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CS Professional · Compliance Management, Audit and Due Diligence · Values, Ethics and Professional Conduct

A complaint against a practising Company Secretary, Mr. Rohan Iyer, is received by the Disciplinary Directorate along with the prescribed fee. Under the Company Secretaries Act, 1980, what must the Director (Discipline) do first on receiving it?

The Director (Discipline) must first form a prima facie opinion on whether the alleged misconduct occurred. Only after forming that opinion does the matter go to the Board of Discipline or the Disciplinary Committee, depending on the Schedule involved. The Director does not punish or remove names.

  1. ARefer it directly to the Disciplinary Committee for final punishment
  2. BArrive at a prima facie opinion on whether the alleged misconduct occurredCorrect
  3. CRemove Mr. Iyer's name from the Register of members pending inquiry
  4. DDismiss the complaint unless the complainant is a client of Mr. Iyer

Explanation

Section 21(2) provides that on receipt of information or complaint with the prescribed fee, the Director (Discipline) shall arrive at a prima facie opinion on the occurrence of the alleged misconduct. Referral to the Board of Discipline or Disciplinary Committee follows only after that opinion, and punishment is not decided by the Director.

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