The ADT-3 form is a crucial compliance document that a company must file with the Ministry of Corporate Affairs (MCA) when an auditor resigns before completing their term. Filing ADT-3 correctly ensures that the resignation is legally recorded, helping the company maintain proper compliance with The Companies Act, 2013. Incorrect submission can lead to penalties and legal complications.

This guide provides a step-by-step approach to submitting ADT-3 form online while ensuring accuracy and compliance with MCA guidelines.

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1. Understanding the Purpose of ADT-3

The ADT 3 form is used to inform the MCA about an auditor's resignation from a company. The filing is mandated under Section 140(2) of The Companies Act, 2013.

Why is ADT-3 Required?

• Ensures compliance with regulatory provisions.

• Updates MCA records regarding auditor changes.

• Prevents penalties for non-compliance.

• Helps in smooth auditor transition for the company.

• Acts as proof of resignation for the auditor.

• Enhances transparency in corporate governance.

2. Prerequisites for Filing ADT-3 Online

Before filing the ADT 3 form, ensure you have all the necessary details and documents ready.

Key Requirements:

• Company’s Corporate Identification Number (CIN).

• Details of the resigning auditor (Name, Membership Number, and Firm Registration Number).

• Date and reason for resignation.

• Board resolution approving the resignation.

• Digital Signature Certificate (DSC) of the resigning auditor.

• Director Identification Number (DIN) or PAN of the signing authority.

3. Accessing the MCA Portal for ADT-3 Submission

To submit ADT 3 online, you need to log in to the MCA (Ministry of Corporate Affairs) portal.

Steps to Access:

• Go to MCA Website.

• Click on “MCA Services” and select “E-Filing”.

• Login with your registered user ID and password.

• Navigate to “Company Forms Download”.

• Search and download the latest ADT-3 e-form.

• Open the form using Adobe Acrobat Reader for editing.

4. Filling the ADT-3 Form Accurately

Properly filling out ADT 3 form is crucial for successful submission and approval.

Key Fields to Complete:

• Company Information: CIN, company name, and registered office.

• Auditor Details: Name, Membership Number, Firm Registration Number.

• Resignation Details: Date and reasons for resignation.

• Board Resolution: Attach the board’s resolution approving the resignation.

• Declaration: Digital signature of the resigning auditor.

• Verification: Ensure the company director/secretary also verifies the submission.

5. Attaching the Required Documents

Missing documents can lead to rejection or delays in ADT-3 form processing.

Essential Attachments:

• Resignation letter from the auditor.

• Copy of board resolution approving resignation.

• Any correspondence between auditor and company regarding resignation.

• Declaration stating that the resignation does not violate any compliance norms.

• Signed PDF copies of the necessary forms.

6. Using Digital Signature Certificate (DSC)

ADT 3 form requires Digital Signature Certificates (DSC) for authentication.

Steps to Use DSC:

• Install DSC software and ensure it is valid.

• Select Class 2 or Class 3 DSC issued by an approved certifying authority.

• Attach the auditor’s DSC in the signature field.

• Ensure the DSC is registered with the MCA portal.

7. Uploading ADT-3 Form on MCA Portal

Once the form is completed and digitally signed, the next step is to upload it.

Uploading Process:

• Go to MCA Services > E-Filing > Upload Forms.

• Select ADT-3 form from your device.

• Click Submit and ensure successful form validation.

• Pay the necessary filing fee based on company category.

• Download the acknowledgment receipt for reference.

8. Paying the Filing Fees

The ADT-3 form submission requires a statutory fee, varying based on company type.

Fee Structure:

• Small Companies & OPCs: ₹300

• Other Companies: ₹600 – ₹3,000 (based on capital size)

• Late Filing Penalty: ₹100 per day beyond the due date

Payment can be made via net banking, debit/credit card, or NEFT on the MCA portal.

9. Checking the Status of ADT-3 Submission

After submission, it is crucial to check the approval status of the ADT-3 form.

How to Track Status:

• Log in to MCA Portal.

• Navigate to MCA Services > Track SRN Status.

• Enter Service Request Number (SRN) received upon submission.

• Check for updates like “Pending,” “Approved,” or “Rejected”.

• If rejected, rectify errors and re-file ADT-3 with corrections.

10. Common Mistakes to Avoid While Filing ADT-3

Avoiding errors can ensure a hassle-free ADT-3 submission process.

Frequent Mistakes:

• Incorrect CIN or auditor details.

• Missing board resolution copy.

• DSC not properly registered.

• Uploading the form in an incorrect format.

• Delays in filing leading to penalties.

• Incorrect payment of filing fees.

Conclusion

Filing ADT 3 form online is an essential compliance step for companies when an auditor resigns. Properly understanding the process, preparing documents in advance, and avoiding common mistakes can ensure smooth ADT 3 submission. Always double-check details and adhere to MCA guidelines to prevent penalties.

For expert assistance with ADT 3 filing, reach out to professionals to ensure timely and error-free submission!

Source: https://twikkers.nl/blogs/388476/How-to-Correctly-Submit-ADT-3-Form-Online