Compliance Forms – For ensuring statutory compliance and verification (e.g., DIR-3 KYC, MSME Form, DPT-3).
Intimation Forms – For informing ROC about any changes or updates in company details (e.g., change in address, directors, etc.).
Filing Forms – For submission of annual returns and financial statements (e.g., MGT-7, AOC-4).
Running a company isn’t just about doing business — it’s about staying compliant too! Every company registered under the Companies Act, 2013 must regularly file certain forms with the Registrar of Companies (ROC). These filings help maintain transparency, ensure legal compliance, and keep your company records up to date. Understanding the purpose of each form — whether it’s for intimation, return filing, or compliance — helps you stay one step ahead and avoid penalties.
🏢 1. Incorporation & Registration of Company
Form No.
Description
Type
INC 1
Application for reservation of name
e-Form
INC 3
Consent of Nominee as regards One Person Company
e-Form
INC 4
Change of nominee as regards One Person Company
e-Form
INC 5
Intimation by One Person Company for exceeding prescribed threshold more than Rs 50 lakh of share capital or Rs 2 crore of turnover
e-Form
INC 6
Conversion of private limited company into an OPC or vice versa
e-Form
INC 8
Declaration by a professional regarding compliance of incorporation requirements
Physical
INC 9
Declaration by subscribers and first directors
Physical
INC 11 / 11A / 11B
Certificate of Incorporation (including on conversion)
Physical
INC 13
Memorandum of Association
Physical
INC 14
Declaration under Section 8 company registration
Physical
INC 15
Declaration by applicants for Section 8 company
Physical
INC 16 / 17
Licence issued under Section 8
Physical
INC 20A
Declaration for commencement of business
e-Form
INC 22
Notice for change of registered office
e-Form
INC 22A
ACTIVE (Company Tagging & Verification)
e-Form
INC 24
Application for change in name of company
e-Form
INC 25 / 25A / 26
Certificates or advertisements related to name/registered office change
Physical
INC 27
Transformation of public to private company (or vice versa)
e-Form
INC 28
Notice of order of court/competent authority
e-Form
INC 32 (SPICe)
Simplified Proforma for Incorporating Company Electronically
e-Form
INC 33
e-Memorandum of Association
e-Form
INC 34
e-Articles of Association
e-Form
INC 35 (AGILE-PRO)
GSTIN, ESIC, EPFO registration during incorporation
e-Form
🤝2. Share Capital, Charges & Deposits
Form No.
Description
Type
SH 10
Register of shares or securities bought back
Physical
DPT 3
Return of deposits
e-Form
DPT 4
Statement on existing deposits at the commencement of the Act
Physical
CHG 1
Registration of creation or modification of charge
e-Form
CHG 2
Certificate of registration of charge
Physical
CHG 3
Certificate of modification of charge
Physical
RSC 1
Application to Tribunal for reduction of share capital
Physical
🗂️ 3. Management & Administration (MGT Series)
Form No.
Description
Type
MGT 1
Register of members
Physical
MGT 2
Register of debenture holders or security holders
Physical
MGT 3
Notice of change/discontinuation of location of foreign register
Intimation of disqualification of directors to ROC
Physical
DIR 10
Application for removal of disqualified director
Physical
DIR 11
Notice of resignation by director
e-Form
DIR 12
Particulars of appointment/change of directors/KMP
e-Form
MR 1
Return for appointment of MD/WTD/Manager
e-Form
MR 2
Application for approval of appointment/remuneration of MD/WTD/Manager
e-Form
MR 3
Secretarial Audit Report format
Physical
💼 5. Financial Statements, Audit & Cost Records
Form No.
Description
Type
AOC 1
Statement of financials of subsidiaries/associates/JVs
Physical
AOC 2
Related party contracts/arrangements details
Physical
AOC 3 / 3A
Statement containing salient features of financial statements
Physical
AOC 4 / AOC 4 XBRL / AOC 4 CFS / AOC 4 NBFC
Filing of financial statements with ROC
e-Form
AOC 5
Notice of location of books of accounts
e-Form
ADT 1
Appointment of auditor
e-Form
ADT 2
Application for removal of auditor before term ends
e-Form
ADT 3
Resignation of auditor
e-Form
ADT 4
Reporting of suspected fraud by auditor to CG
Physical
CRA 1
Maintenance of cost records
Physical
CRA 2
Intimation of appointment of cost auditor
e-Form
CRA 3
Cost audit report format
Physical
CRA 4
Filing of cost audit report
e-Form
🤝 6. Compromises, Arrangements & Amalgamations
Form No.
Description
Type
CAA 1
Creditors responsibility statement (Section 230)
Physical
CAA 2
Notice of meeting of creditors/members
Physical
CAA 10
Solvency Declaration
Physical
CAA 11
Approval Notice for merger scheme
Physical
🌐 7. Foreign Companies
Form No.
Description
Type
FC 1
Information to be filed by foreign company
e-Form
FC 2
Return of alteration in filed documents
e-Form
FC 3
Annual accounts and list of business places in India
e-Form
FC 4
Annual Return of a foreign company
e-Form
FC 5
Nomination for Indian Depository Receipts
Physical
🧮 8. Other Key Compliance & Special Applications
Form No.
Description
Type
RD 1
Application to Regional Director for change in FY or conversion
e-Form
RD GNL 5
Rectification of mistakes in RD approvals
e-Form
BEN 1
Declaration by significant beneficial owner (individual)
Physical
STK 1
ROC Notice for removal of company name
Physical
STK 2
Application for striking off company name
e-Form
MSME
Half-yearly return for outstanding payments to MSME
e-Form
Form 23C
Application to appoint cost auditor
e-Form
Form 23D
Information by cost auditor to CG
e-Form
Form I-XBRL
Cost audit report in XBRL format
e-Form
Form A-XBRL
Compliance report in XBRL format
e-Form
Staying compliant with ROC requirements may seem like a task, but it’s the backbone of a well-managed company. Filing the right form at the right time not only safeguards your business from legal issues but also strengthens its credibility. Always stay updated with changes in ROC compliance — a little vigilance today can save you from big troubles tomorrow!
“Keep your filings on time, your records clean, and your business future bright.”
