e-Form DIR-3-KYC

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Particulars of appointment of directors and the key managerial personnel and the changes among them

Law

e-Form DIR-3 KYC is required to be filed pursuant to Rule 12A and Rule 11(2) and (3) of The Companies (Appointment and Qualification of Directors) Rules, 2014 which is reproduced for your reference.

Rule 12A

Every individual who has been allotted a Director Identification Number (DIN) as on 31st March of a financial year as per these rules shall, submit e-form DIR-3-KYC to the Central Government on or before 30th April of immediate next financial year.
Provided that every individual who has already been allotted a Director Identification Number (DIN) as at 31st March, 2018 shall submit e-Form DIR-3-KYC on or before 15th September, 2018.

Rule 11(2)

The Central Government or Regional Director (Northern Region), or any officer authorised by the Central Government or Regional Director (Northern Region) shall, deactivate the Director Identification Number (DIN), of an individual who does not intimate his particulars in e-form DIR-3-KYC within stipulated time in accordance with rule 12A.

Rule 11(3)

The de-activated DIN shall be re-activated only after e-form DIR-3-KYC is filed along with fee as prescribed under Companies (Registration Offices and Fees) Rules, 2014.

Purpose of e-Form DIR-3-KYC

As part of updating its registry, MCA would be conducting KYC of all directors of all companies annually through the e-Form DIR-3-KYC. Accordingly, every director who has been allotted DIN on or before 31st March, 2018 and whose DIN is in ‘Approved’ status, would be mandatorily required to file form DIR-3 KYC on or before 15th Spetember,2018.

Processing Type

The form will be processed in STP mode

ROC Fees

1. Normal Fees – Nil
2. Late Fees – Rs 5,000

1. Who is required to file e-Form DIR-3-KYC?

For financial year 2018-19 – Any person who has been allotted “Director Identification Number (DIN/DPIN)” on or before 31st March 2018 and the status of such DIN is ‘Approved’, needs to file form DIR-3 KYC to update KYC details in the system on or before 5th October 2018.
For financial year 2019-20 onwards – Every director who has been allotted DIN on or before the end of the financial year, and whose DIN status is ‘Approved’, would be mandatorily required to file form DIR-3 KYC before 30th September of the immediately next financial year.
After expiry of the respective due dates, system will mark all non-compliant DINs against which DIR-3 KYC form has not been filed as ‘Deactivated due to non-filing of DIR-3 KYC.

2. Who can file e-Form DIR-3-KYC?

Any DIN holder who is filing his KYC details for the first time with MCA, must file all KYC details only through e-Form DIR-3 KYC. There is no option for such a person to access the web-service for his KYC.
Further, any DIN holder who wants to update any information of his KYC details must update the same through filing of e-Form DIR-3 KYC only. Please note that no update in details can be made by accessing the web-service for DIR-3 KYC.

3. Who can file KYC through DIR-3-KYC web-service?

Any DIN holder who has already submitted e-Form DIR-KYC in any of the previous financial years and who does not require update in any of his KYC details as submitted, may perform his annual KYC by accessing DIR-3 KYC web service. No fee is payable up to the due date of each financial year. After the due date, a fee of Rs.5,000 shall be payable.

4. What are the dates to be kept in mind to comply with Annual Compliance of KYC?

As per the provisions of Rule 12A of the Companies (Appointment and Qualification of Directors) Rules, 2014, every individual who is allotted DIN as on 31st March of a financial year must submit his KYC on or before 30th September of the immediately next financial year.
If the DIN holder does not file his annual KYC within the due date of each financial year, such DIN shall be marked as ‘Deactivated due to non-filing of DIR-3 KYC’ and shall remain in such Deactivated status until KYC is done with a fee of Rs.5,000/-.
Point to be noted here is that, if the KYC is done in one financial year, it NEED NOT be done again in the same financial year again. Example: DIN issued on 30 Jun 2017. Due date for first KYC to be filed in e-Form DIR-3 KYC was 5th October 2018. If the DIN holder does not file the form within the due date, DIN is marked as ‘Deactivated due to non-filing of DIR-3 KYC’. Now in case the form DIR-3 KYC is filed with a fee of Rs.5,000/- before 31st March 2018, KYC will be considered to have been done for the FY 17-18.
However, if the form DIR-3 KYC is filed with a fee of Rs. 5,000/- on or after 1st April 2018, KYC will be considered to have been done for the FY 18-19 and the DIN holder will remain KYC non-compliant for FY 17-18. Now this DIN holder need not file e-Form DIR-3 KYC or access the web service DIR-3 KYC again for FY 18-19.

5. Which details are required to be filled in the form?

Name (as per PAN database), Father’s Name (as per PAN database), Date of Birth (DoB) (as per PAN database), PAN Number (mandatory for citizens of India), Personal Mobile Number, and Personal Email Address and Permanent / Present address.
Further, Aadhaar is mandatory, if it is assigned. If not, then Voter ID or Passport or Driving License shall be attached. Accordingly, copy of any one of the above selected information is to be attached.

6. Is it mandatory to enter a unique mobile number and email ID in e-Form DIR-3-KYC?

Yes. It is mandatory to enter your personal mobile number and personal email ID in the form DIR-3 KYC and the same has to be verified by an OTP process. Further, the mobile number and email ID must be unique such that it is not already linked with some other person in the DIN holders’ database.

7. How does the OTP functionality in DIR3-KYC work?

Send OTP button will be enabled only after successful pre-scrutiny of the form. After successful pre-scrutiny, user has to click on ‘Send OTP’ button.

8. Who are the signatories in DIR-3-KYC form?

The DIN holder and a professional (CA/CS/CMA) certifying the form are the two signatories in e-Form DIR-3-KYC.
Please note that in case of Citizens of India, the PAN mentioned in the DSC is verified with the PAN mentioned in the form.
In case of foreign nationals, the name in the DSC affixed should match with the name entered in the form. DSC’s affixed on the form should be duly registered on the MCA portal.

9. I am a disqualified director, am I required to file e-Form DIR-3-KYC?

Yes. Any person who has been allotted DIN and where the status of such DIN is ‘Approved’, is required to file form DIR-3 KYC. Hence, disqualified directors are also required to file e-Form DIR-3-KYC.

10. What is the fee for e-Form DIR-3-KYC?

e-Form DIR-3-KYC, if filed within the due date of the respective financial year, no fee is payable. However, if filed after the due date, for DIN status ‘Deactivated due to non-filing of DIR-3 KYC’ a fee of Rs.500 (Rupees Five Hundred Only) shall be payable from 21st September to 05th October 2018 (both days inclusive). From 06th October onwards a fee of Rs.5,000 (Rupees Five Thousand Only) becomes payable.

11. My DIN status is ‘Deactivated’. Can I file e-Form DIR-3-KYC?

e-Form DIR-3-KYC can be filed for status ‘Deactivated due to non-filing of DIR-3 KYC’ on payment of fee as above.

12. Whether details entered in the e-Form DIR-3-KYC will update DIN holders’ database?

Yes. All information as entered in the e-Form DIR-3-KYC shall be updated in the DIN holders’ database.

13. Whether multiple filing of e-Form DIR-3-KYC is allowed?

System will not allow multiple filing of e-Form DIR-3-KYC for an applicant. In case KYC is already filed for a DIN and such DIN is entered again, system throws an error that the form is already filed.

14. Whether non-resident directors can provide Indian mobile numbers?

In case the DIN holder is a resident of India, the address must be an address in India and mobile number must be an Indian mobile number.
In case DIN holder is non-resident, foreign address and foreign number shall only be allowed.

15. What attachments to provide for proof of address?

Please refer to Instruction Kit of e-Form DIR-3-KYC.

16. Why is the ‘Send OTP’ button disabled? What is the validity of OTP?

Send OTP button remains disabled till successful pre-scrutiny of the form. After successful pre-scrutiny, the form must be saved and only after saving the form, the ‘Send OTP’ button gets enabled.
Further, please note that, once OTP is successfully sent to the valid mobile number and email ID entered in the form, ‘Send OTP’ button gets disabled. OTP is valid for 30 minutes.

17. OTP not received on email. Why is it so?

You may check the spam folder in your mailbox for the OTP received.

18. With reference to the Companies registration Office and Fees

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