile No & email id
 
5. PAN ( along with a self attested copy)
 
6. Voter’s ID card no.
 
7. Passport Number
 
8. Aadhar No. (along with a self attested copy)
 
9. Driving License No., if any
 
10. Photograph
5 Disclosure of Interest: MBP   1 to Companies 1st BM   Every Company
6 MGT- 14 to ROC 30 days from 1st BM
7 DPT-3 30.06.2019 1. Auditor’s certificate All company other than Government Company
   
2. Deposit Insurance contract – Mandatory if company has deposit insurance and details of same are mentioned in the form shall file Return of deposit or particulars of the transactions not considered as a deposit or both
   
3. Copy of trust deed – Mandatory if company has trust deed and details of same are mentioned in the form  
   
4. Copy of instrument creating charge – Mandatory if company has trust deed and details of same are mentioned in the form  
   
5. List of depositors – List of deposits matured, cheques issued but not yet cleared to be shown separately – Mandatory if company has balance of deposits outstanding at the end of the year.  
   
6. Details of liquid assets  
8 Form BEN-1 90 days from the date of notification in official gazette viz. on or before May 8, 2019   Ever Individual who is a significant beneficial owner needs to inform the Company in form BEN -1.
9 eForm BEN-2 30 days from receipt of BEN-1 by the Company   Company is required to file form BEN-1, in eForm BEN-2 with ROC.
10 AOC 4 30days from AGM Annual Accounts duly signed Every Company
11 MGT 7 60 days from AGM Copy of Annual Return duly Signed Every Company

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