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Roles: CS Executive, CA Manager, CA Partner - CS Executives draft filings, CA Managers review and file, and CA Partners send filings for client approval. CA Staff has read-only access to ROC filings.
Upstream dependencies: A CA Engagement must exist for the company client before you can create a ROC Filing. Portal credentials for MCA21 must be stored in the Portal Credentials Vault before filing electronically. Downstream: When the SRN is recorded, the obligation is closed and the next annual filing in the chain is created automatically. The submitted AOC-4 and MGT-7 link through to the related Secretarial Audit report.

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Overview

A CA ROC Filing record tracks any statutory form filed with the Registrar of Companies, from the moment the CS Executive begins drafting through to the MCA system’s acknowledgement (the SRN). Every filing has a defined approval path that includes an internal review, partner sign-off, and explicit client approval before the form is submitted to MCA. Records are named automatically in the format ROC-YYYY-##### (for example, ROC-2025-00042).
ROC Filings list view showing filing records with form type, due date, status, and SRN columns

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Who uses this feature

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Before you start

  • The client must have an active CA Engagement in the system.
  • For AOC-4 and MGT-7, the Board Meeting approving the financial statements or annual return must be recorded first. See Board Meetings.
  • For ADT-1, the auditor appointment resolution must be passed in a Board Meeting.
  • MCA21 login credentials for the company must be saved in the Portal Credentials Vault.
  • For filings that require XBRL (AOC-4 for applicable companies), the XBRL/JSON package must be prepared and validated before you set the MCA V3 Package Ready flag.

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Forms supported

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Annual filings

Annual filings recur on a fixed calendar each financial year. The system generates them automatically for all active company engagements.

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Event-based filings

Event-based filings are triggered by a specific corporate action rather than a calendar date. Create them manually when the event occurs.
ROC Filing form showing the Form Type dropdown with annual and event-based form options

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Create a ROC Filing

Path: CA Practice Management → ROC and Company Law → ROC Filing → New
  1. Select the Client Engagement for the company.
  2. Choose the Form Type from the dropdown (see the tables above).
  3. The Filing Type field sets itself automatically: annual forms set it to Annual, event-based forms set it to Event-Based. You can override this if needed.
  4. For event-based filings, enter a short description in Event Description (for example, “Resignation of Mr. Ravi Kumar, Director, DIN 01234567”).
  5. Select the Financial Year the filing relates to.
  6. Confirm the Due Date. The system pre-fills this from the statutory form catalogue, but you can adjust it if the AGM date has shifted.
  7. Save. The record is created with status Pending and the auto-name (ROC-YYYY-#####) is assigned.
New ROC Filing form with Client Engagement, Form Type, Filing Type, Financial Year, and Due Date fields

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Prepare the filing (CS Executive)

Once the record is saved, the CS Executive completes the preparation work:
  1. Open the filing record.
  2. Click Draft to move the status to Drafted.
  3. Fill in all form-specific details in the filing record (see Field Guide below).
  4. In the Documents section, attach the supporting documents:
    • For AOC-4: signed financial statements, board report, auditor’s report
    • For MGT-7/MGT-7A: shareholder register extract, director details
    • For ADT-1: board resolution for auditor appointment, consent letter from auditor
    • For DIR-3 KYC: director’s Aadhaar, PAN, and address proof
  5. If the form requires an XBRL or MCA V3 JSON package, prepare and validate it, then check the MCA V3 Package Ready flag.
  6. Click Submit for Review to move the status to Under Review.
ROC Filing in Drafted status with the Documents attachment section and MCA V3 Package Ready flag visible

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Review and send for client approval (CA Partner)

  1. Open the filing in Under Review status.
  2. Review the form details, attached documents, and the MCA V3 Package Ready flag.
  3. If everything is in order, click Send for Client Approval. The status moves to Client Approval.
    • The client receives a notification on their preferred channel (Email, WhatsApp, or SMS) with a summary of what is being filed and a link to review it on the portal.
  4. If corrections are needed, click Reject. The status returns to Pending and the CS Executive is notified with the reason.
ROC Filing in Under Review status showing the Send for Client Approval and Reject action buttons

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File and record the SRN (CA Manager)

After the client approves the filing on the portal, the CA Manager files the form on MCA and records the acknowledgement.
  1. Open the filing in Client Approval status.
  2. Confirm that the client portal shows the approval.
  3. Log in to MCA21 using the credentials from the Portal Credentials Vault.
  4. Upload and submit the form on MCA.
  5. Return to the filing record and click File. Status moves to Filed.
  6. Once MCA processes the filing and issues the SRN, click Record SRN.
  7. Enter the SRN in the SRN Number field.
  8. Enter the government fees paid in Fees Paid and any late fees in Additional Fees.
  9. Save. Status moves to SRN Received. The obligation is now closed.
The system automatically creates the next annual filing in the chain (for example, filing AOC-4 chains the MGT-7 reminder for the same financial year).
ROC Filing in SRN Received status showing the SRN Number and Fees Paid fields filled in

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Field guide

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Workflow journey

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Role at each step

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Notifications and alerts

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Workspace access

Path: CA Practice Management → ROC and Company Law → ROC Filings The workspace section shows:
  • Filings due in the next 30 days (quick list, sorted by due date)
  • Filings pending SRN entry after the Filed status (quick list)
  • Overdue filings by client (number card)
  • Filing status breakdown chart (Pending, Drafted, Under Review, Client Approval, Filed, SRN Received)
CA Practice Management workspace showing the ROC Filings section with due-soon filings and overdue count

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Best practices

  • Record the SRN immediately after you receive it. The SRN is your evidence that the filing was accepted by MCA. Do not wait until the end of the day. If you lose the SRN and need to retrieve it later, you will have to log back in to MCA21 and search for it.
  • Keep Fees Paid accurate. The fees entered here feed the billing engine. If the government fee is recorded incorrectly, the client will either be under-billed or asked to pay a fee the firm already absorbed.
  • Never file AOC-4 or MGT-7 without client approval. Financial statements and the annual return require director approval. The workflow enforces this, but if you find a way to bypass it, resist the temptation. Director liability under the Companies Act is personal.
  • Set the MCA V3 Package Ready flag only after validation. The XBRL or JSON package must pass the MCA validation tool before you check this flag. Filing an invalid package generates a defect notice and restarts the timeline.
  • For DIR-3 KYC, track each director separately. One ROC Filing record covers one director’s KYC. For a company with five directors, you will have five records. Use the Event Description field to identify the director by name and DIN.
  • File INC-20A within 180 days of incorporation. Missing this deadline results in the company’s status being flagged as defaulter and can block future filings. Create the ROC Filing record on the day the engagement is opened so it does not get overlooked.
  • Do not leave CHG-1 or CHG-4 pending. Charges that are not filed on MCA may be treated as void against a liquidator. Assign these as soon as the charge is created or satisfied.