Penalty notice from roc for delayed filing

[Aditi Jain]

Dear members,

A company has received notice from roc for paying penalty on late filing of ben-2. 

Has anybody received any similar notice and can someone guide how to reply the same?

Regards,

Aditi Jain

[Ankita Karnani]

how much penalty they have levied?

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[Aditi Jain]

around 3.5 lakhs in total based on the number of days delayed. 

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[Ankita Karnani]

actually i have to file a BEN-2 which was supposed to file in march 2023.   but now you are saying that ROC has sent notice for delayed filing . i am planning to not file 

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[aditya savla]

BEN 2 is compulsory?

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[aditya savla]

BEN 2 is compulsory in private limited?

[Ankita Karnani]

Yes..... In companies act, only ADT-1 for first auditor is optional, rest forms are compulsary

On Sat, Jun 17, 2023 at 11:06 AM aditya savla <aditya...@gmail.com> wrote:

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[satish Jain]

we too received notice for delayed in filing of form BEN-2

S. V. JAIN & Associates

Company Secretaries

201, Zeba Apartments, 33-B,

Hill Road, Bandra West,

Mumbai-400050

8898666576/8850463751

Navi Mumbai Office

Shop No. 14, Neel Empress,

sector 1S, HDFC Bank Building, 

New Panvel-410206

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[Aditi Jain]

What reasoning are you providing in reply?

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[Pratyush Khetan]

Hi Aditi

These are adjudication penalties and the concerned officer will not have the power to reduce the penalties. You will have to pay no matter whatsoever and then file an appeal with the RD. You can get relief over there if sufficient cause is shown. There is no way that you will get a waiver on this penalty from the adjudication officer. They do not have powers to reduce/waive the penalty. 

Thanks!

PKA

Chartered Accountants

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[Rashmi Kumari]

Hello, 

Even my client received an adjudication notice for delay in filing BEN-2 by 2 days.

anyone has SS of 31.12.2020, where it shows that MCA Site is not working....during CFSS scheme last date....please help 

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Thanks & Regards 

CS Rashmi Kumari 

Phone no-7050973649

[SHREEN BHUTANI]

Are they imposing penalty for other forms too? Like inc20a or annual filing forms?

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[CS Priti Joshi]

When did you filed Form and how many days delay in filing Form and when Notice by ROC issued?

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[Pratyush Khetan]

If there is even a one day delay, notice is being issued. Relief only with the RD office by showing sufficient cause. Penalty amounts have to be deposited on the order of the adjudication officer. Please read the recent November order by MCA on CONTLO TECHNOLOGIES PRIVATE LIMITED.

Thanks

PKA

Chartered Accountants

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[satish Jain]

What reason we can mention if we failed to file within 30 days except accepting the delay?

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[Pratyush Khetan]

Hi 

You should have actual reasons to even consider going to the RD office. If they find that you are simply manipulating, they can cause another inquiry on the company. I believe your client did not provide the info on time. so you should accordingly communicate with your client. Let clients understand that they need to provide info on time. 

I fought 2 cases with RD last year and won both because I had documentary evidence. 

 

PKA

Chartered Accountants

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[Prakash M]

Is this notice came by mistake or actually notices were issued ?

On Sat, Jun 17, 2023 at 10:52 AM Aditi Jain <c...@banbrosconsulting.com> wrote:

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[Simran Jamadar]

We have received a similar notice.

The question here is whether levying penalty even after paying additional fees for delayed submission is acceptable?

Then why are we supposed to pay additional fees if any which ways they are levying such hefty penalties. 

[Prakash M]

In My case they have send notice for expired SRN also and no such filing in the records of MCA

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[Rajesh]

Can anyone share the Notice here after deleting the Company's Name, CIN and Directors Name.

On Mon, Jun 19, 2023 at 12:50 PM Simran Jamadar <smrn...@gmail.com> wrote:

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[Rashmi Kumari]

Did they mention the delay of filing?

How they calculated the penalty then.

Because in my case 2 days delay is counted until the form is filed.

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[VIJAYKUMAR C N]

Have they started issuing such notices yet for forms like INC-20A and INC22 too ?

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[CS A Rengarajan]

According to sources they may impose penalties  for all forms but  how for it is true

regardd

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A. Rengarajan

Practising Company Secretary

Rengarajan& Associates

Peer Review certificate No 3494/2023

Mobile 9381011200 /8072763129

[Pradeep Kumar]

This no longer makes sense calling ease of doing business.

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Thanks & Regards,

CS Pradeep Kumar M.

[CS A Rengarajan]

Yes why they wanted to do all the same even after paying additional fees.  If the forms are not filed till date, they can issue notices and also proceed for adjudication procedure.  

Regards

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[Prakash M]

They says their system does not work for processing our forms filed  in time with them and neither professionals are able to login to the site. but they can send show cause notices in the middle of all this...

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[satish Jain]

What does the second proviso to section 403 (1) says? anyone

S. V. JAIN & Associates

Company Secretaries

201, Zeba Apartments, 33-B,

Hill Road, Bandra West,

Mumbai-400050

8898666576/8850463751

Navi Mumbai Office

Shop No. 14, Neel Empress,

sector 1S, HDFC Bank Building, 

New Panvel-410206

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[CS A Rengarajan]

I would suggest that MCA can give three months amnesty scheme and request all of them to update the records and if any one not filing, then can issue notices

The above suggestion can be given either by ICSI  or  by individual stakeholders ( stakeholders copy attached )  I have prepared for small companies but all companies can send it to the ministry.

I would suggest individual stakeholders will send will be more effective rather than by institution.

Regards

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[Pradeep Kumar]

I second Mr Rengaraj's suggestion. FM will take it seriously when it is coming from corporate entities along with various institutes.

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[PRATIK PB CORPOSERV]

i agree

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Warm regards

Adv Pratik Bagde

M. No. +91 9049922255

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[Pankaj Khandelwal]

It clearly says -".........it(the company) may, without prejudice to any other legal action or liability under this act, be submitted, filed..........on payment of such additional fees as may be prescribed.............."

Regards

Pankaj

[Rashmi Kumari]

But, isn't it for sec 92 or 137 only.

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[Sitaram P R]

With most of the forms being made STP and some of the forms being moved to CRC the ROC office has a lot of time to look into filings. Believe me, if they put in effort, they can point mistakes in any company's filings and compliances.

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[Manoj Kakani]

How are we going to take this? Compounding?

Best Regards

Manoj Kakani

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[Rashmi Kumari]

Preparing reply first. 

But I guess this is not good at all, we are already paying fine for delay filing and now this penalty. Client will not go for company form any more. 

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[Pratyush Khetan]

It is surprising to me what led to the delayed filing of BEN 2 in so many cases? Any specific reason beyond the control of CS professionals? Can anyone shed 

light on this?

Thanks!

PKASSO

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[BalaJi Srivastava]

Dear All,

If any one is responding to ROC's notice. Please do share it once for reference so that other members may get an idea for responding.

Thanks and Regards,

BalaJi Srivastava

Mobile: +91 (0)987-316-9769
Email:bbala...@gmail.com

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[CS Aman Kesarwani]

Has anyone replied to the notice? 

Regards,

CS Aman Kesarwani

Aman Kesarwani & Associates

Mobile: 7532923631; 

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[BalaJi Srivastava]

Dear all,

Please note the matter shall be adjudicated at a later stage. For now do arrange to respond on the link provided at the bottom of every notice and then providing the description on the portal in relation to your response submission. A template has been attached herewith for the matters of delay filing due to merger. If this may provide any support to professionals.

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BalaJi Srivastava

Email:bbala...@gmail.com

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[Rashmi Kumari]

Hello,

I have filed a reply for a delay for 2 days.

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[Nancy Singh]

 then providing the description on the portal in relation to your response submission

Not clear pl brief? No mail received after submission its only showing reply received is it sufficient?

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[Shubhra garg]

what reason can we give for delayed filing for BEN 2?

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CS Shubhra Garg

[BalaJi Srivastava]

Yes that's sufficient as of now 

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[Adv. Prashant Agrawal]

if company having three directors and each having 33% shareholding than require to file BEN?

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Warm Regards,

Prashant Agrawal 

Advocate  ( Company Secretary ) 

08439138502,08826232316

[Rama Sr]

Dear All

The reply given to one such notice for the penalty for delay in filing BEN-2, was sent to the concerned ROC.  I am attaching the same for the reference of group members.

Regards

CS Ramasundaram

Practising Company Secretary

9940675184

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[Rajesh]

Nicely drafted CS Ramasundaram Sir.  and Thanks for sharing

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[Rajesh]

Dear CS Ramasundram Sir, 

At the outset you have beautifully drafted the reply to the Notice received from ROC w.r.t non filing of BEN-2.  I have one small observation, correct me if I am wrong.  Don't you think that Section 90 or Rules made thereunder does not mention that BEN-2 might be filed within the extended time mentioned under Section 403 and accordingly should be filed within 30 days and that the Company has no other option.  Your take on this please.

[Rashmi Kumari]

Hello,

my concern is after filing a reply what will be the next step if they don't waive off the penalty.

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[CS A Rengarajan]

Very  nicely drafted  letter but  whether  we need to examine further whether Roc has got power to levy penalty even after paying additional fees 

If the trend for BEN is like that, then  large no of forms filed with additional fees  what will be status of those forms and  there is no ease of doing business

If a BEN form is not filed, Roc has every right to  send notice  but with additional fees, the forms are submitted and approved.

regards

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A. Rengarajan

Practising Company Secretary

Certified CSR Professionals 

[CS Vikram Jjhawar]

Hi,

Please suggest whether we have to file BEN 2 if there is 2% change in holding of SBO due to merger.

Regards,

 

CS. Vikram Jhawar

V. JHAWAR & CO. ǀ Company Secretaries

ICSI Unique Code: S2012DE510200

Peer Review Unique Identification No. S2012DE510200

1855,Wazir Singh Street ǀ 2nd Floor,Allahabad Bank Building ǀ 

Paharganj New Delhi 110055  

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[Sitaram P R]

Ben 2 is not required when the individual holds shares directly. It is applicable only in case of indirect holding when other criteria are met

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[CS Nidhi Parekh]

Dear All

Private company is shareholder in section 8 company holding 19% stake in Section 8 company
is BEN-2 applicable?

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