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ADT-1 Filing

ADT-1 Filing

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  • Consent for Appointment as Statutory Auditor
  • Appointment as Statutory Auditor
  • Board Resolution for Auditor Appointment
  • Auditor Intimation Letter
  • Eligibility Letter
  • Signed EGM Resolution
  • ADT-1 Form
  • ADT-1 Company to Auditor
  • ADT-1 Auditor to Company
  • Signed ADT-1 Auditor to Company
  • Signed ADT-1 Company to Auditor
  • Documents Required for LLP Registration
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ADT-1 Filing – Appointment of Auditor

Complete Process, Documents & ROC Compliance Guide (India)

As per Companies Act, 2013 | Ministry of Corporate Affairs (MCA)

Introduction
What is ADT-1?
When ADT-1 is Required
Auditor Eligibility
Documents Required
Filing Process
Timeline & Penalties
Common Mistakes
FAQs

ADT-1 filing is a mandatory ROC compliance used to inform the Registrar of Companies about the appointment, re-appointment, or change of statutory auditor of a company.

Every company registered under the Companies Act, 2013 must appoint an auditor and file ADT-1 within the prescribed timeline to avoid penalties.

What is Form ADT-1?

ADT-1 is an e-form filed with the MCA to notify the appointment of a statutory auditor under Section 139(1).

  • Filed after auditor appointment
  • Mandatory for all companies
  • Filed electronically on MCA portal

When is ADT-1 Filing Required?

  • Appointment of first auditor (by shareholders)
  • Appointment of auditor at AGM
  • Re-appointment of existing auditor
  • Appointment due to casual vacancy
  • Change or removal of auditor
ADT-1 is not required for first auditor appointed by the Board under Section 139(6).

Eligibility of Auditor

  • Only a Chartered Accountant (CA) in practice
  • CA firm with majority CA partners
  • Must not be disqualified under Section 141
Disqualification Includes Examples
Indebtedness Loan from company above prescribed limit
Relationship Director or employee of company
Exceeding audit limits More than 20 company audits

Documents Required for ADT-1 Filing

  • Board Resolution / AGM Resolution
  • Consent Letter from Auditor
  • Eligibility Certificate (Section 141)
  • Intimation Letter to Auditor
  • Auditor PAN & Membership Number
  • Company CIN
  • Director’s Digital Signature Certificate (DSC)

Step-by-Step ADT-1 Filing Process

  • Hold Board Meeting / AGM
  • Appoint auditor via resolution
  • Obtain auditor consent & eligibility certificate
  • Prepare ADT-1 form
  • Upload form on MCA portal
  • Pay government fees
  • Submit using DSC

Timeline, Fees & Penalties

Particular Details
Due date Within 15 days of appointment
Government fees As per authorized capital
Late fees Additional ROC fees apply
Non-filing of ADT-1 may attract penalties on the company and officers in default under the Companies Act, 2013.

Common Mistakes to Avoid

  • Missing 15-day deadline
  • Incorrect auditor membership number
  • Uploading wrong resolution
  • Not attaching eligibility certificate

Frequently Asked Questions (FAQs)

  • Is ADT-1 mandatory every year? – Yes, after AGM appointment.
  • Who files ADT-1? – The company.
  • What if ADT-1 is delayed? – Late fees and penalties apply.
  • Is ADT-1 required for OPC? – Yes.
  • Is first auditor ADT-1 required? – Only if appointed by members.

ROC Annual Compliance Services

AOC-4 | MGT-7 / MGT-7A | DIR-3 KYC | Complete ROC Compliance Package

As per Companies Act, 2013 | Ministry of Corporate Affairs (MCA)

Overview
AOC-4 Filing
MGT-7 / MGT-7A
DIR-3 KYC
ROC Compliance Package
FAQs

Every company registered in India is required to comply with annual ROC filings irrespective of turnover or activity. These filings ensure transparency, legal validity, and avoidance of penalties.

  • AOC-4 – Financial Statements
  • MGT-7 / MGT-7A – Annual Return
  • DIR-3 KYC – Director KYC

AOC-4 Filing – Financial Statements

AOC-4 is filed to submit the company’s financial statements to ROC under Section 137.

Documents Required

  • Balance Sheet
  • Profit & Loss Account
  • Notes to Accounts
  • Cash Flow Statement (if applicable)
  • Auditor Report
  • Director Report
ParticularDetails
Due DateWithin 30 days of AGM
Penalty₹100 per day (max ₹2 lakh)

MGT-7 / MGT-7A – Annual Return

MGT-7 is filed by companies other than OPC & AOC-7A, while MGT-7A is specifically for OPC & AOC-7A companies.

Information Covered

  • Shareholding pattern
  • Director & KMP details
  • Indebtedness
  • Compliance confirmation
FormApplicable ToDue Date
MGT-7Private/Public Companies60 days from AGM
MGT-7AOPC60 days from AGM

DIR-3 KYC – Director KYC Compliance

Every individual holding a DIN must complete DIR-3 KYC every year.

Documents Required

  • PAN Card
  • Aadhaar Card
  • Personal Email & Mobile (OTP based)
  • Passport (for foreign directors)
Due DatePenalty
30th September₹5,000 DIN reactivation fee
Non-filing results in DIN deactivation.

ROC Annual Compliance Package

Our ROC Annual Compliance Package ensures that your company meets all statutory requirements under the Companies Act, 2013.

Package Includes

  • AOC-4 Filing
  • MGT-7 / MGT-7A Filing
  • DIR-3 KYC for Directors
  • Basic ROC advisory support
Ideal for Private Limited, OPC & Small Companies

Frequently Asked Questions

  • Is ROC filing mandatory for inactive companies? – Yes.
  • Is audit mandatory for ROC filing? – For most companies, yes.
  • Can filings be revised? – Limited cases only.
  • What if AGM not held? – Penalties apply.