Corporate Compliance & ROC Filings

Corporate Compliance & ROC Filings Lawyer in Noida & Ghaziabad – Advocate David Chaudhary

Introduction

Corporate compliance is a crucial aspect of running a business in India. Ensuring that your company adheres to the Companies Act, 2013, and other regulatory requirements is essential to avoid penalties, legal disputes, and operational hurdles.

Registrar of Companies (ROC) filings are mandatory for all Private Limited Companies, One Person Companies (OPC), and Limited Liability Partnerships (LLP). Timely and accurate filings demonstrate legal compliance, transparency, and credibility for investors, banks, and stakeholders.

Advocate David Chaudhary, practicing in Noida, Ghaziabad, and Delhi NCR, provides expert legal support for corporate compliance, ROC filings, and statutory obligations, ensuring your business operates legally and smoothly.

What is Corporate Compliance?

Corporate compliance refers to a company’s adherence to laws, regulations, policies, and standards applicable to its business. Non-compliance can lead to penalties, fines, or even cancellation of the company’s registration.

  • 📌 Filing annual returns and financial statements with ROC
  • 📌 Maintaining statutory registers and records
  • 📌 Adhering to tax, GST, and labour law regulations
  • 📌 Ensuring corporate governance and board meeting requirements
  • 📌 Filing changes in directors, capital structure, or registered office

Importance of ROC Filings

ROC filings are mandatory under the Companies Act, 2013. They provide transparency to regulators, shareholders, and the public.

  • 📌 Annual Return (Form MGT-7)
  • 📌 Financial Statements (Form AOC-4)
  • 📌 Change in Directors or Key Managerial Personnel (Form DIR-12)
  • 📌 Change in Registered Office (Form INC-22)
  • 📌 Increase in Authorized Capital (Form SH-7)
  • 📌 Conversion, amalgamation, or closure filings

Timely ROC filings ensure:

  • ✅ Avoidance of penalties and legal notices
  • ✅ Smooth banking, funding, and business operations
  • ✅ Protection of directors and officers from personal liability

Legal Support Provided for Corporate Compliance

  • 1. Annual Compliance
    • Filing annual returns and financial statements
    • Ensuring statutory registers are updated
    • Preparing board resolutions and AGM minutes
  • 2. ROC Filings
    • Filing Form DIR-12, Form INC-22, Form SH-7, Form MGT-7, and Form AOC-4
    • Filing changes in shareholding, directors, and registered office
    • Guidance for resubmission or correction of rejected forms
  • 3. Corporate Governance
    • Drafting board resolutions, shareholders agreements, and board meeting notices
    • Advising on compliance with Companies Act, 2013, and SEBI regulations
  • 4. Legal Advisory
    • Assisting with capital restructuring, mergers, acquisitions, and corporate restructuring
    • Advising on corporate policies, secretarial audits, and statutory compliance
    • Legal representation in case of ROC inspections or notices

Procedure for ROC Filings in Noida & Ghaziabad

  • Assess the company’s type, structure, and statutory obligations
  • Identify pending filings and deadlines

  • Collect necessary financial statements, board resolutions, and statutory registers
  • Draft required forms and affidavits

Submit forms electronically through the MCA portal and attach DSC, DIN, and required documents.

ROC issues acknowledgment or approval of forms. Advocate ensures compliance is complete and documented.

Maintain copies of filed forms, resolutions, and annual returns. Monitor future compliance deadlines.

Role of Advocate David Chaudhary

  • ✅ Guidance on ROC filings and corporate compliance requirements
  • ✅ Drafting board resolutions, shareholders agreements, and statutory documents
  • ✅ Filing and follow-up of annual returns, financial statements, and company changes
  • ✅ Legal support during ROC inspections, scrutiny, or notices
  • ✅ Ensuring business operations are compliant with Companies Act and MCA regulations

Documents Required for Corporate Compliance & ROC Filings

  • 📌 Board Resolutions and Minutes of Meetings
  • 📌 Financial Statements and Annual Accounts
  • 📌 Identity and Address Proof of Directors & Shareholders
  • 📌 Digital Signature Certificates (DSC)
  • 📌 Director Identification Number (DIN)
  • 📌 Proof of registered office address
  • 📌 Shareholding structure and capital documents

Advocate David Chaudhary assists in collecting, preparing, and verifying all documents to ensure error-free filings.

Legal Consequences of Non-Compliance

  • ⚠️ Penalties under Companies Act, 2013
  • ⚠️ Legal notices and inspection from ROC authorities
  • ⚠️ Fines for directors and officers
  • ⚠️ Restrictions on opening bank accounts, obtaining loans, or conducting business
  • ⚠️ Possible cancellation of company registration or DIN disqualification

Timely legal support prevents these risks and ensures smooth corporate operations.

Local Importance – Noida & Ghaziabad

  • ✅ Accurate ROC filings and corporate compliance
  • ✅ Efficient handling of local regulatory procedures
  • ✅ Guidance for NRI or multi-state companies operating in NCR
  • ✅ Quick resolution of legal notices, inspections, or disputes
  • ✅ Advocate David Chaudhary’s local knowledge guarantees reliable, timely, and legally sound services

FAQs on Corporate Compliance & ROC Filings

Form MGT-7 (Annual Return): within 60 days of AGM
Form AOC-4 (Financial Statements): within 30 days of AGM

Yes, he provides expert legal solutions, penalty management, and resubmission of rejected or delayed filings.

Yes, Pvt Ltd, OPC, LLP, and public companies must comply with statutory ROC filings.

Penalties range from INR 5,000 to several lakhs, depending on the nature and duration of non-compliance.

Yes, ROC filings are submitted through the MCA portal, and Advocate Chaudhary ensures accurate online submission with all documents.

Contact Advocate David Chaudhary – Corporate Compliance & ROC Filings Lawyer

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