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ROC Compliance Audit Services in Nashik | N D Savla & Associates
ROC Compliance Audit · Nashik, Maharashtra

ROC Compliance Audit — Complete. Current. Penalty-Free.

Comprehensive review of Registrar of Companies filings and Companies Act, 2013 compliance for private limited companies, public companies, and LLPs in Nashik and across Maharashtra.

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Every company registered under the Companies Act, 2013 is bound by a calendar of mandatory filings with the Registrar of Companies (ROC) — annual returns, financial statements, board resolutions, director disclosures, and event-based filings for changes in capital, directors or charges. Missed or incorrect filings attract additional fees, penalties, and in serious cases, disqualification of directors.

At N D Savla & Associates, we conduct ROC compliance audits for companies and LLPs across Nashik and Maharashtra, reviewing statutory registers, past filings, board and shareholder resolutions, and secretarial records to identify gaps before they attract regulatory action.

Our review covers both annual compliance (AOC-4, MGT-7, DIR-3 KYC) and event-based compliance, giving promoters and management a clear picture of where the company stands and what needs to be regularised.

Our ROC Compliance Services

Annual ROC Filings

Preparation and filing of AOC-4 (financial statements), MGT-7/MGT-7A (annual return), and other yearly forms within statutory timelines.

ROC Compliance Health Check

A comprehensive review of past filings, statutory registers and minutes to identify pending, delayed or defective compliances.

Event-Based Compliance

Filings related to changes in directors, share capital, registered office, charges, and other events requiring intimation to the ROC.

Director KYC & Disclosures

Annual DIR-3 KYC filing and director disclosure compliance (Form MBP-1, DIR-8) under the Companies Act.

Statutory Registers & Minutes Review

Review and updation of statutory registers, board minutes and shareholder resolutions to align with actual corporate actions taken.

Charge Registration & Satisfaction

Filing of Form CHG-1/CHG-4 for creation, modification or satisfaction of charges on company assets with lenders.

Compounding & Condonation Support

Assistance with compounding of offences or condonation of delay applications for past non-compliances identified during the audit.

LLP Compliance

Annual filing of Form 8 and Form 11, and event-based compliance for Limited Liability Partnerships registered in Maharashtra.

Our ROC Audit Process

1

Compliance Mapping

We map every ROC filing the company is required to make based on its structure, capital, and events since incorporation.

2

Filing History Review

Past MCA filings, statutory registers and board records are reviewed against the compliance map to identify gaps.

3

Gap Analysis & Risk Rating

Each gap is assessed for penalty exposure and regulatory risk, and prioritised for regularisation.

4

Regularisation & Filing

Pending or corrective filings are prepared and submitted, including any compounding applications where required.

5

Compliance Calendar Handover

A forward-looking compliance calendar is handed over to management so future filings stay on schedule.

Why It Matters

✓Avoidance of additional fees and penalties for late ROC filings
✓Reduced risk of director disqualification under Section 164
✓Clean compliance record for fundraising, loans and due diligence
✓Updated statutory registers and minutes aligned with actual actions
✓Early identification of past non-compliances before regulatory notice
✓Structured compliance calendar for ongoing filings
✓Support with compounding of past offences where applicable
✓ICAI-qualified professionals experienced in Companies Act compliance

Frequently Asked Questions

A ROC compliance audit is a review of a company's filings with the Registrar of Companies against its obligations under the Companies Act, 2013, covering annual returns, financial statements, event-based filings, statutory registers and director disclosures, to identify and regularise any gaps.
Missed ROC filings attract additional government fees that increase with the length of delay, and in serious or repeated cases can lead to the company being marked as non-compliant, directors being disqualified, or the company being struck off the register.
Common forms reviewed include AOC-4 for financial statements, MGT-7 or MGT-7A for the annual return, DIR-3 KYC for director details, ADT-1 for auditor appointment, and event-based forms such as PAS-3, CHG-1 and SH-7 depending on the company's activity.
A ROC compliance audit itself is not a separate statutory requirement, but conducting one voluntarily helps companies identify and correct compliance gaps before they are flagged during a statutory secretarial audit, ROC inspection, or due diligence exercise.
The scope is generally tailored to the company's needs — it can cover the period since incorporation for a full health check, or a shorter recent period for companies with an otherwise consistent filing history.
Yes, we assist with identifying pending filings, preparing corrective forms, and where required, supporting compounding of offences or condonation of delay applications with the Registrar of Companies or Regional Director.

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Worried about your company's ROC compliance status?

Share your company details and incorporation date — we'll run a compliance health check and outline exactly what needs attention.

Book Free Consultation or send us a message
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