Annexure III - Documents to be attached with a petition - 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) 19 [ 1. ** ** ] 19 [ 2. ** ** ] 19 [ 3. ** ** ] 4. 43 Petition praying for relief from consequences of failure to comply with conditions constituting it 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 corres-pondence exchanged in the matter with the company. 6. Acknowledgment receipt from the Registrar of Companies/ see regulation [2] [14(3)]. 6. [3] [58A(9) [4] [or 117C] or section 45QA of RBI Act, 1934] [5] [Application to direct the company to make repayment of the matured deposits or debentures.] 1. Copy of the deposit receipt. 2. Copy of the correspondence exchanged with the company. 3. Bank Draft evidencing payment of application fee. [6] [6A. 58AA Petition to intimate the default in making repayment of the matured deposits from small depositors and interest thereon. 1. Names and addresses of the officers of the company. 2. Full details of small depositors such as names, addresses, amount of deposits, rate of interest, dates of maturity and other terms and conditions of deposits. 3. Reasons for non-payment or late payment. 4. Annual Reports for the last three years. 5. Projection and cash flow statement for the next three financial years duly certified by Statutory Auditors of the company.] 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 meeting 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 directors' reports. 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 the 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 and profit and loss account of the company with auditors' report and directors' report. 5. Affidavit verifying the petition. 6. Bank draft evidencing payment of application fee. 7. Memorandum of appearance with a copy of the Board resolution or the executed vakalatnama, as the case may be. Where the company is the petitioner 9. [7] [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. 1. Copy of the memorandum and articles of association. 2. Latest audited balance sheet and profit and loss account, auditor's report and directors 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 a copy of the Board Resolu-tion or the executed Vakalatnama, as the case may be. 9. Two extra copies of the petition. Where 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 the purpose of registering the transfer of, or the transmission of the right to, any shares 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 documents. 4. Affidavit verifying the petition. 5. Bank draft evidencing payment of application fee. [8] [6. Memorandum of appearance with a 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 resolution 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 directors' report. 7. Memorandum of appearance with a 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 share/debenture certificates. 1. Copy of the letter of allotment issued by the company. 2. Documentary evidence for the lodgment of shares or debentures for transfer, if any. 3. Copy of the notice served on the company requiring it to make good the default in complying with the requirement 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 a copy of the Board resolu-tion or the executed vakalatnama, as the case may be. [9] [11A. 117B(4) Petition to intimate the default in making repayment of the matured debentures and interest thereon. 1. Names and addresses of the officers of the company. 2. Full details of debenture holders such as names, addresses, amounts, rate of interest, dates of maturity and other terms and condition of the debenture. 3. Reasons for non-payment or late payment. 4. Annual Reports for the last three years. 5. Copy of the Prospectus issued at the time of issue of debentures. 6. Copy of the Trust Deed.] 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. [10] [5. Memorandum of appearance with a copy of the Board's resolution or the executed vakalatnama, as the case may be] 19 [ 13. ** ** ] 14. 144(4) Petition to direct inspection of copies of instrument creating charges or register of charges. 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. [13] [4. Memorandum of appearance with a copy of the Board's resolution or the executed vakalatnama, as the case may be.] 15. 163(6) Petition to direct inspection of registers 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. [14] [4. Memorandum of appearance with a copy of the Board's resolution or the executed vakalatnama, as the case may be.] 16. 167 Application for directing to call annual general meeting 1. Affidavit verifying the application. 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. [15] [4. Memorandum of appearance with a copy of the Board's resolution or the executed vakalatnama, as the case may be]. 19 [ 18. ** ** ] 19. 196(4) Petition to pass an order directing immediate inspection of minute books or directing a copy thereof be sent forth. with 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 a copy of the Board 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 a 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 on an application to be paid in whole or in part by 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 a 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 a 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 complaint. 3. Bank Draft evidencing payment of application fee. [16] [4. Memorandum of appearance with a copy of the Board's resolution or the executed vakalatnama, as the case may be]. [17] [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 on application 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 a 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 a copy of the Board's 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 the section. 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 a 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. Document 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 particulars 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 a 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. Petition to grant leave for an appointment of Managing Director or Manager agreement has 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 particulars 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. Whether the petition is presented by 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 a copy of the Board resolution or the executed vakalatnama, as the case may be. 29. 408(1), (2) and (5) Petition to decide whether it is necessary to appoint Government Directors 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 a 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 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 a copy of the Board resolution or the executed vakalatnama, as the case may be. 6. Three extra 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 a copy of the Board resolution or the executed vakalatnama, as the case may be. 5. Bank draft evidencing payment of application fee. [18] [32. * * *] 33. 2A of the Monopolies Act. Petition for determination of any question of group, inter-connection or same management in accordance with the provisions 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 a true copy. --------------------------------------- Notes:- [1] Inserted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. [2] Substituted for 14(4) by the Amendment Regulations, 1992, w.e.f. 14-5-1992. [3] Substituted for 58A by the Company Law Board (Amendment) Regulations, 1997, w.e.f. 1-8-1997. [4] Inserted by Company Law Board (Amendment) Regulations, 2001, w.e.f. 15-6-2001. [5] Substituted by the Company Law Board (Amendment) Regulations, 2001, w.e.f. 15-6-2001, for the following: Petition to direct the company to make repayment of the matured deposits. [6] Inserted by Company Law Board (Amendment) Regulations, 2001, w.e.f. 15-6-2001. [7] Substituted for 111 by the Company Law Board (Amendment) Regulations, 1997, w.e.f. 1-8-1997. [8] Substituted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. Prior to its substitution, the item read as under: 6. Memorandum of appearance with the copy of the executed vakalatnama . [9] Inserted by Company Law Board (Amendment) Regulations, 2001, w.e.f. 15-6-2001. [10] Substituted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. Prior to its substitution, the item read as under: 5. Memorandum of appearance with the copy of the executed vakalatnama. [11] Substituted for 293(1)(a) by the Amendment Regulations, 1992, w.e.f. 14-5-1992. [12] Omitted, ibid. Prior to its omission, the item read as under: 3. Affidavit alongwith newspaper cuttings. [13] Substituted, ibid. Prior to its substitution, the item read as under: 4. Memorandum of appearance with the copy of the executed vakalatnama. [15] Substituted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. Prior to its substitution, the item read as under: 4. Memorandum of appearance with the copy of the executed vakalatnama. [15] Substituted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. Prior to its substitution, the item read as under: 4. Memorandum of appearance with the copy of the executed vakalatnama. [16] Substituted by the Amendment Regulations, 1992, w.e.f. 14-5-1992. Prior to its substitution, the item read as under: 4. Memorandum of appearance. [17] Inserted, by the Amendment Regulations, 1992, w.e.f. 14-5-1992. [18] Omitted by the Company Law Board (Amendment) Regulations, 1997, w.e.f. 1-8-1997. Prior to omission it read as under: 32. 22A(4)(C) of the Securities Act Reference to issue of direction for registration/non-registration of securities. 1. Instrument of transfer and other documents accompanying the transfer lodged with the company. 2. Copies of correspondence exchanged with the transferor/ transferee/stock broker/concerned stock exchange. 3. Authenticated copy of the lodgment of instrument of transfer with the company. 4. Notice given to the transferor/ transferee under clause ( b ) of sub-section (4) of section 22A of the Securities Act. 5. Resolution of the Board of Directors giving reasons for refusal to register the transfers. 6. Three copies of the memo-randum and articles of association and latest audited balance sheet and profit and loss account of the company. 7. Affidavit verifying the petition. 8. Bank draft evidencing payment of application fee. 9. Memorandum of appearance with a copy of the Board resolution or executed vakalatnama. 10. Two extra copies of reference. 19. Omitted vide Notification No. GSR 630(E) dated 12-8-2012 before it was read as 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 directors' 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 receipts from the Registrar of Companies/ Regional Director and/or from the Chief Secretary of the State Government/Administrator, where applicable [ see regulation 14(3)] [1] [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. 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 [11] [293(1) ( d )] as may be applicable. 3. [12] [* * *] 4. Affidavit verifying the petition. 5. Bank draft evidencing payment of application fee. 6. Memorandum of appearance with a copy of Board 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.