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 /
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

Author Bio

Qualification: CS
Company: M Parashar & Associates
Location: Indore, Madhya Pradesh, India
Member Since: 01 Jan 2018 | Total Posts: 3
Mohit Parashar is a Company Secretary in practice and proprietor of M Parashar & Associates. His expertise lias in assisting the entrepreneurs to choose correct business model and assist them to register their business along with managing their compliances through Company Secretaries, Chartered View Full Profile

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June 2021