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ROC ANNUAL COMPLIANCE CALENDAR AND SCOPE OF AMC

A MANDATORY ANNUAL FACILITATION

Sr. No. Routine Compliances Tentative date or period for filing

1 Declaration for Commencement of Business One Time (within180 days of Incorporation)
2 ADT-1 for First CA Appointment One Time (within 45 days of Incorporation)
3 DIN KYC of all the Directors (Upto 4 Directors) Yearly (by 30th April every year)
4 Return on payments due to Micro & Small Enterprises beyond 45 days Half Yearly (in the month of April & October)
5 DPT-3 for Return of Deposits Yearly (by 30th June every year)
6 Disclosure of interest of Director (MBP-1) Yearly (by 30th April every year)

BOARD MEETINGS
l Every Company needs to hold certain Board of Directors Meeting in an Year (i.e. usually 1 in every Quarter)
l Every Company is required to maintain proceedings of the Meeting in Minutes book every year

QUARTER-1 (APRIL-JUNE) QUARTER-2 (JULY-SEPT) QUARTER-3 (OCT-DEC) QUARTER-4 (JAN-MAR)

l Issuing Notice & Agenda. l Issuing Notice & Agenda. l Issuing Notice & Agenda. l Issuing Notice & Agenda.
l Board meeting to be held. l Board meeting to be held. l Board meeting to be held. l Board meeting to be held.
l Maintain Proper Attendance. l Maintain Proper Attendance. l Maintain Proper Attendance. l Maintain Proper Attendance.
l Maintain Proper Minutes. l Maintain Proper Minutes. l Maintain Proper Minutes. l Maintain Proper Minutes.

STATUTORY REGISTERS & SHARE CERTIFICATES

l Did you know?

ü There are around 7-8 Mandatory Statutory Registers under Companies Act, which are to be maintained by Every
Company irrespective of size of Business operation.
ü The Share Certificates are to be issued by the Company, within 60 days of incorporation to the respective first
shareholders in the 1st Board Meeting.

ANNUAL GENERAL MEETING (AGM): ANNUAL ROC FILING FACILITATION:

l AGMs to be held for every financial year l Compliance Documents Support

l First AGM to be held within nine months from the l Documents Filing Support
date of closing first financial year
l Uploading Support
l Subsequent AGM to be held within six months
from the date of closing of the next financial year

Form 23AC & 23ACA/

Compliances for AGM Form 20B/ MGT-9 Form ADT-1
AOC-4

l Notice & Agenda for AGM meeting l To be filed within 30 l To be filed within 60 l To be filed
days from AGM days from AGM within 15 days
l Hold AGM from AGM.

l Maintenance of Attendance Register

l Minutes of the Meeting to be maintained

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 B EVENT BASED FACILITATION (COVERED UNDER AMC)

l Issue of Share Certificates l Issue/Allotment of Shares

l Appointment & Resignation of Directors l Change of name and Main objects of the Company
l Transfer of Shares l Charge Management, upon taking secured loan from
l Appointment of MD/CEO Financial Institutions
l Change in the Registered Office l Providing draft Resolutions for various events and meetings
l Change in the Authorized Capital/ Paid-up Capital l Changes in DIN

C SAVINGS UNDER AMC

Regular
Sr. Type of Covered
Particulars of Services Facilitation Fees
No. Compliance Under AMC?
(In Rs.)

1. Declaration for Commencement of Business MANDATORY 2,000 Yes

2. Issue of Share Certificates MANDATORY 1,500 Yes

3. ADT-1 ROC Filing (First Auditor) MANDATORY 1,700 Yes

4. DIR-3 DIN KYC Filing of 2 Directors MANDATORY 1,000 Yes

Half Yearly returns of payment due to Micro & 2,000

5. MANDATORY Yes
Small Enterprises in form MSME I (April & October)

6. Filing for Return of Deposits in form DPT-3 MANDATORY 3,000 Yes

7. Yearly Disclosures (MBP-1) MANDATORY 2,000 Yes

Board Meeting Minutes (SS-1) & Yearly AGM

8. General Meeting Minutes (SS-2) (Facilitation always MANDATORY 6,000 Yes
recommended to avoid defaults)

Statutory Registers (Yearly + Event Based) (Facilitation

9. MANDATORY 4,000 Yes
always recommended to avoid defaults)

10. DIR-3 DIN KYC MANDATORY 1,000 Yes

11. Annual Return Filing with ROC MANDATORY 4,000 Yes

12. Appointment/ Resignation of Director/ MD/ CEO Event-Based 4,000 Yes

13. Transfer of Shares Event-Based 2,000 Yes

14. Board of Directors Resolution (Each Resolution) Event-Based 500 Yes

DIN (Director Identification Number) Application /

15. Event-Based 500 Yes
Change in the Particulars of DIN (DIR-6)

16. Increase in the Share Capital/Allotment of Shares Event-Based 6,000 Yes

17. Change in MOA or AOA or Name or Object Event-Based 5,000 Yes

18. Change in Registered Office (Within the same ROC) Event-Based 3,000 Yes

19. Charge Creation for secured loan (within 1 month) Event-Based 4,000 Yes

20. One time AMC Fees NIL NIL 11,999

TOTAL Rs. 53,200 Rs. 11,999

Rs. 41,201
TOTAL SAVINGS UNDER AMC
(53,200 - 11,999)

IMPORTANT NOTE

1. Out of the above mentioned services, 1 to 4 are mandatory compliances to be done by all companies irrespective of size of operations.

2. As per STARTUPWALA experience, every Company needs consultation on Share Certificates, Board Meeting Minutes, Annual General Meeting Minutes, different types of
Statutory Registers which approximately cost Rs. 21,000 if taken separately.

3. The above mentioned does not include any Govt. fees, Stamp Duty, penalty or out of pocket expenses.

4. Notarization, attestation or certification, if any, need to be handled by Client.

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Copyright © 2009-2022 - All rights reserved Startupwala Pvt. Ltd.