1. FUNDAMENTALS OF APPEARANCE AND COURT ETIQUETTES
BY : - Advocate Ashutosh Gupta
Indo Legal Services, Advocate & Solicitor

2. Scope for Company Secretary in Litigation
Before Security Exchange Board of India (SEBI)
Before Companies Act, 2013
Before Competition Act, 2002
Before Telecom Regulatory Authority of India (TRAI) Act, 1997
Section 35 authorizes Company Secretaries to appear before the  Competition Commission of India
Section 53S authorizes Company Secretaries to appear before the Competition Appellate Tribunal
Section 432 of the Companies Act, 2013 authorizes Company Secretary to appear before National Company Law Tribunal and National Company Law Appellant Tribunal
Section 17 of TRAI authorizes Company Secretaries to present his or its case before the Appellate Tribunal
Section 15 V authorizes Company Secretaries to appear before the Security Appellate Tribunal

3. Introduction to National Company Law Tribunal
The National Company Law Tribunal constitued under Section 408 of Companies Act, 2013 on 1st June, 2016
A quasi Judicial body that adjudicate all proceedings under Companies Act including compromise and arrangment, restructurings, Insolvency Resolution Process of Companies and LLPs etc.
The Appellant Authority of NCLT is National Company Law Appellant Tribunal (“NCLAT”) having Tribunal at New Delhi.
NCLT and NCLAT were constituted to replace Company Law Board.

4. Historical Tour To NCLT
Recommendation of the Justice Eradi Committee.
 The Companies (Second Amendment) Act, 2002 provided provision for sitting up of NCLT and NCLAT to replace the existing CLB. 
The Hon’ble Supreme Court in Union of India v. R. Gandhi, President, Madras Bar Association [(2010) 11 SCC 1 questioned the constitutional validity of NCLT and NCLAT.
The Parliament Notified Companies Act, 2013 replacing 1956 Act
The Apex Court on 14th May, 2015 in Madras Bar Association vs Union of India & Anr. [(2015) 8 SCC 583] held the constitutional validity of NCLT and NCLAT.

5. Benches of NCLT The Tribunal has 13 benches all over India Benches
Jurisdiction
2 Bench in New Delhi -Principal Bench, New Delhi Bench
Union Territory of Delhi
Ahmedabad Bench
State of Gujarat, Madhya Pradesh. Union territory of Dadra & Nagar Haveli and Daman and Diu.
Allahabad Bench
State of Uttar Pradesh and Uttarakhand.
Bengaluru Bench
State of Karnataka.
Chandigarh Bench
State of Himachal Pradesh, Jammu and Kashmir, Punjab and Haryana. Union Territory of Chandigarh
Cuttack Bench
State of Chhattisgarh and Odisha.
Guwahati Bench
State of Arunachal Pradesh, Assam, Manipur, Mizoram, Meghalaya, Nagaland, Sikkim and Tripura.
Hyderabad Bench
State of Andhra Pradesh and Telangana
Jaipur Bench
State of Rajasthan
Kolkata Bench
State of Bihar, Jharkhand and West Bengal. Union territory of Andaman and Nicobar Island.
Mumbai Bench
State of Goa and Maharastra
Two New Benches are approved to be set up in Amravati and Indore.

6. National Company Law Tribunal
Composition of NCLT
National Company Law Tribunal
President
Is or has been a Judge of High Court for 5 years
Judicial Member
Is or has been a judge of a High Court or a District Judge for at least five years; least ten years been an advocate of a court.
Technical Member
Is or has been member of the ICLS or ILS (15 years or more); Chartered Accountant or Cost Accountant or Company Secretary (15 years or more); a person of special. Knowledge in law, industrial finance, industrial etc. (15 years or more); presiding officer of a Labour Court, or Tribunal (5 years or more)

7. National Company Law Appellant Tribunal
Composition of NCLAT
National Company Law Appellant Tribunal
Chairperson
Is or has been a Judge of Supreme Court/ Chief Justice of High Court for 5 years
Judicial Member
Is or has been a judge of a High Court or is a Judicial member of Tribunal for 5 years or more.
Technical Member
A person of special. Knowledge & experience of atleast 25 years, in law, `industrial finance, administration, investment, accountancy etc.

8. Work Schedule of the Tribunal and Appellant Body
National Company Law Tribunal
Working Hours-
Tribunal remains open all working days AM to 6.00 PM, except Saturdays, Sundays and National Holidays
Registry/Filing Counter – opens all working days from 10.30AM to 5.00 PM
Setting Hours-
Tribunal shall hold its sitting at headquarter or at place under its jurisdiction from AM to PM and PM to 4.30 PM
National Company Law Appeallant Tribunal
Tribunal remains open all working days AM to 6.00 PM, except Saturdays , Sundays and National Holidays
The Tribunal shall hold its sitting at headquarter or at place under its jurisdiction from AM to PM and PM to 5.00 PM

9. All Corporate Litigation under One Roof
High Court
BIFR
NCLT
CLB

10. Areas of Practice for Company Secretary
NCLT has widen the Areas of practice for a Company Secretary in the following fields;
Compromise And Arrangement – Company Secretary advising and assisting on merger, amalgamation, demerger, reverse merger, compromise and other arrangements right from the conceptual to implementation level.
Insolvency Proceedings – Representing the Insolvency Case under insolvency Bankruptcy Code, 2016 before the Tribunal.
Oppression & Mismanagement - Representing the case before the Tribunal
Reduction of Capital- Representing cases of reduction of capital before the Tribunal.
Revival of Companies – Representing the case of revival of Company before Tribunal
Practicing Company Secretary as a Member of National Company Law Tribunal

11. Essential Documents and Information required for Areas of Pratice
Oppression & Mismanagement
Under Section of Companies Act, 2013
Documents Required
Certificate of Incorporation, MOA & AOA
Balance Sheet & Annual Return
Document reflecting change in Share Capital
Documents of siphoning of funds
Any other document sufficing conduct of oppression & Mismanagement
Information Required
Details of Petitioner
The act of oppression
Change in constitution of Capital
Transfer of shares
Change in Directorship
Detail of Banking operations, change in operations
Oppression & Mismanagement
Under Section of Companies Act, 2013

12. Essential Documents and Information required for Areas of Pratice
Mergers, Amalgamation & De-mergers
Under Section of Companies Act, 2013
Documents Required
Certificate of Incorporation, MOA & AOA
Auditors Report
Consent in the form of Affidavit
Scheme
Valuation Report
CA Certificate verifying the compliance of Section 133 of CA, 2013
Information Required
Details of Applicant/Petitioner Companies
Authorized Share Capital of the Companies
Number of Shareholders, Creditors and Directors
Share – Exchange Ratio
Appointment Date
Oppression & Mismanagement
Under Section of Companies Act, 2013

13. Essential Documents and Information required for Areas of Pratice
Revival of Companies
Under Section 252 of Companies Act, 2013
Documents Required
Certificate of Incorporation, MOA & AOA
Bank Statement reflecting operations of the Company
Annual Returns which are not filed
Notice in STK 1
Income Tax Returns, other tax returns
List of Shareholders and Directors
Information Required
Detailed description about the Company and its business
Description of the Appellants
Achievements of the business activities
Reason of non filing of Returns
Oppression & Mismanagement
Under Section of Companies Act, 2013

14. Essential Documents and Information required for Areas of Pratice
Insolvency Proceedings
Under Section 7 of Insolvency Bankruptcy Code, 2016
Documents Required
Bankers Entries as per Bankers Book Evidence, 1981
Document evidencing default
Calculation Sheet
Form 2 along with IRP Certificate
Any other document to suffice the case
Information Required
Description about the Corporate Debtor Company
Kind of transaction involved
Amount of Debt along with Interest
Period of Default
Details of proposed insolvency professional
Oppression & Mismanagement
Under Section of Companies Act, 2013

15. Essential Documents and Information required for Areas of Pratice
Insolvency Proceedings
Under Section 9 of Insolvency Bankruptcy Code, 2016
Documents Required
Invoices
Affidavit under Section 9(3)(b) of IBC, 2016
Affidavit under Section 9 (3)(c) of IBC, 2016
Demand Notice
Calculation Sheet
Any other document evidencing default
Information Required
Description about the Operational Creditor and Corporate Debtor Company
Kind of transaction involved
Amount of Debt along with Interest
Default Date
Oppression & Mismanagement
Under Section of Companies Act, 2013

16. Code of Drafting of Pleadings
Appeal or Petition or Application shall be in English Language.
Printed in double spacing on one side of standard Legal Size paper
Margins- Inner margin of 4 cm width on top , right margin of 2.5. cm and left margin of 5 cm
Each page of the pleading duly paginated, indexed and stitched in paper book.
Cause Title- “Before the National Company Law Tribunal”
Content must be divided into paragraphs consecutively numbered.
Full name, address, age, description of each party shall be given in the beginning.

17. What is Required for Appearance
Representation of Client
Drafting Capability
Subject Knowledge & Practical Exposure
Communicate Effectively
Court Craft
Drafting Capabilities

18. Fundamentals of Appearance
Remember that you are always being observed.
Impactful Impression
Listen to understand not just respond
Be a Listener first
Stay subtle, diligent and professional in your conduct
Observe Mannerism

19. Fundamentals of Appearance
Stay Courteous towards all the Court officials and even opposing counsels too
Be Courteous
Either must not be compromised in order to honor both the court as well as the profession
Punctuality and Preparedness
Keep arguments to the point and law centric
Be Precise

20. Fundamentals of Appearance
Every Tribunal is different. Therefore, tailor your advocacy style to suit the forum.
Know Your Audience
Ensure that while tendering documents/ citations to Tribunal one have enough copies to circulate to other side.
Keep multiple copies
Regardless of the case, believe in your submissions. Tribunal observes when there is a half hearted submission
Believe in Submissions

21. Fundamentals of Appearance
Acquire Complete clarity upon each and every aspect of the case before appearance.
Know your Case
One must be clear in their submission in order to avoid discrepancies
Be Clear
Regardless of the case, believe in your submissions. Tribunal observes when there is a half hearted submission
Believe in Submissions

22. Fundamentals of Appearance
Stand-up before interacting with Tribunal
Keep Phone Silent
Address the Judge Respectfully
Unwritten Rules to abide by -
Be Submissive with court officials
Avoid Slangs
Dress Appropriately

23. Legal Professional Ethics & Court Etiquette
Duty to the Client
Conflict of Duties
Confidentiality
Officer of the Court
STANDARD OF ETHICS

24. Legal Professional Ethics & Court Etiquette
Appropriate Attire- As per ICSI Rules before Tribunal
Be Humble - With Court staff as well as with other parties
While waiting for hearing Leave Bench for seniors
Be prepared- With facts of the case at first and Later on with Law
Listen to any instructions given by the Tribunal or its attendant
COURT ETIQUETTE

25. Time Management Being busy isn’t the same - Be effective.
Spend more time on case- Be laborious
Use your free time for reading- Stay updated
Devote your entire focus to the task at hand- Avoid muti-tasking

26. Delhi Office: 2nd Floor, Manish Chambers, LSC, Mayur Vihar Ph-II New Delhi-110 091
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