Briefs of professional or other misconduct cases filed against the members in which the Disciplinary Committee of the Institute has found them guilty and has decided to remove their names from the Register of Members vide its  Orders dated 3rd October,2011.  

1.         Complaint of professional or other misconduct against Ms. Sunita Khandelwal, ACS- 20444 (C.P. No.7483).

The Institute had received a complaint against Ms. Sunita Khandelwal, alleging that the she has not exercised due diligence while certifying Form 2.

The Disciplinary Committee after considering the report of the Director (Discipline), oral and written submissions made by the parties, other material available on record and the admission of Ms. Sunita Khandelwal,  came to the conclusion that the Ms. Sunita Khandelwal  was ‘Guilty’ of professional misconduct under clause (7) of part I of the Second Schedule of the Company Secretaries Act, 1980 as she had certified the Form No. 2 without verifying the receipt of money by the company from the books of accounts of the company and without verifying  the relevant Board resolution of the Company.

The Disciplinary Committee after providing the opportunity of hearing to the member decided to remove name of Ms. Sunita Khandelwal from the Register of Members of the Institute for a period of 60 (sixty) days.

The period of removal of name is from 11th October, 2011 to      9th December, 2011.

2.         Complaint of professional or other misconduct against Shri Hari Varanasi, FCS- 3552 (C.P No.8244).

The Institute had received a complaint against Shri Hari Varanasi alleging that the he had not exercised due diligence while certifying two Form No. 32.

The Disciplinary Committee after considering the report of the Director (Discipline), submissions made by the parties, other material on record and the circumstances came to the conclusion that  Shri Hari Varanasi was ‘Guilty’ of professional misconduct under clause (7) of Part I of the Second Schedule of the Company Secretaries Act, 1980 as he had certified  two Form No. 32 without  relying  on the  resolution passed by the Board of Directors at the duly convened meeting and further he  had not ensured whether  the Director who had signed the Form No. 32 was duly authorized to file the said Form No. 32.

The Disciplinary Committee after providing the opportunity of hearing to the member decided to remove the  name of Shri Hari Varanasi  from the Register of Members of the Institute for a period of 60 (sixty) days.

The period of removal of name is from 11th October, 2011 to   9th December, 2011.

3.         Complaint of professional or other misconduct against Shri K K Gupta, FCS-2371 (C.P.No.3258).

The Institute had received a complaint against Shri K K Gupta alleging that he was holding Certificate of practice while being in employment which is in contravention of the resolution passed by the Council of the Institute.

The Disciplinary Committee after  considering the Report of the Director (Discipline), submissions made by the parties, other material on record and the circumstances, came to the conclusion that Shri K K Gupta was ‘Guilty’ of professional misconduct under clause (1) of Part II of the Second Schedule of the Company Secretaries Act, 1980, as he had violated the resolution dated the 12th May, 1991, passed by the Council prohibiting the members holding Certificate of Practice to accept the employment; and was also ‘Guilty’ of professional misconduct under clause (2) of Part III of the First Schedule of the Company Secretaries Act, 1980,  as he did not  supply the information sought by the Committee.

The Disciplinary Committee  proceeded  ex-parte and decided to  remove the name of Shri K K Gupta from the Register of Members of the Institute for a period of 120 (One Hundred and Twenty) days.

The period of removal of name is from 11th October, 2011 to       7th February, 2012.

4.         Complaint of professional or other misconduct against Shri Rahul Saini, ACS-16716 (C.P.No.7009).                                      

 The Institute had received a complaint against Shri Rahul Saini alleging that the he had not exercised due diligence while certifying two Form No. 32.

The Disciplinary Committee after considering the report of the Director (Discipline), submissions made by the parties, other material on record and the circumstances, came to the conclusion that Shri Rahul Saini was ‘Guilty’ of professional misconduct under clause (7) of Part I of the Second Schedule of the Company Secretaries Act, 1980 as he had certified Form No. 32,  without exercising due diligence and  was also ‘Guilty’ of professional misconduct under clause (2) of Part III of the First Schedule of the Company Secretaries Act, 1980,  as he failed to appear before the Disciplinary Committee.

The Disciplinary Committee proceeded ex-parte and decided to remove the name of Shri Rahul Saini from the Register of Members of the Institute for a period of 90 (Ninety) days.

The period of removal of name is from 11th October, 2011 to   8th January, 2012.

5.         Complaint of professional or other misconduct against Shri Praveen Kumar Tiwary, ACS-21443 (C.P.NO.8084).

The Institute had received a complaint against Shri Praveen Kumar Tiwary alleging that the he had not exercised due diligence while certifying two Form No. 18.

The Disciplinary Committee after considering the oral and written submissions made by the parties in the matter and other material available on record came to the conclusion that Shri Praveen Kumar Tiwary was ‘Guilty’ of professional misconduct under clause (7) of Part I of the Second Schedule of the Company Secretaries Act, 1980 as he had certified Form No. 18 on the basis of the order of the Company Law Board. The said order of the Company Law Board was not relevant.

The Disciplinary Committee after providing the opportunity of hearing to the member decided to remove the  name of Shri Praveen Kumar Tiwary from the Register of Members of the Institute for a period of 60 (sixty) days.

The period of removal of name is from 11th October, 2011 to     9th December, 2011

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