Form DIR-3 KYC is an annual mandatory verification for every individual who holds a Director Identification Number (DIN), to be filed by September 30 each year.
ROC Compliance
Managing recurring statutory filings with the Registrar of Companies (ROC).
Corporate Law
Managing recurring statutory filings with the Registrar of Companies (ROC).
Every incorporated company in India is legally obligated to file annual financial statements, annual returns, event-based disclosures, and board resolutions with the Registrar of Companies (ROC).
Bail & Trial provides total ROC compliance management. We handle AOC-4, MGT-7, DIR-3 KYC, PAS-3, CHG-1 filings, director disqualification removal, and ROC compounding applications across Karnataka and India.
Registrar of Companies (ROC) Statutory Filings
Annual filings, event-based MCA forms, and penalty compounding.
- AOC-4 & MGT-7 Annual Returns
- DIR-3 KYC & BEN-2 Filings
- ROC Penalty Compounding & Writs
Our Expertise
Our Expertise in ROC Compliance
Ensuring your company stays 100% compliant with Ministry of Corporate Affairs rules.
Annual & Periodic Filings
Executing mandatory recurring MCA filings for companies.
- AOC-4 financial statements filing
- MGT-7 / MGT-7A annual return filing
- DIR-3 KYC annual director verification
Event-Based ROC Filings
Filing statutory forms when company structure changes.
- PAS-3 return of share allotment
- DIR-12 director appointment/resignation
- CHG-1 & CHG-4 charge creation & satisfaction
Dispute Resolution
Handling ROC Notices & Defaults
Legal protection against ROC show cause notices and penalties.
Option 01
Section 441 Compounding
Filing compounding applications for delayed MCA filings.
Option 02
ROC Show Cause Defense
Drafting formal legal replies to ROC inspection notices.
Option 03
High Court DIN Reactivation Writs
Writ petitions to reactivate disqualified director DINs.
What We Do
Services for Companies, LLPs & Directors
Full-suite ROC filing and secretarial retainership.
Form BEN-2 (SBO Disclosure)
Filing Significant Beneficial Ownership declarations with ROC.
Form MSME-1 Filings
Half-yearly reporting of outstanding MSME supplier payments.
Form DPT-3 Return of Deposits
Annual reporting of loans and advances received by company.
Change of Registered Office (INC-22/RD)
Filing office address changes within state or across states.
Common Matters
Key ROC Penalty Structure
Heavy monetary penalties imposed by MCA for delayed compliance.
Rs. 100/Day Additional Fee
Delayed AOC-4 and MGT-7 filings incur an automatic Rs. 100 per day late fee.
Deactivation of DIN (DIR-3 KYC)
Failure to complete annual DIR-3 KYC deactivates the Director Identification Number.
Striking Off Companies (Sec 248)
ROC actively strikes off companies failing to file returns for 2 consecutive years.
Our Process
Our Compliance Workflow
How we maintain ROC compliance.
1
Entity & Governance Assessment
Assessing statutory corporate obligations, board mandates, and capitalization structures for ROC Compliance.
2
Legal Due Diligence & Audit
Reviewing Articles of Association, shareholding ledgers, MCA filings, and third-party contracts.
3
Drafting Core Charters & Agreements
Formulating customized shareholder agreements, commercial deeds, and corporate resolutions.
4
MCA & Regulatory Approvals
Filing statutory forms with the Registrar of Companies (ROC), NCLT, and sectoral authorities.
5
Negotiation & Dispute Management
Resolving deadlock, investor conflicts, or restructuring bottlenecks through structured counsel.
6
Execution, Compliance & Annual Shield
Final execution, statutory register maintenance, and continuous corporate governance monitoring.
Why Choose Us
Why Choose Us for ROC Compliance
Integrated team of corporate advocates and secretarial compliance experts.
Zero-Default Guarantee
We track statutory ROC calendars so your firm never incurs late fees.
NCLT & RD Compounding Record
Proven track record compounding technical defaults smoothly.
Have Questions?
FAQ about ROC Compliance
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What is Form DIR-3 KYC and who must file it?
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What is Form DPT-3 and when is it due?Form DPT-3 is an annual return of deposits or transactions not considered as deposits, to be filed by every company (except government companies) by June 30 each year.
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What is the consequence of not filing Form INC-20A within 180 days?Failure to file Form INC-20A (Commencement of Business) within 180 days of incorporation carries a fine of Rs. 50,000 on the company and allows ROC to initiate strike-off.
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What is the statutory process for compounding technical MCA defaults?Under Section 441 of the Companies Act 2013, a company can file a compounding application admitting technical non-compliance, pay a reduced fine to NCLT/RD, and avoid court prosecution.
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What are the consequences of non-compliance with annual ROC filings?Delayed AOC-4 and MGT-7 filings incur daily additional late fees of Rs. 100 per day, director DIN disqualification for 3 consecutive years of non-filing, and risk of company strike-off.
Book a Consultation
Book a Consultation
Speak with our legal experts for personalized advice and strategic representation.
Book an Appointment
Schedule your initial legal consultation with our team.