annexure3 – The Company Law Board Regulations, 1991

Annexure III : Documents to be attached with a petition

[See regulations 18 and 34]

 

   Sl.

No.

Section of the Act

Nature of petition

Enclosures to petition

(1)

(2)

(3)

(4)

1.

17(2)

Petition for confirming alteration in Memorandum of Association as to change of place of the registered office from one State to another or with respect to objects of a company

1.   Copy of the memorandum and articles of association

2.   Copy of the notice calling for the meeting with Explanatory Statement

3.   Copy of the Special Resolution. sanctioning the alteration by the members of the company.

4.   Copy of the minutes of the meeting at which the Special Resolution was passed.

5.   Affidavit verifying the petition.

6.   Bank draft evidencing payment of application fee.

7.   Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

8.   Copy of the latest audited balance-sheet with the profit and loss account of the company with auditor’s report and director’s report.

9.   Affidavit proving despatch and service of notice together with newspaper cuttings.

10. Affidavit verifying list of creditors as per regulation 36(7).

11. Acknowledgment receipt from the Registrar of Companies/ Regional Director and/or from the Chief Secretary of the State Government/ Administrator, where applicable (See regulation 14(3) (and 36(2))

2.

18(4)

Application for extension of time for filing documents for registration of alteration.

1.      Application supported by affidavit.

2.      Bank draft evidencing payment of application fee.

3.

19

Application for revival of order made under section 17

1.        Application duly supported by affidavit.

2.        Bank draft evidencing payment of application fee.

4.

43

Petition praying for relief from consequences of failure to comply with conditions constituting it’s a private company.

1.      Copy of the memorandum and articles of association.

2.      Copy of the documents showing that the default has been committed in complying with the conditions laid down in clause (iii) of sub-section (1) of Section 3.

3.      Affidavit verifying the petition.

4.      Bank draft evidencing payment of application fee.

5.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

5.

49(10)

Petition to direct the company to allow an immediate inspection of Register of investments, if the inspection is refused.

1.         Documentary evidence, if any, showing the refusal on the part of the company to allow inspection of the Register of investments.

2.      Affidavit verifying the petition.

3.      Bank draft evidencing payment of application fee.

4.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

5.      Any other relevant correspondence exchanged in the matter with the company.

6.      Acknowledgment receipt from the Registrar of Companies (See Regulation 14(3))

6.

58A(9) of Section 45QA of the RBI Act, 1934

Petition to direct the company to make repayment of the matured deposits.

1.      Copy of the deposit receipt

2.      Copy of the correspondence exchanged with the company.

3. Bank draft evidencing payment of    application fee.

 

7.

79(2)

Petition to sanction issue of shares at a discount

1.      Copy of the memorandum and articles of association.

2.      Copy of the notice calling for the meeting with Explanatory Statement and the Resolution sanctioning issue.

3.      Copy of the minutes of the meting at which the resolution was passed.

4.      Copies of the last three years audited balance-sheets and profit and loss accounts, auditor’s report and director’s report.

5.      Affidavit verifying the petition.

6.      Bank draft evidencing payment of application fee.

7.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

8

80A(1) Proviso

Petition to give consent to issue of further redeemable preference shares in lieu of irredeemable preference shares.

1.      Copy of the memorandum and articles of association

2.      Documents showing the terms of issue of the existing preference shares.

3.      Copy of the Board Resolution and resolution of general meeting for issue of further redeemable preference shares.

4.      Copy of the latest audited balance-sheet with the profit and loss account of the company with auditor’s report and director’s report.

5.      Affidavit verifying the petition.

6.      Bank draft evidencing payment of application fee.

7.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

9.

111 or 111A

Petition for rectification of Register of Members on any ground including refusal of registration of transfer/ transmission of shares/ debentures by the company.

Where the company is the petitioner.

1.      Copy of the memorandum and articles of association 

2.      Latest audited balance-sheet and profit and loss account, auditor’s report and director’s report.

3.      Authenticated copy of the extract of the Register of Members.

4.      Copy of the resolution of the Board or Committee of Directors (where applicable)

5.      Any other relevant documents.

6.      Affidavit verifying the petition.

7.      Bank draft evidencing payment of application fee.

8. Memorandum of appearance with     copy of the Board Resolution or the executed Vakalatnama, as the case may be.

9.  Two extra copies of the petition.

Wher
e the petition is made by any other person.

1.      Documentary evidence in support of the statements made in the petition including the copy of the letter written by the petitioner to the company for purpose of registering the transfer of,  or the transmission of the right to,any share,or interest in, or debentures as also a copy of the letter of refusal of the company.

2.      Copies of the documents returned by the company.

3.      Any other relevant document.

4.      Affidavit verifying the petition.

5.      Bank draft evidencing payment of application fee.

6.      Memorandum of appearance with     copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

7.      Two extra copies of the petition.

10.

113(1)

Petition for extending the period for delivery of the certificates of debentures.

1.      Copy of the letter of allotment issued by the company.

2.      Copy of the instrument of transfer.

3.      Copies of the resolutions of the Board allowing the transfer and/or  seeking extension.

4.      Affidavit verifying the petition.

5.      Bank draft evidencing payment of application fee.

6.      Copy of the latest audited balance-sheet and profit and loss account together with auditor’s report and director’s report.

7.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

11.

113(3)

Petition for non-compliance of sub-section (1) of Section 113 providing time-limit for issue of shares /debenture certificates.

1.      Copy of the letter of allotment issued by the company.

2.      Documentary evidence for the lodgment of shares of debentures for transfer, if any.

3.      Copy of notice served on the company requiring it to make good the default in complying with the requirements of sub-section (1) of Section 113.

4.      Any other correspondence.

5.      Affidavit verifying the petition.

6.      Bank draft evidencing payment of application fee.

7.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

 

12.

118(3)

Petition for furnishing copy of trust deed to person requiring it.

1.      Copy of the letter written to the company for the issue of trust deed.

2.      Copy of the letter of refusal, if any, issued by the company.

3.      Affidavit verifying the petition.

4.      Bank draft evidencing payment of application fee.

5.      Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

13.

141(1) and (3)

Petition for extension of time or condonation of delay in filing the particulars of a charge or modification of a charge or limitation of payment or satisfaction of a charge with the Registrar of Companies.

1.      Copy of the agreement creating/modifying the charge, as the case may be.

2.      Copy of the resolution envisaged by Section 292(1) (b) or (c) and section 293(1) (d), as may be ap
plicable.

3.      (Omitted by CLB (Amendment) Regulation, 1992.)

4.      Affidavit verifying the petition.

5.      Bank draft evidencing payment of application fee.

6.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

14.

144(4)

Petition to direct inspection of copies of instrument creating charge or register of charge.

1.        Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.        Affidavit verifying the petition.

3.        Bank draft evidencing payment of application fee.

4.        Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

15.

163 (6)

Petition to direct inspection of register and returns or to furnish the copies thereof to the person requiring it.

1.      Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.    Affidavit verifying the petition.

3.    Bank draft evidencing payment of application fee.

4.    Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

16.

167

Application for directing to call annual genera meeting.

1.   Affidavit verifying the petition.

2. Bank draft evidencing payment of         application fee.

17.

186

Application for ordering for calling of general meeting (other than Annual General Meeting)

1.      Documentary evidence in proof of status of the applicant.

2.      Affidavit verifying the petition.

3.      Bank draft evidencing payment of application fee.

4.      Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

18.

188(5)

Application for order as to whether the rights conferred are being abused to secure needless publicity for defamatory matter and to order company’s costs to be paid in whole or in part by the requisitionists.

1.      Affidavit verifying the petition.

2.      Bank draft evidencing payment of application fee.

3.      Memorandum of appearance or duly executed Vakalatnama.

19.

196(4)

Petition to pass an order directing immediate inspection of minute books or directing a copy thereof be sent forthwith to person requiring it.

1. Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.      Affidavit verifying the petition.

3.      Bank draft evidencing payment of application fee.

4.      Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

20.

219(4)

Petition to pass an order directing that a copy of balance-sheet and auditor’s report demanded be
furnished forthwith to person concerned.

1. Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.   Affidavit verifying the petition.

3.      Bank draft evidencing payment of application fee.

4. Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

21.

225(3)

proviso

Petition to decide as to whether right of auditors to get their representation circulated and read out at meeting is being abused to secure needless publicity for defamatory matter and to order company’s costs of an application  to be paid in whole or in part by the retiring auditors.

1. Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.   Affidavit verifying the petition.

3. Bank draft evidencing payment of  application fee.

4. Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

22.

235(2)

Petition to declare by an order that affairs of a company be investigated by inspector(s)

1.      Documentary and/or other evidence in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Documentary evidence in proof of the eligibility and status of the petitioner(s) with the voting power held by each of them.

3.   Affidavit verifying the petition.

4. Bank draft evidencing payment of application fee.

 5. Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

 6.   Three extra copies of the petition.

23.

250

Complaint by any person for finding out facts about certain shares.

1.      Documentary evidence, if any, in support of the complaint.

2.   Affidavit verifying the petition.

3. Bank draft evidencing payment of application fee.

 4. Memorandum of appearance with copy of the Board’s Resolution or the executed Vakalatnama, as the case may be.

5.   Three extra copies of the petition

24.

284(4)

proviso

Petition to decide as to whether the right of a director to get his representation circulated and read out at meeting is being abused to secure needless publicity for defamatory matter and to order company’s costs to be paid in whole or in part by such director

1.         Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.         Affidavit verifying the petition.

3.         Bank draft evidencing payment of application fee.

4.         Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

25.

304(2)(b)

Petition to pass an order directing immediate inspection of register maintained under section 303.

1. Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.         Affidavit verifying the petition.

3.         Bank draft
evidencing payment of application fee.

4.  Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

26.

307(9)

Petition to pass an order directing immediate inspection of register maintained under section 303.

1. Documentary evidence, if any, showing the refusal of the company to give inspection to the petitioner.

2.    Affidavit verifying the petition.

3.  Bank draft evidencing payment of application fee.

4.  Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

27.

397,398, 399(4), 400, 401, 402, 403, 404, 405.

Petition to exercise powers in connection with prevention of oppression and/ or mismanagement.

1.      Documentary and/or other evidence in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Documentary evidence in proof of the eligibility and status of the petitioner(s) with the voting power held by each of them.

3.      Where the petition is presented on behalf of members, the letter of consent given by them.

4.      Statement of particular showing names, addresses, number of shares held and whether all calls and other monies due on shares have been paid in respect of members who have given consent to the petition being presented on their behalf.

5.      Where the petition is presented by member or members authorised by the Central Government under section 399(4), the order of the Central Government authorising such member or members to present the petition shall be similarly annexed to the petition.

6.      Affidavit verifying the petition.

7.      Bank draft evidencing payment of application fee.

8.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

9.      Three spare copies of the petition.

28.

407(1) (b)

Petition to grant leave for an appointed of Managing Director of manager whose agreement as been terminated or set aside provided notice has been served on Central Government.

1.      Documentary and/or other evidence in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Documentary evidence in proof of the eligibility and status of the petitioner(s) with the voting power held by each of them.

3.      Where the petition is presented on behalf of members, the letter of consent given by them.

4.      Statement of particular showing names, addresses, number of shares held and whether all calls and other monies due on shares have been paid in respect of members who have given consent to the petition being presented on their behalf.

5.      Where the petition is presented any member or members authorised by the Central Government under section 399(4), the order of the Central Government authorising such member or members to present the petition shall be similarly annexed to the petition.

6.      Affidavit verifying the petition.

7.      Bank draft evidencing payment of application fee.

8.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

29.

4
08(1) (2) and (5)

Petitioner to decide whether it is necessary to appoint Government director on the Board of directors and to advice Central Government accordingly

1.      Documentary and/or other evidence in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Documentary evidence in proof of the eligibility and status of the petitioner(s) with the voting power held by each of them.

3.      Affidavit verifying the petition.

4.      Bank draft evidencing payment of application fee.

5.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

6.      Three spare copies of the petition.

30.

409(1)

Petition to prevent change in Board of Directors likely to affect company prejudicially.

1.      Documentary and/or other evidence in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Documentary evidence in proof of the eligibility and status of the petitioner(s) with the voting power held by each of them.

3.      Affidavit verifying the petition.

4.      Bank draft evidencing payment of application fee.

5.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

6.   Three spare copies of the petition.

31.

614(1)

Petition to pass an order directing a company to make good the default from its failure to make returns, etc. to the Registrar of Companies.

1.      Copy of the notice served on the company to make good the default

2.      Documentary evidence as to the service of notice.

3.      Affidavit verifying the petition.

4.      Memorandum of appearance with copy of the Board Resolution or the executed Vakalatnama, as the case may be.

5.      Bank draft evidencing payment of application fee.

33.

2A of the Monopolies Act

Petition for determination of any question of group, interconnection or same management in accordance with the provision of section 2A of the Monopolies Act.

1.      Documentary evidence, in support of the statements made in the petition, as are reasonably open to the petitioner(s).

2.      Affidavit verifying the petition.

3.      Bank draft evidencing payment of application fee.

4.      three extra copies of the petition.

           

Note : Copy of each document, as specified above, should be authenticated or certified to be true copy.

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