Event-based ROC (Registrar of Companies) compliance refers to the legal and regulatory obligations that companies and Limited Liability Partnerships (LLPs) in India must fulfill in response to specific events or changes within the organization. These events trigger the need for companies to report and update their records with the ROC to maintain legal transparency and compliance. Event-based ROC compliance includes, but is not limited to, the following:
| Events | Details |
|---|---|
| Change in Name | If a company changes its name, it must file Form INC-24 with the ROC along with the requisite documents. |
| Change in Registered Office | Companies and LLPs must file Form INC-22 or Form LLP-4, respectively, to report any change in their registered office address. |
| Change in Authorized Capital | Companies can increase their authorized capital by filing Form SH-7 with the ROC and obtaining shareholder approval through a resolution. |
| Change in Paid-up Capital | Companies are required to file Form PAS-3 with the ROC when there is a change in the paid-up capital. |
| Alteration of Memorandum and Articles of Association | Any changes to the company's memorandum or articles of association must be reported to the ROC by filing the necessary forms. |
| Conversion of Private Company to Public Company | Companies must file Form SH-7 and Form INC-27 to convert from a private company to a public company. |
| Conversion of Public Company to Private Company | A public company wishing to convert to a private company must file Form INC-27 and Form SH-7 with the ROC. |
| Appointment or Resignation of Directors | Any appointment or resignation of directors must be reported to the ROC using Form DIR-12. |
| Change in Director's Particulars | Companies must update the ROC with any changes in director's particulars by filing Form DIR-6. |
| Change in Statutory Auditor | Companies must inform the ROC about changes in their statutory auditor by filing Form ADT-3. |
| Change in Shareholding Pattern | Significant changes in shareholding patterns, such as transfer or acquisition of substantial shares, must be reported to the ROC. |
| Creation or Satisfaction of Charges | Companies must file Form CHG-1 for the creation of charges and Form CHG-4 for the satisfaction of charges with the ROC. |
| Issue of Debentures | Companies issuing debentures must file Form DPT-4 to report the creation of debenture trusts. |
| Shift in Objects Clause | If a company decides to alter its objects clause, it must file Form MGT-14 with the ROC. |
| Amalgamation or Merger | When companies undergo mergers or amalgamations, they must file a scheme of amalgamation with the ROC. |
| Change in Company Type | Changing the type of company (e.g., private to public or vice versa) requires filing the necessary forms with the ROC. |
| Amalgamation or Merger | When companies undergo mergers or amalgamations, they must file a scheme of amalgamation with the ROC. |
| Change in Company Type | Changing the type of company (e.g., private to public or vice versa) requires filing the necessary forms with the ROC. |
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