MCA to take action against erring professionals

v

General Clrcular- lO I 2Ol4

File No MCA21/2a /20r4-E-gov

Govemment of India

Ministry of Corporate Affairs

"A" Wing, Sfr Floor, Shastri Bhawan

Dr R. P. Road, New Delhi-110O01

Date: - O7.O5.2O 14

To,

All Regional Director

All Registrars of Companies

Sub: - Certification of E-forms / non e-forms under the COmpanies Act, 2013 by the Practising professionals regarding: 1

Sir,
The Ministry has allowed registered Members of the professionals bodies (the
ICAI, ICSI and the ICOAI) to authenticate correctness and integrity of
documents being filed by them with the MCA in electronic mode. Details of
documents required to be certifled have been given in the notification dated
28l04l2OI4 available on the MCA portal.

2. In this regard attention is invited towards the requirement of authentication
oldocuments prescribed under the Companies (Registration Offices and Fees)
Rules, 2014 which elaborate on the responsibility. Further, Rule 1O of ibid
the Registrar is to exarnine e-forms or non e-forms attached and filed with
general forms on McA portal viz. to verit' whether all the requirements have
been complied with and all the attachment to the forms have been duly
scanned and attached in accordance with the requirement of above said rules.
 
3. Where any instance of filing of documents, application or return or petition
etc. containing false or misleading information or omission of material fact or
incomplete information is observed, the Regional Director or the Registrar as
the case may be, shall conduct a quick inquiry against the professionals who
certified the form and signatory thereof including an officer in default who
appears prima facie responsible for submitting lalse or misleading or incorrect
information pursuant to requirement of above said Rules; 15 days notice may
be given for the purpose.
 
4. The Regional Director or the Registrar will submit his/her report rn respecr
of the inquiry initiated, irrespective of the outcome, to the D_Governance cell
of the Ministry within 15 days of the expiry of period given for submission of
an explarration witl recommendation in initiating action u/s 447 and.44g of
the Companies Act, 2013 wherever applicable ald also regarding referral of
the matter to the concemed professional Institute for initiating disciplinary
proceedings.
 
5. The E-Gov cell ofthe Ministry shall process each case so referred and issue
necessary rnstructions to the Regional Director/ Registrar of Compalies for
initiating action u/s 448 and 449 of the Act wherever prima facie cases have
been made out. The E-Gov cell will thereafter refer such cases to the
concerned Institute for conducting disciplinary proceedings against the errant
member as well as debar the concemed professional fro m filing any document
on the MCA portal in future.
 
6. The Registrar shall forward a fortnightly report to the concemed Regional
Director as well as to the E-Gov Division, Thereafter, the Regional Director
shall forward a consolidated report to the Joint Secretary E_Governance
Division on or before 76 of every month as per the prescribe; proforma (copy
enclosed).
7. This issues witl the approval of tlle Secretary.
Yours faithfully,
1. PPS to Secretary
2. PPS to Additional Secretary
3. PPS to JS(R) / JS(B)i JS(M)/ Drr(ucN)/Drr{BNH)
4. PS to DIR(AB)
tr,M 23387263
cereral Circular- l0l2Ol4 deted O7.O5.2O14
PROFORMA FOR FORTNIGHTLY REPORT BY ROC
PROFORMA FOR MONTHLY REPORT BY RD
FOR THE MONTH OF ..
For the period from......... to ........
SL
NO
NAME OF THE
PROFESSIONAL
MEMBER
OF THE
INSTITUTE
MEMBERSHIP
NO /CP NO.
DETAILS
OF THE
CASE
REMARKS
SI
no
Name of
the ROC
Details of tlle
professional
Membership
no / CP no.
Fact of
the case
remarks