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

The Director (Discipline) of ICSI receives a complaint with the prescribed fee against a Company Secretary, Mr. Rohan Mehta. After forming a prima facie opinion, he concludes that Mr. Mehta is guilty only of misconduct listed in the Second Schedule. Before whom must he place the matter?

The Director (Discipline) must place the matter before the Disciplinary Committee. Where the opinion is that the member is guilty of Second Schedule misconduct, or of misconduct in both Schedules, section 21(3) routes the case to the Disciplinary Committee, not the Board of Discipline.

  1. AThe Board of Discipline
  2. BThe Disciplinary CommitteeCorrect
  3. CThe Appellate Authority
  4. DThe Quality Review Board

Explanation

Under section 21(3), misconduct mentioned in the Second Schedule, or in both Schedules, is placed before the Disciplinary Committee. Only First Schedule misconduct goes to the Board of Discipline. The Authority hears appeals and does not take up the matter at this stage.

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