roc full index

8/6/2019 ROC Full Index

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I n d e x

Introduction

Procedure of e-filingPrerequisites of e-Filing Directors Identification Number Benefits of DIN

Steps involved in obtaining DIN

Digital Signature Certificate Download Forms & Instruction kit for filling e-Foms Details of new Forms and Fees

Guidelines on e-FilingFAQs on e-Filing

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Introductione-Filing or electronic filing is a key feature of the MCA21 system. The major benefits that accrue due to e-filing are the ease ofinteraction with all citizens and a near paper-less back office operation at MCA that will significantly improve the speed of back officework. Of course a small amount of paper will still need to be maintained, but the bulk of the operations will be paperless once thesystem becomes operational. While it shortens the cycle time for MCA service delivery, it also provides transparency to the entireoperation.

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Procedure of e-filingFirst of all, one has to register itself as per the guidance available in the MCA21 portal to create a personalized login ID to ensure

security.Download a blank e-form from the MCA21 portal.Fill-up the e-form offline using software that is free and widely available. Both online and offline filling of form can be done. An automated pre-scrutiny, a step to ensure that the e-form is complete in all respects is also available to the user.Then, sign the e-form by using Digital Signature Certificate.Submit the e-form for processing. However, submission of e-form by email does not constitute e-filing.Make necessary payments to complete the transaction.

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Prerequisites of e-FilingDirectors Identification NumberDigital Signature Certificate

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Directors Identification NumberDirector Identification Number (DIN) is a unique identification number for an existing director or a person intending to become thedirector of a company. In the scenario of e-filing, DIN will be a pre-requisite for filing of certain company related documents.

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Benefits of DINThe Ministry claims that with the introduction of the concept of DIN:

Offences committed by the directors will be immediately detected as all the 20 offices of the Registrars of Companies (ROC) will benetworked by April.It would also help in addressing the concerns of companies vanishing after raising funds from the public.Investors will also get the chance to take more informed decision by knowing the top management of the company.

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Steps involved in obtaining DIN

Visit MCA Portal and fill DIN application online.


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On submission of this form, a Provisional DIN is generated by the system and is displayed on the screen.Take out a print out of the filled form, affix your photograph and send the same, alongwith photocopies of identity & residence proof

duly attested by Notary/ Gazetted Officer/ Certified Professionals.Form will be processed by the MCA DIN Cell.Once approved, DIN confirmation and activation letter will be sent to the applicant.

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Digital Signature CertificateA director or authorized representative of a company (including branches of foreign companies) engaged in signing documents andprofessionals who wish to attest documents that will be e-filed, will need to obtain a Digital Signature Certificate from any of theauthorized agencies by the Government. These DSCs are generally valid for a period of one year and will need to be renewed thereaftereach year.

On procurement of DSC it will also be required to register it with the MCA21 portal using personalized login. In case a person hasmultiple DSCs or on renewal of DSC, it will also be required to register these as well.

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Download Forms & Instruction kit for filling e-FomsDownload Form and Instruction

Kit Description of Form

Form 1 Instruction Kit Application or declaration for incorporation of a company.Form 1A Instruction Kit Application for availability or change of a nameForm 1AA Instruction Kit

Particulars of person(s) or director(s) or changed or specified for the purpose of clause (f) or

(g) of Section 5.Form 1AD Instruction Kit

Application for confirmation by Regional Director for change of registered office of thecompany within the state from the jurisdiction of one Registrar to the jurisdiction of anotherRegistrar.

Form 1B Instruction KitApplication for approval of the Central Government for change of name or conversion of apublic company into a private company

Form 1INV Instruction Kit Statement of amounts credited to investor education and protection fund.


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Form 2 Instruction Kit Return of allotmentForm 3 Instruction Kit

Particulars of contract relating to shares allotted as fully or partly paid-up otherwise than incash

Form 4 Instruction KitStatement of amount or rate percent of the commission payable in respect of shares ordebentures and the number of shares or debentures for which persons have agreed for acommission to subscribe for absolutely or conditionally

Form 4C Instruction Kit Return in respect of buy Back of Shares.Form 5 Instruction Kit

Notice of consolidation, division, etc. or increase in share capital or increase in number ofmembers.

Form 8 Instruction Kit Particulars for creation or modification of charges (other than those related to debentures).Form 10 Instruction Kit Particulars for registration of charges for Debenture.Form 15 Instruction Kit Appointment or cessation of receiver or manager.Form 17 Instruction Kit Particulars for satisfaction of charges.Form 18 Instruction Kit Notice of situation or change of situation of registered office.Form 19 Instruction Kit

Declaration of compliance with the provisions of section 149(i) (a), (b) and (c) of theCompanies Act, 1956.

Form 20 Instruction Kit Declaration of compliance with the provisions of section 149(2)(b) of the Companies Act,1956Form 20A Instruction Kit Declaration of the compliance with the provisions of section 149(2A) and (2B).Form 20B Instruction Kit

Form for filing annual return by a company having a share capital with the Registrar ofcompanies.

Form 21 Instruction Kit Notice of the court or the company law board order.Form 21A Instruction Kit Particulars of annual return of the company not having share capital.Form 22 Instruction Kit Statutory Reports.Form 22B Instruction Kit Return pursuant to section 187C (4) (declaration of beneficial interest)Form 23 Instruction Kit Registration of resolution(s) and agreement(s).Form 23AA Instruction Kit Notice of address at which books of account are maintained.Form 23AAA Instruction Kit

Application to Central Government for modification in the matters to be stated in thecompany's balance sheet or profit and loss account

Form 23AAB Instruction Kit Application for exemption from attaching the annual accounts of the subsidiary companies.


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stock company) for registration as a public limited or private limited or an unlimited company.Form 39 Instruction Kit Registration of an existing company as a limited company.Form 44 Instruction Kit Documents delivered for registration by a foreign company.Form 49 Instruction Kit

Return of alteration in the charter, statute or memorandum and articles of association,address of the registered or principal office and directors and secretary of a foreign company.

Form 52 Instruction Kit

Notice of (A) alteration in names and addresses of persons resident in India authorised toaccept service on behalf of a foreign company (B) alteration in the address of principal place ofbusiness in India of a foreign company (C) list of places of business established by a foreigncompany (D) cessation to have a place of business in India.

Form 61 Instruction Kit Form for filing an application with Registrar of Companies.Form 62 Instruction Kit Form for submission of documents with Registrar of Companies.Form 63 Instruction Kit Form for filing application for declaration as Nidhi Company.Form 64 Instruction Kit Form for filing application for opening branch(s) by a nidhi companyForm 65 Instruction Kit Form for filing application or documents with Central Government.Form 66 Instruction Kit Form for submission of compliance certificate with the Registrar.

Form I(Appointment ofSole Agents)Rules, 1975

Instruction KitForm of application for approval of the Central Government for the appointment of sole sellingagents by the company

Form II Instruction Kit Form of application for approval of the Central Government for the appointment of sole buyingagent by a company

Form DD - B Instruction Kit Report by a public companyForm DD - C Instruction Kit Form of application for removal of disqualification of directors.Form DIN 1

NotAvailable Application for allotment of Director Identification Number

Form DIN 2 Not AvailableIntimation of allotment of Director Identification Number (DIN) to the Company by theDirector

Form DIN 3 Instruction Kit Intimation of Director Identification Number by the company to the RegistrarForm DIN 4 Not Available Intimation of change in particulars of Director to be given to the Central Government


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InvestorComplaint Form

Instruction Kit Form for filing complaint(s) against the company.Form l (CAR) Instruction Kit Form for filing cost audit report and other documents with the Central GovernmentForm l (Dividendout of reserves)

Instruction Kit Form of application for approval for declaration of dividend out of reservesForm ll Instruction Kit Form of annual return of a foreign company having a share capital

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Details of New Forms and FeesAs you are all aware, the Ministry of Company Affairs has notified the e-Forms as of 10th February, 2006 and made operational from28th February, 2006, it has been felt that there may be lack of clarity about the use of newly notified forms in so far as these relate tovarious services vis--vis the old Forms. This is due to the re-engineering/ merger of the old Forms. In order to clarify the issue andleave no doubt in this respect, a statement has been prepared in an annotated form which shows the old Forms, the correspondingnewly notified e-Forms and the method of fee calculation in each case for convenience of use by all the stakeholders.

S.No. Old form No. Correspondingrevised e-FormNo.

Subject Category Modalitiesfor fee

computation(incl.

Additionalfees )

1 Form 1 Form 1 Application anddeclaration forincorporation of acompany

Company

Registration

Existing

Practice oflevying fee2 Form 1A Form 1 A Application form for

availability or change ofname

CompanyRegistration/Change Services

Rs. 500/-


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3 Form 1AA, 1AC Form 1AA Particulars of person(s) ordirector(s) or charged or

specified for the purposeof clause (f) or (g) section5

Information services Existingpractice of

levying fee.

4 Form 1AD Form 1AD Application forconfirmation by regionaldirect for change ofregistered office of the

company within the statefrom the jurisdiction ofone registrar to thejurisdiction of anotherregistrar

Approval services-Regional Director

Rs. 500/-

5 Form 1B (forconversion of

public companyto privatecompany)

Form 1B Application for approvalof the Central

Government for changeof name or conversion ofa public company into aprivate company

Approval services registrar of

companies/ changeservices

Existingpractice of

levying fee.

6 Form 2 Form 2 Return of allotment Company relatingfiling

Existingpractice oflevying fee.

7 Form 3 Form 3 Particulars of contractrelating to shares allottedas fully or partly paid-upotherwise than a cash

Company relatingfiling Existingpractice oflevying fee.

8 Form 4 Form 4 Statement of amount orrate percent of thecommission payable in

Company relatingfiling



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respect of shares ordebentures and the

number of shares ordebentures for whichpersons have agreed fora commission tosubscribe for absolutelyor conditionally

9 Form 4C Form 4C Return in respect of buyback of securities

Company relating

filing

Existing

practice oflevying fee.

10 Form 5 Form 5 Notice of consolidation,division, etc or increase innumber of members

Change services Existingpractice oflevying fee.

11 Form 8, 13, 55,56, 59

Form 8 Particulars for creation ormodification of changes

(other than those relatedto debentures)

Charge management Existingpractice of

levying fee inrespect ofForm 8.

12 Form10, 13,57, 59

Form 10 Particulars forregistration of chargesfor debentures

Charge management Existingpractice oflevying fee inrespect of

Form 10.13 Form15, 16, 13 Form 15 Appointment or cessation

of receiver or mangerCharge management Existing

practice oflevying fee inrespect ofForm 15.

14 Form 17, 13, Form 17 Particulars for satisfaction Charge management Existing


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60 of charges practice oflevying fee in

respect ofForm 7/60..

15 Form 18 Form 18 Notice of situation orchange of situation ofregistered office

CompanyRegistration/ Chargeservices


16 Form 19 Form 19 Declaration of compliancewith the the provision of

section 149(1)(a), (b)and (c) of the CompaniesAct, 1956

CompanyRegistration

Existingpractice of

levying fee

17 Form 20 Form 20 Declaration of compliancewith the provisions ofsection 149 (2A) or ofsection 149(2B)

CompanyRegistration

One Fee forForm 20 andanother onSLP

schedule. IIIas perexistingpractice.

18 Form 20A Form 20A Declaration of compliancewith the provisions ofsection 149(2)(b) or of

section 149(2B)

CompanyRegistration

Existingpractice oflevying fee

19 None Form 20 B[Refer Section159 of theCompanies Act,1956]

Form for filing annualreturn of a companyhaving a share capital

Compliance relatingfiling

As OneDocumentFiling Fee

20 Form 21 Form 21 Notice of the court or the Informational Existing


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company law board order services practice oflevying fee

21 Form 21A Form 21A Particulars of annualreturn for the companynot having share capital



22 Form 22 Form 22 Statutory Report Compliance relatingfiling


23 Nome Form 22B Form of return to be filedwith the Registrar

Informational

services

Existing

practice ofForm 3 forfee

24 Form 23 Form 23 Registration ofresolution(s) andagreement(s)

Informationalservices Existingpractice of

levying fee25 Form 23AA Form 23AA Notice of address at

which books of accountare maintained

Informational

servicesExisting

practice oflevying fee

26 None Form 23AAA Application to centralgovernment formodification in themasters to be stated inthe companys balance

sheet or profit and lossaccount

Approval services Head Quarters

As perCompanies(fees onapplicationRules 1999)

27 None Form 23AAB Application for exemptionfrom attaching the annualaccounts of thesubsidiary companies


-Do-

28 None Form 23AAC Application to Central Approval services -Do-


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Government for notproviding depreciation

Head Quarters

29 None Form 23AC Form for filing balancesheet, profit and lossaccount and otherdocuments with theregistrar


As onedocumentfiling fee

30 Form 23B Form 23B Information by auditor toregistrar


Existingpractice No

fee31 Form 23C Form 23C Form of application to the

Central Government forappointment of coastauditor



32 Form 24 Form 24 Form of application to theCentral Government for

increase in the number ofdirectors of the company

Provisions relating tomanagerial

personnel

Existingpractice of

levying fee33 Form 24A Form 24A Form for filing application

to Central Government(Regional Director)

Approval services Regional Director Existingpractice of

levying fee34 None Form 24AB Form for filing application

for giving loan, providing

security or guarantee inconnection with a loan


As perCompanies

(Fee onApplicationRules 1999)

35 Form 24B Form 24B Form of application to theCentral Government forobtaining prior consentfor holding of any office


As perExistingpractice


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or place of profit in thecompany by certain

persons36 Form 25A, 26 Form 25A Form of application to the

Central Government forapproval of appointmentand remuneration orincrease in remunerationor waive for excess or

over payment tomanaging or whole time director (s) ormanager

Provisions relating tomanagerial personnel

As perExistingpractice oflevying feeon f- 25A

37 Form 25B Form 25B Form of application to theCentral Government forapproval to amendment

of provisions relating tomanaging, whole timeor non rotationaldirectors

Provisions relating tomanagerial personnel As perExisting

practice

38 Form 25C Form 25C Return of appointment ofmanaging director orwhole time director ormanager

Compliance relatedfiling


39 Form 32, 29 Form 32 Particulars ofappointment of managingdirector, directors,manager and secretaryand the changes amongthem or consent of

CompanyRegistration/ChangeServices



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candidate to act as amanaging director or

director or manager orsecretary of a companyand/ or undertaking totake and pay forqualification shares

40 None Form 32Addendum Particulars ofappointment of managing

director, directors,manager and secretaryand the changes amongthem or consent ofcandidate to act as amanaging director ordirector or manager orsecretary of a companyand/or undertaking totake and pay forqualification shares addendum to Form 32

CompanyRegistration/Change

ServicesNo feeapplicable

41 Form 35A Form 35A Information to befurnished in relation toany offer of a scheme orcontract involving thetransfer of shares or anyclass of sares in thetransferor company tothe transferee

Informationalservices


42 Form 36 Form 36 Receiver s or manager sabstract of receipt and

Charge Management Existingpractice of


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payments levying fee43 Form 37, 38 Form 37 Application by an existing

joint stock company or byan existing company (notbeing a joint stockcompany) for registrationas a public limited orprivate limited or anunlimited company

Company

RegistrationExisting


44 Form 39, 40,41, 42 Form 39 Registration of anexisting company as a

limited company

CompanyRegistration Existingpractice of

levying fee45 Form 44 Form 44 Documents delivered for

registration by a foreigncompany

CompanyRegistration Existingpractice of

levying fee46 Form 49 Form 49 Return of alteration in the

charter statute ormemorandum andarticles of association,address of the registeredor principal office anddirectors and secretary ofa foreign company

Change services Existing


47 Form 52 Form 52 Notice of (A) alteration innames and addresses ofperson resident in Indiaauthorized to acceptservice on behalf of aforeign company (B)alteration in the address

Change services Existingpractice oflevying fee


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of principal place ofbusiness in India of a

foreign company (c) listof places of businessestablished by a foreigncompany (D) cessation tohave a place of businessin India

48 None Form 61 Form for filing anapplication with Registrarof Companies

Approval services

Registrar ofcompanies

Application

fee as perCompanies(Fees onApplication)Rules 1968

49 Form 4A Returnof Deposit

Liquidationforms(Voluntary)ComplianceCertificate form

Form 62 Form for submission ofdocuments with the

Registrar


Each event asseparate

document &separatefiling Fee asExistingPractice

50 None Form 63 Form for filing applicationfor declaration as Nidhicompany


As perCentralGovernmentRules

51 None Form 64 Form for filing applicationfor opening branch(s) bya nidhi company


As perCentralGovernmentRules

52 Application as Form 65 Form for filing application Approval services As per the


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prescribedunder

companies(Application forExtension ofTime orExemptionunder sub-section (8) of

Section 58A)

Rules, 1979. forotherapplicationNone

or documents withCentral Government Head Quarters presentpractice of

levying fee inregard to theform attach

53 Form II[Pursuant toRule 2 of theCompanies(appointment ofSole Agent )Rules, 1975]

Form II[Pursuant toRule 2 of theCompanies(appointmentof Sole Agent )Rules, 1975

Form of application forapproval of the CentralGovernment for theappointment of solebuying agent by acompany



54 Form DD-B[Pursuant to

section274(1)(g) readwith rule 5 ofcompanies(Disqualificationof Directorsunder section

Form DD-B[Pursuant to

section274(1)(g) readwith rule 5 ofcompanies(Disqualificationof Directorsunder section

Return by a publiccompany


Existingpractice of

levying fee


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274(1)(g) ofthe Companies

Act, 1956)Rules, 2001]

274(1)(g) ofthe Companies

Act, 1956)Rules, 2001]

55 Form I[Pursuant toRule 2 of theCompanies ofsole agents]

Rules

Form I[Pursuant toRule 2 of theCompanies(appointment

of Rules,1975)]

Form of application forapproval of the CentralGovernment for theappointment of solebuying agent by a

company



56 None Form DD C[pursuant tosection 274read withCompanies

(Disqualificationof Directorsunder section274(1)(g) ofthe CompaniesAct 1956)Rules, 2001]

Form of application forremoval ofdisqualification ofdirectors

Provisions relating tomanagerial personnel

As per fee onapplicationRules

57 None Form [pursuantto theCompanies(Declaration ofDividend out ofReserve) rule1975 forapproval for

Form of application forapproval for declarationof dividend out ofreserves Reserves) Rules1975


As per fee onapplicationRules


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Declaration ofDividend of

Reserve Rules,1975

58 Part II Form[Pursuant tosection 159 ofthe companiesAct, 1956 and

rule ofApplication ofsection 159 toForeignCompaniesRules, 1975 ]

Form [Pursuantto section 159of thecompanies Act,1956 and rule

of Applicationof section 159to ForeignCompaniesRules, 1975 ]

Form of annual return ofa foreign company havinga share capital

Compliance relatedfiling Existingpractice of

levying fee

59 Form 1[Pursuant toRule 3 ofinvestorEducation andProtection Fund(Awareness andProtection ofInvestors)

Rules

Form 1

[Pursuant toRule 3 ofinvestorEducation andProtection Fund(Awareness andProtection ofInvestors)

Rules, 2001]

Statement of amounts

credited to investoreducation and protectionfund

Compliance related

filing Existing


60 Cost AuditReport

Form [Pursuantto section233B(4)600(3)(b) ofthe CompaniesAct, 1956 and

Form for filing cost auditreport and otherdocuments with theCentral Government

Compliance relatedfiling Existingpractice of

levying fee


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rule 2(c) andrule 4 of the

Cost Audit(Report) Rules2001]

61 None Investorcompliant Form

Investor compliant Form Investor service No fee

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Guidelines on e-Filing(Note: Some of these guidelines will be applicable only at Customer Facilitation Centres)

# Subject Area SituationEncountered

How do you handle

1 e-Forms/Documents Old form is submitted Old forms will not be accepted and onlynewly notified e-forms will need to besubmitted. These ere available on thewebsite of the Ministry at www.mca.gov.inand can be downloaded & printed.However in the case of foreign. Companies,in view of time taken to get these signedfrom persons staying abroad, an old form

will be accepted as an attachment as longas it is submitted with the newly prescribedform. However, this facility will beavailable only till 30-Apr-2006. '.

2 It is not known to theusers that Adobe 7.0.5is required for

Itis noted and a message beingincorporated as "Please ensure


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downloading the e-form. Hence the

download of e-form isnot successful.

that Adobe Reader 7.0.5 is installed on)your Computer".

3 How are the new e-forms be modeavailable to public

Steps have been taken to contactpublishers/printers for printing(I set of commonly used e-forms andanother set for all e-forms.

4 Attachments If the format of theattachments is not PDF All attachments and documents will need toadopt the standard format of PDF.Facilitation Centre will provide support forconversion to PDF in case of any difficulty.

5 The attachments aretoo huge (Due toconstraints that areimposed by lowbandwidth connectivity.it is suggested thatAttachment sizes are

If you hove on electronic document such as

MS- Word document.

it is suggested the soft copy be brought tothe facilitation center where it will beconverted to PDF format. This way ofconversion to PDF will result in .smallersized files as compared to scanning paperdocuments.

kept in the range of 1to 2 MB per attachment In the case of scanned documents. Largedocuments may be broken up into smaller

parts and uploaded into the system inparts. Please divide the document intoports ofbetween 15 to 20 pages.In the case of very large attachments to


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the charge documents. Fill out (I"Instrument of charge and attached this to

the charge form. Also, submit a paper copyof the loan agreement or such 'Othersupporting document with the customerrepresentative who will forward this to theROC office.Documents in multiple ports will beacceptable.

7 For existing chargesthe stakeholder finds itcumbersome to tracecharge Id of the some.

A functionality have been provided at theportal whereby applicants/customer serviceexecutive can view and take a printout ofthe index of charges.

8 The loan agreementruns into 100 of pagesand slows the formfiling process

It has been decided to evolve a form underthe title "Synopsis of Charges' whish isrequired to be signed by both the parties inthe agreement and shall be attached tothe Form 8 in place of loan agreement. Itshall be responsibility of borrower andlender to ensure that all the importantterms and conditions (specified in the loanagreement) have been incorporated in thesynopsis so that the interest of the lender

is protected.9 Digital Signature What class of digital

signature will need tobe used

It will need to be a CLASS 2 or equivalent

10 Will the digitalsignature be verified

Considering the difficulty that isexperienced by the stakeholders the


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system will accept the filing with digitalsignature of ROC officials or other

authorized representatives only up to 30 Jun 2006. However it is highlighted thatsuch person affixing the digital signature onthe e-farm will not be accountable orresponsible for the filings mode. Companyand its directors will be solely responsiblefor the filings. Such filings MUST be

supported by the scanned copy of thephysical documents that will come as anattachment to the e-form.

11 The customersubmitting the e-formplaces his digitalsignature at multipleplaces. For Example, asingle person signs asauthorized signatory.Charge holder andprofessional certifyingthe Form 8.

In the case of same company single personcannot sign in both the capacities asauthorized signatories and as professional.However in the case of the case of a personsinging for and behalf of more than onecompanies can sign either as an authorizedsignatory or as a professional. For thepurpose of scrutiny the back office of RoCshall manually carry out the exercise andreject the forms in such cases ofirregularities.

12 Pre-scrutiny What should be done ifpre-scrutiny failure isencountered

It could generally happen due to incorrect

data or non-filling of mandatory fields.Check again. If not seek the services of theFacilitation Centre that has specific facilitiesto handle such cases.

13 There maybe scenarioswhere: if e-filing wouldnot happen due to any

It has been noted and suitable steps havebeen taken.


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reason. For exampleForm 20B has field for

shareholders inthousands and thecompany was havingthree share holdersonly.

14 Fee Customer has got a DDthat has a higher fee

than what is payableand customer feels thatit is not worthwhile toget this changed as thisis not Significant

MCA21 system accepts only exact feeamounts for which the receipt will be

provided. Fee receipt will still be providedfor the excess amount. However, futureadjustment of the excess fee will not bepossible in such cases. Also beforetendering fees for any document. Pleasecheck fee details available at the websiteand the facilitation centres

15 Acceptance of feeunder exceptionalcircumstances

This can happen due to a number ofconditions. In such exceptional cases whereit is reasonable, the facilitation centremanager will allow the acceptance of thedocument using a specialfeature. The discrepancies will need to besorted out on the following day without

which filing win not be deemed completed.16 Stamp Duty Customer has already

printed on old e-Formon stamp paper

The customer is not required to buy thestamp papers in this case again. However itwill be necessary for the user to fill in anew e-form and submit with the stamppaper document already purchased asattachment.


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17 Need a certified copy Submit physical stamp paper at theFacilitation Centre or RoC

18 Submission by post Document is receivedby post at the ROCoffice along withnecessary fees (in thenewly notified e-formformat)

These will be accepted in paper form tillclose of business on 13-April-2OO6. beyondthis date, postal method of delivery willalso need to be submitted with anelectronic copy of the document (in a CDROM)

19 Data Errors While Ministry has taken due. Care to ensure accuracy of the dataand digitized documents. The possibility of errors is not ruled out.Correction of errors can be done only with proactive support from theCompany. It is requested that the company verifies the data before30-Jun-2006 and bring any data discrepancy to the attention of theROC in writing. With supporting documentary evidence and duedeclarations about the accuracy of the data.

20 Proactive approach tocheck your companysdata that is available inthe system

Ask your facilitation center representative

to show you how to check for the basiccompany information and the chargeinformation. You may also be able to viewthis data directly from the internet. If younotice any discrepancies in the basic dataor the charge information (check for thecompleteness and accuracy of all subsistingcharges), please bring this to the attention

of the concerned ROC in writing withoutdelay. In the case of charge documents.Please enclose copies of old documents assupport/evidence. ROC will initiate steps torectify such errors based on verificationfrom documents already filed.


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21 Key company data suchas Company

Registration Number,Address of RegisteredOffice, AuthorizedCapital. etc. is incorrector absent

Contact concerned ROC immediately toseek rectification on problem

22 Person filing documentfinds it cumbersome to

identify the chargereference from Index ofCharges

The facility centre representative canprovide a print out of the Index of charges

upon request to enable you to easilyidentify the charge reference

23 Inactive company Inactive companies(i.e. those who havenot failed statutoryreturns for the postthree contiguous years)wishes to file areturn/document

Though filing will be accepted in thesecases, it is to be noted that in the case ofsuch companies. It is suggested that officeof the. Concerned ROC is contacted tounderstand remedial measures for non-filing as laid down in the Companies Act1956.

24 Interaction with ROC Office Where will the ROCcommunicate if there isa clarification neededor if he needs

Clarifications sought by the ROC can beseen by you in the my Documents facilityof your individual login ID

In the case of filings mode from thefacilitation centre clarifications will besought by post.

25 How should aclarification from ROC

You con send a written communication oremail to the ROC providing necessary


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be replied clarification to ROC so that ROC canprocess your service request.In the case of MoA and AoA you just needto send the amendments to specificsections as an addendum.In the case of request for re-submissionentire documents will need to be re-submitted. No additional fees will becharged in such cases.

26 Company needs a proofof charge registration A certificate of charge registration will beprovided by the ROC as per the Act

27 Where will certificate ofincorporation or suchotheracknowledgements besent

To the registered office of the company

28 Is this necessary Only if you wish to collect the incorporationcertificate in person, this will be needed

29 There has been afeedback on improvingthe response time

while opening the DINform also there hasbeen instances thatDIN from printout hasbeen manually failed inand send to DIN

Corrective action has been initiatedThe applicants should fill- in application and

submit. They should take a print out onlyafter provisional DIN is generated and thencomplete the next steps.


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processing Desk30 Bulk filing There are many visitors

usually professionalswho come in withmultiple applicationforms and once theirterm comes forprocessing their queueis held up causing long

waiting time for others.

In case company

representatives/professionals bring filingdocuments in bulk they are advised tobring the soft copy of the e-form duly filled-in, along with the hard copy duly signedmanually. Please appreciate that individualswith singles filing requests will get priorityduring peak times.

31 Help Desk Problems areencounteredpersistently when filingover the Internet

You can send a report on the problemencountered via the MCA portal ortelephonically contact the nearestFacilitation Centre to report the problem.

IMPORTANT NOTICE: Contents in this document will be periodically updated without any prior notice. Please check for periodicupdates. This document was last updated on March, 4. 2006

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FAQsWhat is MCA21?MCA21 is an ambitious e-Governance initiative that builds on the Government's vision to introduce a service-oriented approach in thedesign and delivery of Government services. This project has been launched as a flagship initiative of Government of India by theMinistry of Company Affairs (MCA).

What is the objective of MCA21 Project? TOPThe project aims at repositioning the Ministry more dynamic and modern by moving the traditional paper-based operation to a nearpaperless environment.


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What is the comprehensive scope of the project? TOPThe present scope of this initiative includes services provided by the Secretariat at New Delhi, the four Regional Directorates (RDs) andthe 20 offices of the Registrar of Companies (RoC) located all over the country. The e-filing facility includes:

- incorporation of new companies,

- filing annual and other statutory returns,

- registration and verification of charges,

- applying for various approvals / clearances,- inspection of company documents,- applying for certified copies, and reporting investor grievances

What is the time limit prescribed for implementation of the project? TOPThe contract agreements have been formalized with the selected operator, M/s Tata Consultancy Services Limited (TCS) as on 1 st March

2005. The project is expected to be implemented in 60 weeks across all MCA locations. This is enumerated in the table below:Centre Time of

implementationCoimbatore February, 2006Jaipur February/March,

2006Delhi March, 2006All other locations April, 2006

However, the project operation period would be around 6 years.

What is infrastructural set up of the MCA21 Project? TOPFor the initial three years of the project, Physical Front Offices/ service centers (PFO) or Facilitation Centres would be setup by theoperator to facilitate companies to do business transactions with the Ministry online. A total of 53 such locations would be established


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across the country. Besides, 25 ROC offices have also been renamed as Back Offices for further processing of the electronic documents.

Apart from the above, one Data Centre at Delhi, one Disaster Recovery Centre at Chennai and one Government Secure Repository at

Delhi will also be set up.What are Facilitation Centres/Physical Front Office and what shall they do? TOPIn order to provide assistance in e-filing to the stakeholders who do not have access to a computer system, an Internet connection andthose who are not adept in using computerized applications, location of Facilitation Centres, also known as Physical Front Offices (PFOs)at 53 places throughout the country has been envisaged. This would eliminate the requirement of personally visiting the ROC offices orother offices of MCA to complete a transaction.

What shall Back Office do? TOP25 ROC offices have been set up as Back Office under MCA21 Project. The back office will have a rich collection of data elements thatwill be obtained in a Relational Database Management System in order to enhance speed and certainty in processing of the documents.

What are the benefits available under MCA21 project to various stakeholders? TOPBusiness enabled to register a company and file statutory documents quickly and easily

Public to get easy access to relevant records and get their grievances redressed effectively

Professionals to be able to offer efficient services to their client companies

Financial Institutions to find registration and verification of charges easy

Government to ensure proactive & effective compliance of relevant laws and corporate governance

What is e-filing? TOPe-Filing or electronic filing is the main feature of the MCA21 system. It is a system whereby a person can file the requisite documents tovarious authorities through Internet. The need of personally visiting the concerned offices for filling of the documents has been doneaway with the introduction of the concept of e-filing. The major benefits which accrue due to the concept of e-filing are:


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The interaction with the citizen is made easy and quick.

Almost paper-less back office operation at MCA that will help in improving the speed of back office work at a tremendous rate.

What are the requirements of e-filing? TOPA PC of reasonable configuration

A printer/scanner

An Internet connection

Digital Signature Certificate

What are the various steps involved in e-filing? TOPThe steps involved in e-filing are:

First of all, one has to register itself as per the guidance available in the MCA21 portal to create a personalized login ID to ensure

security.Download a blank e-form from the MCA21 portal.

Fill-up the e-form offline using software that is free and widely available. Both online and offline filling of form can be done.

An automated pre-scrutiny, a step to ensure that the e-form is complete in all respects is also available to the user.

Then, sign the e-form by using Digital Signature Certificate.

Submit the e-form for processing. However, submission of e-form by email does not constitute e-filing.

Make necessary payments to complete the transaction.


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