✅ Top 5 Common ROC Mistakes & How to Avoid Them

If you’re running a private limited company, LLP, or any registered business entity in India, you’re no stranger to ROC (Registrar of Companies) compliance. Yet, every year, thousands of businesses face penalties, late fees, or legal complications—not because they want to break rules, but because of avoidable ROC mistakes.

In this blog, we’ll walk you through the Top 5 most common ROC mistakes and share simple ways to avoid them to keep your company compliant and penalty-free.

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⚠️ What Is ROC Compliance?

Before we dive into mistakes, let’s understand what ROC compliance means.

ROC compliance refers to the statutory filings and disclosures that companies must submit to the Ministry of Corporate Affairs (MCA) under the Companies Act, 2013. These include:

• Annual returns
• Financial statements
• Director KYC
• Board resolutions
• Change in directors or capital

Failure to meet these compliances can result in hefty penalties, disqualification of directors, or even company strike-off.

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🔍 Top 5 Common ROC Mistakes (And How to Avoid Them)

❌ 1. Missing ROC Filing Deadlines

One of the most common (and costly) errors is missing the due dates for ROC filings such as:

• Form AOC-4 (filing financial statements)
• Form MGT-7 (annual return)
• DIR-3 KYC (Director KYC)

✅ How to Avoid:

• Maintain a compliance calendar with reminders.
• Work with a professional firm or CA to stay on track.
• File in advance—don’t wait until the last date.

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❌ 2. Incorrect or Incomplete Information in Forms

Small data entry errors—like wrong director details, shareholding pattern, or balance sheet figures—can lead to rejection or notices from ROC.

✅ How to Avoid:

• Cross-check all details with company records before submission.
• Always review filings with your CA or company secretary.
• Keep all supporting documents organized and updated.

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❌ 3. Failure to Update Company Changes

Changes such as new directors, change in registered office, share capital modifications, etc., must be reported to ROC via relevant forms (like DIR-12, INC-22, PAS-3).

✅ How to Avoid:

• File change-related forms within the prescribed timelines (usually 15–30 days).
• Keep the board resolutions and approvals ready beforehand.

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❌ 4. Non-compliance with Director KYC (DIR-3 KYC)

Each director must file their DIR-3 KYC annually. Many companies forget or assume it’s a one-time process.

✅ How to Avoid:

• Mark an annual reminder for DIR-3 KYC (due by 30th September).
• If not filed, the DIN is marked “Deactivated” and cannot be used for filings.

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❌ 5. Not Holding Board Meetings & Maintaining Records

Many small companies forget that even private limited companies must hold a minimum of 4 board meetings a year and maintain minutes of meetings, registers, and resolutions.

✅ How to Avoid:

• Maintain a compliance diary or software.
• Prepare board resolutions for important decisions.
• Keep statutory registers updated at all times.

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📌 Penalties for ROC Non-Compliance

Mistake	Possible Penalty
Late AOC-4 Filing	₹100 per day of delay
Late MGT-7 Filing	₹100 per day of delay
No Director KYC	Director DIN deactivated
Non-filing of changes	₹50,000+ penalty and prosecution risk
Improper records	Penalty + risk of company disqualification

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✅ Final Thoughts: Stay Compliant, Stay Confident

ROC compliance is not just about avoiding penalties—it’s about building credibility, staying investor-ready, and being legally safe. Most mistakes happen due to lack of awareness or planning—not intent.

So whether you’re a startup, a growing private company, or an LLP, stay one step ahead:

🔹 Create a compliance tracker
🔹 Consult your CS/CA regularly
🔹 Use digital tools to automate reminders

Remember: Compliance is not a cost—it’s protection.

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❓ FAQs – ROC Compliance Mistakes

Q1. What happens if I forget to file AOC-4 or MGT-7?
You will incur ₹100/day as late fees per form, and your company could face legal action if ignored.

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Q2. Is ROC filing required even if my company had no transactions this year?
Yes. Even dormant or non-operational companies must comply with ROC filings.

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Q3. Can I do ROC filing myself without a CA or CS?
Technically yes, but it’s strongly recommended to consult a professional to avoid errors and legal risk.

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Q4. What is the last date to file ROC forms for FY 2024–25?

• AOC-4 – 30 days from AGM
• MGT-7 – 60 days from AGM
  (AGM deadline is usually 30th September)

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Need help staying ROC compliant? ✅ Let us know—we’re here to make it easier, simpler, and stress-free for you.

WhatsApp : 9259089079

Email : info@camadhuraggarwal.com