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CS Professional · Drafting, Pleadings and Appearances

Appearance before Other Regulatory and Quasi-judicial Authorities

This chapter covers how a company secretary represents a client before bodies other than the main company law forums: the NCLT under the IBC, the Competition Commission of India, and consumer authorities. You solve questions by naming the provision, applying it to the facts, and concluding with the drafting or compliance step.

What this chapter covers

This chapter moves you from appearing before the courts and company law tribunals to appearing before other regulators. This page covers three areas: insolvency matters before the NCLT, competition matters before the CCI, and consumer matters under the Consumer Protection Act, 2019. In each area, the question is who can appear, what the authority does, and what you must file or advise.

The IBC portion is built around the resolution professional. You need the duties under section 25, the approval of a resolution plan under section 31, and the pre-packaged process duties under sections 54B and 54F. The Competition portion is built around section 35, which says who may present a case before the Commission. The Consumer portion covers complaints and the Central Consumer Protection Authority.

The chapter connects to the rest of Paper 2. Drafting and Conveyancing carries 70 marks and Pleadings and Appearances carries 30 marks. The drafting skills apply here too: read the facts, find the rule, and write a clear document or opinion. Practise this chapter with that mindset. Insolvency is also studied in Paper 6, so check each paper's syllabus for what it expects.

Every paper is written and case-based, and this chapter gives you short, predictable fact patterns. A question may ask whether a company secretary can appear before the CCI, what a resolution professional must do on day one, or how a plan approved by the NCLT binds the government. The rules are narrow and text-based, so well-prepared students can score steadily. The chapter also builds practical credibility, because these are real forums where CS professionals appear.

Appearance before other Regulatory and Quasi-judicial Authorities: topics in the order to study them

  1. 1Appearance before NCLT under the Insolvency and Bankruptcy CodeStart here because it sets the forum and the players. The later IBC duties are easier to follow once you know them.
  2. 2Duties of Resolution Professional under Section 25 of IBCNext, learn the core duties of the resolution professional under section 25, and then see how they differ in the pre-packaged process.
  3. 3Appearance before the Competition Commission under Section 35This is a short, text-driven section on who may appear, so it is quick to learn once IBC is clear.
  4. 4Competition Act Proceedings and Practice before the CCIBuild on section 35 by learning how a case moves, including the link to combinations in resolution plans under the proviso to section 31(4) of the IBC.
  5. 5Complaints under the Consumer Protection Act, 2019Move to consumer law after the two regulators, as it follows a different, complaint-led pattern.
  6. 6Central Consumer Protection Authority and Regulatory PowersFinish with the authority and its powers, which you can only place once you know how complaints work.

How to prepare Appearance before other Regulatory and Quasi-judicial Authorities

This chapter is about provisions and their application, so prepare it in a way that trains you to write answers under time pressure.

  1. Read the bare text of IBC sections 25, 31, 54B and 54F and Competition Act section 35 first, one at a time, and underline the verbs such as preserve, represent, appoint and present.
  2. Make a one-page list for each forum with three columns: who appears, what the authority does, and what you file or advise.
  3. Compare section 25 duties with section 54F duties in a small table for yourself. Note what is common (updated list of claims, information memorandum, avoidance applications) and what is new (confirming claims, monitoring management).
  4. Learn section 35 precisely: the persons who may appear and the point that a certificate of practice is required for chartered accountants, company secretaries and cost accountants.
  5. Link topics across Acts. Remember that the proviso to section 31(4) of the IBC requires CCI approval before the committee of creditors approves a plan that has a combination.
  6. Practise two or three case-style questions per forum in the format: provision, application to facts, conclusion, and drafting or compliance step.
  7. Revise by writing the key points from memory and checking them against the text.

Common mistakes in Appearance before other Regulatory and Quasi-judicial Authorities

  • Mixing up section 25 duties with the pre-packaged process duties under section 54F.

    Fix: Keep two separate lists and mark the differences, such as confirming claims and monitoring management in section 54F.

  • Saying any company secretary can appear before the CCI.

    Fix: State that the company secretary must hold a certificate of practice, as the Explanation to section 35 requires.

  • Forgetting that CCI approval for a combination comes before the committee of creditors approves the plan.

    Fix: Remember the proviso to section 31(4) and state the order of events in your answer: CCI approval first, then committee of creditors approval.

  • Writing general theory instead of applying the provision to the facts.

    Fix: Use a fixed structure: provision, analysis of the facts, conclusion, and then the practical step.

  • Citing section numbers from memory when unsure, or confusing Acts that share a section number.

    Fix: Always name the Act with the section, for example section 25 of the IBC, and learn what each one covers.

Last-day revision: Appearance before other Regulatory and Quasi-judicial Authorities

  • Section 25 IBC: the resolution professional must preserve and protect the corporate debtor's assets, including continued business operations.
  • Under section 25, the resolution professional takes immediate custody and control of assets and business records.
  • The resolution professional raises interim finances only with the committee of creditors' approval under section 28.
  • The resolution professional prepares the information memorandum under section 29 and presents all resolution plans to the committee of creditors.
  • Section 31 IBC: an approved plan binds the corporate debtor, employees, members, creditors, the Central and State Governments, local authorities, guarantors and other stakeholders.
  • After approval under section 31, the moratorium ceases and the resolution professional forwards records to the Board.
  • Section 31(4): the resolution applicant must obtain necessary approvals within one year of approval, or the period in the relevant law, whichever is later.
  • Proviso to section 31(4): if a plan contains a combination, CCI approval is needed before the committee of creditors approves the plan.
  • Section 54B: the insolvency professional first reports on whether the debtor meets section 54A and whether the base plan conforms.
  • Section 54F: the resolution professional in the pre-packaged process confirms the list of claims and monitors management of the debtor.
  • Section 35 Competition Act: a party or the Director General may appear in person or authorise a chartered accountant, company secretary, cost accountant, legal practitioner or an officer.
  • Section 35(2): a party may call experts from fields such as economics, commerce or international trade to give an expert opinion.

Appearance before other Regulatory and Quasi-judicial Authorities practice questions

Appearance before other Regulatory and Quasi-judicial Authorities in other exams

The same ground in other exams, if you are preparing for more than one or want another angle on it.

Appearance before other Regulatory and Quasi-judicial Authorities: frequently asked questions

Who can appear before the Competition Commission of India?

Under section 35 of the Competition Act, 2002, a party or the Director General may appear in person or authorise chartered accountants, company secretaries, cost accountants, legal practitioners or their own officers. The accountants and company secretaries must hold a certificate of practice.

What is the main duty of a resolution professional under section 25 of the IBC?

The main duty is to preserve and protect the assets of the corporate debtor, including its continued business operations. To do this, the resolution professional takes custody of assets and records, maintains the list of claims and convenes committee of creditors meetings.

Does an approved resolution plan bind government authorities?

Yes. Section 31(1) of the IBC says an approved plan binds the Central Government, State Governments and local authorities to whom statutory dues are owed, along with creditors, guarantors and other stakeholders.

Can a party bring an expert before the CCI?

Yes. Section 35(2) of the Competition Act allows a party to call upon experts from fields such as economics, commerce or international trade to give an expert opinion on a matter related to the case.