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ROC Forms

ROC (Registrar of Companies) forms are documents required to be filed with the Registrar of Companies under the Companies Act, 2013

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ROC Forms

The compliance aspects imposed by the Companies Act 2013 seem to be cumbersome but may not be so if the companies have the appropriate knowledge regarding the same.

The Act provides for filing of various forms which originate from the company or the director, chartered accountant, company secretary with the government or Registrar of Companies (ROC).

Navigating Compliance Obligations Under the Companies Act 2013

Key Aspects of Compliance

Forms and Filings:

The Act mandates the submission of various forms covering aspects such as incorporation, annual returns, financial statements, and changes in company structure or management.

Stakeholder Responsibilities

Companies, directors, chartered accountants, and company secretaries each play a distinct role in ensuring compliance with the Act’s provisions.

ROC and Government Interface

Compliance filings are submitted to the ROC or relevant government authorities, facilitating regulatory oversight and enforcement.

Understanding Compliance

The Companies Act 2013 entails filing obligations, including forms and reports submitted to the ROC or government bodies. These filings ensure transparency, accountability, and regulatory adherence in corporate operations.

ROC Forms Formation Process

Form Number

Description

Type of Forms

INC 20A

Declaration given by the director for the commencement of business for a company

e-Form

INC 22

Notice for change of situation of the registered office of the company and its verification

e-Form

INC 24

Application to the Central Government for approval for change in the name of the company

e-Form

INC 32

Simplified Proforma for Incorporating Company electronically (SPICe)

e-Form

INC 33

e-Memorandum of association

e-Form

INC 34

e-Articles of association

e-Form

DPT 3

Return of deposits

e-Form

CHG 1

Application to register the creation or modification of charge (other than debentures)

e-Form

CHG 2

Certificate of registration of charge

Physical

CHG 3

Certificate of modification of charge

Physical

MGT 9

Extract of the annual return 

Physical

MGT 11

Appointment of proxy for a meeting

Physical

MGT 12

Polling paper in the meeting

Physical

MGT 13

Scrutinizer’s report to the Chairman pertaining to the poll of the meeting

Physical

MGT 14

Filing of company resolutions and agreements with the Registrar 

e-Form

BEN 1

Declaration by the significant beneficial owner in case of an individual

Physical

AOC 4

Form to file a financial statement and other documents of the company with the Registrar

e-Form

AOC 5

Notice to declare the address of the location in which the books of accounts are maintained

e-Form

ADT 1

Form to inform the Registrar regarding the appointment of auditor by the company

e-Form

ADT 2

Application for removing the auditor before the expiry of their term by the company

e-Form

ADT 3

Notice of resignation of auditor

e-Form

DIR 2

Consent given by a person to act as the director of the company

Physical

DIR 3

Application for allotment of Director Identification Number (DIN) before being appointed in an existing company

e-Form

DIR 3 KYC

Application for filing KYC of the director 

e-Form

DIR 3C

Intimation by the company to the Registrar on the Director Identification Number 

e-Form

DIR 3A

Declaration given by a person applying as director, if he does not have the last name and uses a single name

Physical

DIR 3B

Intimation of DIN to the company/companies in which the person is a director

Physical

DIR 5

Application for surrender of DIN

Physical

DIR 6

Intimation of changes in particulars specified in DIN application

e-Form

DIR 10

Application for removal of disqualified directors

Physical

DIR 11

Notice of resignation by a director to the Registrar

e-Form

DIR 12

Particulars of Directors and the key managerial personnel appointed and any changes 

e-Form

Embracing the ROC Forms

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