Introduction

Managing corporate compliance is critical for maintaining legal status, avoiding penalties, and ensuring smooth business operations.

We provide end-to-end corporate compliance services for companies and LLPs, covering ROC filings, annual compliance, secretarial support, and regulatory advisory, ensuring your business remains fully compliant with applicable laws.

ROC Compliance & Annual Filings

• Annual return filing (MGT-7 / MGT-7A)
• Financial statement filing (AOC-4)
• LLP Form 8 & Form 11 filings
• Director KYC (DIR-3 KYC)

• Board meeting and AGM compliance
• Maintenance of statutory registersn
• Minutes and resolutions drafting
• Event-based filings

• Annual filings and returns
• Changes in partners and agreements
• Compliance tracking and reminders

• Director appointment/resignation
• Share allotment and transfers
• Change in registered office
• Increase in authorized capital

• Compliance calendar and tracking
• Secretarial advisory
• Risk identification and mitigation

• Heavy penalties and late fees
• Disqualification of directors
• Company strike-off by ROC
• Legal complications and operational restrictions

1. Compliance Assessment

Review of current compliance status and gaps

2. Compliance Calendar Setup

Mapping all statutory deadlines and requirements

3. Documentation & Filing

Preparation and submission of all required filings

4. Monitoring & Alerts

Ongoing tracking of compliance deadlines

5. Advisory & Support

Guidance on regulatory changes and implications

• Missing ROC filing deadlines
• Improper documentation and record-keeping
• Ignoring event-based compliance
• Lack of compliance tracking system
• Delayed response to regulatory notices

• Private Limited Companies
• LLPs (Limited Liability Partnerships)
• Startups and growing businesses
• Businesses undergoing funding or audits
• Companies with multiple directors or shareholders

Case Studies – Corporate Compliance & ROC Filings

ROC Compliance Cleanup for Private Limited Company

• Missed annual filings for previous years
• Risk of penalties and director disqualification
• Incomplete documentation

• Conducted compliance audit
• Completed pending ROC filings
• Regularized statutory records

• Compliance status restored
• Avoided further penalties
• Business operations stabilized

LLP Compliance Management for Professional Firm

• Lack of compliance tracking
• Risk of delayed filings
• No structured advisory

• Set up compliance calendar
• Managed LLP Form 8 and Form 11 filings
• Provided ongoing advisory support

• 100% timely compliance
• Reduced compliance risk
• Improved operational efficiency

Q1. What is ROC compliance for companies?

ROC compliance refers to statutory filings required under the Companies Act, including annual returns,
financial statements, and event-based filings with the Registrar of Companies.

Q2. What are mandatory annual compliances for a Private Limited Company?

• AOC-4 (financial statements)
• MGT-7 / MGT-7A (annual return)
• DIR-3 KYC (director KYC)

Q3. What are LLP annual compliance requirements?

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

Q4. What happens if compliance is not done?

Non-compliance can lead to:

• Penalties and late fees
• Director disqualification
• Company strike-off

Q5. Do small companies and startups also need compliance?

Yes, compliance is mandatory regardless of business size, though requirements may vary.

Q6. Can you handle ongoing compliance management?

Yes, we provide complete compliance management including filings, tracking, and advisory support.

Related Insights (From Our Knowledge Library)

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