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ROC Compliance Tracker with Mandatory/ Applicability/ Category based e-forms for the Financial Year 2021-22
Article explains due date of Filing Mandatory E-forms under Companies Act, 2013 which includes Form – 11, DIR -3 KYC/ WEB KYC, AOC – 4, AOC – 4 CFS , AOC- 4 XBRL, Form – 8, MGT – 7 and MGT – 7A.
Article further explains about due date and requirement of filing of other event base E-forms which includes MSME – 1, NDH – 3, PAS-6, DPT – 3, CFSS-2020, MGT – 14, ADT- 1 and DIR – 12
Mandatory E-forms
| Sr. No. | Form | Particulars | Details | Due date |
| 1 | Form – 11 | Annual Return of Limited Liability Partnership (LLP) | Annual Return for the financial year 2020-21 | 30th May, 2021 |
| 2 | DIR -3 KYC/ WEB KYC | Application for KYC of Directors/ Web based KYC of Directors | Every individual who holds a DIN as on 31st March, 2021 and the status of the DIN is ‘Approved’. | 30th Sept, 2021 |
| 3 | AOC – 4 / AOC – 4 CFS / AOC- 4 XBRL |
Form for filing financial statement and other documents with the Registrar | Filling of financial statements along with other documents for the financial year 2020-21 | within 30 days of AGM |
| 4 | Form – 8 | Statement of Account & Solvency | Filing of financial statements of LLP for the financial year 2020- 21 | 30th Oct, 2021 |
| 5 | MGT – 7/ MGT – 7 A |
Form for filing annual return by a company | Annual Return for the financial year 2020-21 | within 60 days of AGM |
Applicability/Category based E-forms
| Sr. No. | Form | Particulars | Details | Due date |
| 1 | MSME– 1
|
Form for furnishing half yearly return with the registrar in respect of outstanding payments to Micro or Small Enterprise | Applicable if outstanding payment period to Micro and/or Small Enterprises exceeds specified limit | |
| For the period from October, 2020 till March, 2021 | 30th April, 2021 | |||
| For the period from April, 2021 till September, 2021 | 30th Oct, 2021 | |||
| 2 | NDH – 3 | Return of Nidhi Company for the half year ended | Applicable if Company is Nidhi Company | |
| for the half year ended March, 2021 | 30th April, 2021 | |||
| for the half year ended September, 2021 | 30th Oct, 2021 | |||
| 3 | PAS-6 | Reconciliation of Share Capital Audit Report | Applicable if Company is Unlisted Public Companies Except Nidhi, Government, wholly owned subsidiary Company | |
| for the Half year ended March, 2021 | 30th May, 2021 | |||
| for the Half year ended September, 2021 | 29th Nov, 2021 | |||
| 4 | DPT – 3 | Return of Deposits | Applicable if Company has accepted Deposits and/or there were transactions not considered as deposits | 30th June, 2021 |
| 6 | CFSS-2020 | Application for issue of immunity certificate under the Companies Fresh Start Scheme (CFSS) 2020 | Applicable if compliances were made under CFSS, 2020 | 30th June, 2021 |
| 7 | MGT – 14 | Filing of resolutions regarding approval of Board’s Report and Financial Statements with registrar | Applicable if Company is Public Company | within 30 days from Board meeting |
| 8 | ADT- 1 | Appointment of Auditor | Applicable if there is Appointment/
Reappointment of Auditor |
Within 15 days from General Meeting |
| 9 | DIR – 12 | Particulars of appointment of Directors and the key managerial personnel and the changes among them | Applicable if during the financial year 2020-21 Directors were appointed by the Board as Addition Directors and if said Directors are being Regularize | Within 30 days from General Meeting |
*The due dates mentioned are subject to change as and when notified by the concerned department
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Due date for filing Form DIR- 12 is 30 days and not 15 days as mentioned in article.
Noted.