## Report on the Actuaries Procedure for Enquiry of Professional and Other Misconduct Amendment Rules, 2021
**1. Executive Summary:**
This report analyzes the Actuaries Procedure for Enquiry of Professional and Other Misconduct Amendment Rules, 2021, based solely on the official notification provided. This amendment modifies the Actuaries Procedure for Enquiry of Professional and Other Misconduct Rules, 2008. Key changes include substituting "Enquiry" with "Inquiry," clarifying definitions, enabling electronic communication and videoconferencing for participation in meetings and hearings, modifying procedures for handling complaints, and updating address requirements for members. These changes aim to improve clarity, efficiency, and accessibility in the inquiry process.
**2. Introduction:**
The purpose of this report is to provide an informative analysis of the Actuaries Procedure for Enquiry of Professional and Other Misconduct Amendment Rules, 2021 (hereinafter referred to as "the Amendment Rules"), based on the official notification published in the Gazette of India. This analysis focuses on the changes introduced by the amendment, their potential impact, and implementation aspects, relying solely on the provided policy text.
**3. Policy Overview:**
* **Original Policy:** The Amendment Rules modify the Actuaries Procedure for Enquiry of Professional and Other Misconduct Rules, 2008.
* **Core Objective(s):** The core objective, inferred from the text, is to refine the procedures for investigating professional misconduct by actuaries. The amendments seem designed to enhance clarity, modernize communication methods, and introduce flexibility in the inquiry process.
**4. Background and Rationale:**
The provided text suggests that the amendment is likely intended to address issues related to clarity, efficiency, and modernization of the existing inquiry procedures. The changes related to electronic communication and videoconferencing indicate a move towards more accessible and potentially less time-consuming methods for participation in hearings and meetings. The modifications in handling complaints suggest a refinement of the process to ensure fairness and efficiency.
**5. Key Provisions / Changes:**
The Amendment Rules introduce several key changes to the original policy:
* **Change of Terminology:** The word "Enquiry" is consistently replaced with "Inquiry" throughout the rules (Rules 2, 4, 9, 14, 16). This indicates a desire for precise and consistent terminology.
* **Definition Updates (Rule 3):**
* Definition of "Form" is updated.
* The definition of "professional address" is clarified to be the address registered with the Institute.
* The words "Schedule annexed" are replaced with "the Schedule".
* A new definition of "videoconferencing" is added, defining it as an audiovisual electronic communication facility enabling concurrent participation and attendance without intermediaries, with recording and storage capabilities. This introduces the possibility of virtual participation.
* **Electronic Communication (Rules 5, 7, 11):** The amendment allows for the submission and receipt of complaints and other communications through electronic mail or online through the Institute's website. This aims to modernize the communication process and potentially expedite the handling of inquiries.
* **Complaint Handling Procedures (Rules 5, 7, 10):**
* Rule 5 modifies the process of handling defective complaints allowing the Director to rectify formal defects in the presence of the complainant.
* Rule 7 introduces electronic mail and online submission of documents or notices.
* Rule 10 allows for communication via courier or electronic mail.
* **Committee Procedures (Rule 10):** Subrules 3 to 8 of rule 9 are substituted, refining the Committee's role in reviewing complaints and directing further inquiry. The changes provide a more structured process for the Committee to handle cases where they agree or disagree with the Director's prima facie opinion.
* **Videoconferencing (Rule 13, 15):** Rule 13 allows for oral submissions via videoconferencing. Rule 15 inserts a new Rule 18, explicitly permitting the Committee to conduct meetings or hearings through videoconference, subject to Council-approved guidelines and retention of recordings for a specified period. This enables wider participation and greater flexibility.
* **Form Updates (Rule 17):** The amendment requires the inclusion of email addresses in the complaint form, both for the complainant's latest address and professional address. This further emphasizes the shift towards electronic communication.
**6. Target Audience and Stakeholders:**
The primary target audience and stakeholders are:
* **Actuaries:** As the rules govern the inquiry process related to their professional conduct.
* **The Institute (presumably the Institute of Actuaries of India):** As it is responsible for maintaining the register of members and implementing the inquiry procedures.
* **Complainants:** Individuals or entities who file complaints against actuaries.
* **The Committee and the Council:** Bodies involved in the inquiry process.
**7. Implementation Aspects (Inferred):**
* **Responsible Agency/Bodies:**
* The **Institute** is responsible for maintaining the register and its website will likely be a key platform for implementation.
* The **Director** is responsible for initial scrutiny of complaints and potential further inquiries.
* The **Committee** is responsible for reviewing the complaints.
* The **Council** approves guidelines related to videoconferencing.
* **Timelines/Procedures:**
* The Amendment Rules come into force on the date of their publication in the Official Gazette (June 18, 2021).
* Complainants may be given up to fifteen days to rectify defects in complaints.
* Recordings of videoconferences must be retained for a minimum of ten years.
**8. Expected Outcomes / Impact of Changes:**
The likely intended outcomes of these changes are:
* **Increased Efficiency:** Electronic communication and online submissions should streamline the complaint process.
* **Enhanced Accessibility:** Videoconferencing enables wider participation in hearings, particularly for those geographically distant or facing logistical challenges.
* **Improved Clarity:** The terminology changes and refined definitions aim to reduce ambiguity in the rules.
* **Fairness and Transparency:** The structured process for Committee review aims to ensure a fair and transparent inquiry.
* **Modernization:** The adoption of electronic communication and videoconferencing reflects a modernization of the regulatory framework.
**9. Conclusion:**
The Actuaries Procedure for Enquiry of Professional and Other Misconduct Amendment Rules, 2021, represent a significant update to the existing regulatory framework. The changes introduced by the amendment, particularly the adoption of electronic communication and videoconferencing, are likely to improve the efficiency, accessibility, and clarity of the inquiry process for professional misconduct by actuaries. The amendment demonstrates a commitment to modernize the regulatory framework and adapt to evolving communication technologies.
Key Entities Referenced
NEW DELHI: City in India, place of publication
Actuaries Act, 2006: Legal document; specifies section 55 relating to rules and regulations
Central Government: The governing authority making the rules.
Actuaries Procedure for Enquiry of Professional and Other Misconduct Rules, 2008: A set of rules being amended by this notification.
Actuaries Procedure for Inquiry of Professional and Other Misconduct Amendment Rules, 2021: The title of the amending rules.
Institute: An unspecified institute maintaining a register under the Act
Ministry of Finance: The Government body responsible for the notification
Department of Financial Services: The specific department within the Ministry of Finance issuing the notification.
SAURABH MISHRA: Jt. Secy. issuing the notification
Government of India Press, Ring Road, Mayapuri, New Delhi110064: The printing location of the document.
Controller of Publications, Delhi110054: The publisher of the document.
रजजस्ट्री स.ं डी.एल.- 33004/99 REGD. No. D. L.-33004/99
सी.जी.-डी.एल.-अ.-18062021-227701
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CG-DL-E-18062021-227701
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ऄसाधारण
EXTRAORDINARY
भाग II—खण् ड 3—ईप-खण्ड (i)
PART II—Section 3—Sub-section (i)
प्राजधकार स ेप्रकाजित
PUBLISHED BY AUTHORITY
स.ं 333] नइ ददल्ली, िुििार, जनू 18, 2021/ज्य ष्े ठ 28, 1943
No. 333] NEW DELHI, FRIDAY, JUNE 18, 2021/JYAISHTHA 28, 1943
जित्त मत्रं ालय
(जित्त सिे ाएं जिभाग)
ऄजधसचू ना
नइ ददल्ली, 18 जून, 2021
सा.का.जन. 417(ऄ). – केन्द्रीय सरकार, बीमांकक ऄजधजनयम 2006 (2006 का 35) की धारा 55 की
ईपधारा (2) के खंड (ग) और (ड़) द्वारा प्रदत्त िजियों का प्रयोग करत े हुए, बीमांकक (िृजत्तक और ऄन्द्य ऄिचार की जांच
के जलए प्रदिया) जनयम 2008 का संिोधन करने के जलए जनम्नजलजखत जनयम बनाती ह,ै ऄथाता ् :-
1. (1) आन जनयमो का संजिप्त नाम बीमांकक (िृजत्तक और ऄन्द्य ऄिचार की जांच के जलए प्रदिया) जनयम 2021 ह ै।
(2) य ेराजपत्र ईनके प्रकािन की तारीख से प्रिृत्त होगे ।
2. बीमांकक (िृजत्तक और ऄन्द्य ऄिचार के जलए जांच प्रदिया) जनयम 2008 के जनयम 1 ईपजनयम (1) में जहन्द्दी पाठ म े
संिोधन की अिश्यकता नही ह ै।
3. ईि जनयम के जनयम 2 के ईपजनयम (1) म,ें -
(i) खडं (च) के स्ट्थान जनम्नजलजखत खंड रखा जाएगा, ऄथाात ्:-
‘(च) “जहन्द्दी पाठ में संिोधन की अिश्कता नही ह ै;’;
(ii) खंड (ञ) के स्ट्थान पर जनम्नजलजखत खडं को रखा जाएगा, ऄथाात् :-
3320 GI/2021 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
‘(ञ) “दकसी सदस्ट्य के संबंध म ें “िृजत्तक पता” से आस ऄजधजनयम के ऄधीन संस्ट्थान द्वारा रख ेगए रजजस्ट् टर म ें प्रजि्
पता ऄजभप्रेत ह ै;’;
(iii) खडं (ठ) में “ईपाबद्ध ऄनुसचू ी” िब्दो के स्ट्थान पर “ऄनुसचू ी” िब्द रखा जाएगा ;
(iv) खंड (ठ) के पश्चात् जनम्नजलजखत खंड ऄंत:स्ट्थाजपत दकया जाएगा, ऄथाात ् :-
‘(ड) “जिजडयो कांफ्रेससग” से ऐसी दश्ृ य-श्रव्य आलेक्ट्रोजनक संसूचना प्रसुजिधा ऄजभप्रते ह ैजो ईन व्यजष्ट को
जजसस े आन जनयमो के ऄधीन दकसी मध्यिती के जबना ऄन्द्य भागीदारो या ईपजस्ट्थत व् यजक्ट्त यों को से साथ-साथ संसूचना
करना तथा ऐसी बैठको और सनु िाइयों मे प्रभािी रूप स े भाग लेना ऄपेजित ह ै और जो ऐसी भागीदारी और ईपजस्ट्थजत को
तारीख और समय के साथ ऄजभजलजखत करने तथा ऐसे ऄजभलखे न को भंडाररत और पुनः प्राप्त करन े में समथ ाह ै। ’ ।
4. ईि जनयम के ऄध्याय 2 के िीर्ा में जहन्द्दी पाठ म ेसंिोधन की अिश्यकता नही ह ै।
5. ईि जनयम के जनयम 3 म,ें -
(i) ईपजनयम (1) म,ें “डाक या कुररयर” िब्दो के पश्चात् “संस्ट्थान की िेबसाआट के माध्यम से आलेक्ट्राजनक मेल या
ऑनलाआन के” िब्दो को ऄंत:स्ट्थाजपत दकया जाएगा ;
(ii) ईपजनयम (2) म ें “ईपजनयम (1) के ऄधीन डाक या कुररयर द्वारा भेजी गइ” िब्दो के स्ट्थान पर “ईपजनयम (1)
म े जनर्दद्” िब्द रखे जाएंग े;
(iii) ईपजनयम (5) में “दकसी कंपनी” िब्दो के पश्चात “ऐसी कंपनी” िब्द ऄंत:स्ट्थाजपत दकए जाएंगे ;
(iv) ईपजनयम (7) म,ें “यथाजस्ट्थजत व्यजिगत रूप से या डाक द्वारा भेजे जाने के प्रमाणपत्र के ऄधीन” िब्दो का
लोप दकया जाएगा ;
6. ईि जनयम के जनयम 4 म,ें -
(i) ईपजनयम (1) मे “(अइ सी ए अइ प्रभार 100 रु.) जो जिजनयमो द्वारा” िब्दो, कोष्ठको और ऄंको का लोप
दकया जाएगा ;
(ii) ईपजनयम (2) मे “भारत मे दकसी बैंक पर” िब्दो के पश्चात् “आलेक्ट्राजनक रूप स”े िब्द ऄंत:स्ट्थाजपत दकए
जाएंगे ;
7. ईि जनयम के जनयम 5 म,े -
(i) ईपजनयम (4) के खंड (क) म ेंजहन्द्दी पाठ मे संिोधन की अिश्कता नहीं ह ै;
(ii) ईपजनयम 5 के स्ट्थान पर जनम्नजलजखत ईपजनयम को रखा जाएगा, ऄथाात ् :-
“(5) यदद संिीिा पर कोइ जिकायत त्रुरटपूणा पाइ जाती ह ैऔर –
(क) त्रुरट औपचाररक प्रकृजत की है, तो जनदेिक जिकायतकताा को जनदेिक की ईपजस्ट्थजत म ेईसका पररिोधन करन े
की ऄनुज्ञा दे सकेगा ;
(ख) त्रुरट जो खडं (क) म े जनर्दद् ह ैईससे जभन्न प्रकृजत की ह ैतो जनदेिक जिकायतकताा को, पन्द्रह ददनो से ऄनजधक
ईस समय जजसे जनदेिक त्रुरट का पररिोधन करन े के जलए ईपयिु समझे, ऄनुज्ञात कर सकेगा ।”।
8. ईि जनयम के जनयम 7 म,ें -
(i) ईपजनयम (1) म,े “कोररयर” िब्द के पश्चात या “संस्ट्थान की िेबसाआट के माध्यम स े आलेक्ट्राजनक मले या
अनलाइ” िब्द ऄतं :स्ट्थाजपत दकए जाएंगे ;
(ii) जहन्द्दी पाठ मे संिोधन की अिश्कता नहीं ह ै;
9. ऄध्यान 3 के िीर्ा म ेंजहन्द्दी पाठ में संिोधन की अिश्कता नहीं ह ै।
10. ईि जनयम के जनयम 9 म,ें -
(i) ईपजनयम (1) म ें“जिजनर्दद् ऄनुसूची के ऄधीन” िब्दो के स्ट्थान पर “ऄनुसूची मे जिजनर्दद्” िब्द रखे जाएंग े;
(ii) ईपजनयम (3), (4), (5), (6), (7) और (8) के स्ट्थान पर जनम्नजलजखत ईपजनयम रखे जाएगं ,े ऄथाात् :-[भाग II—खण् ड 3(i)] भारत का राजपत्र : ऄसाधारण 3
“(3) सजमजत के ईपजनयम (2) में जनर्दद् प्रथम दष्ृ या राय स े सहमत होने के मामल े म े यह ऄध्याय 4 में जिजनर्दद्
रीजत से कायािाही कर सकेगी ।
(4) सजमजत के ईपजनयम (2) म े जनर्दद् प्रथम दष्ृ या राय स े ऄसहमत होने के मामल े म े यह ऄपनी ऄसहमती के
कारणो को जलजखत करत े हुए या तो पररर्द को आसकी ररपोट ा दाजखल करेगी या जिकायत म े ऄजतररि जांच करने के जलए
जनदेिक को सलाह दगे ी, जो ऐसी ऄजतररि जांच करने के पश्चात् ईपजनयम (2) या ईपजनयम (5) म ें जिजनर्दद् रीजत स े
मामले को सजमजत के समि रखगे ा ।
(5) जहां जनदिे क की प्रथम दष्ृ या यह राय ह ै दक सदस्ट्य या फमा ऄनुसूची में जिजनर्दद् दकसी अचरण के जलए
दोर्ी नहीं ह ै ह ै तो िह जिकायत के साथ ऄपनी राय और ऄन्द्य ऄजतररि जिजिज्यां या दस्ट्तािेज और ऄन्द्य सुसंगत
कागजात सजमजत के समज रखगे ा ।
(6) सजमजत के ईपजनयम (5) में जनर्दद् प्रथम दष्ृ या राय स े सहमत होन े के मामल े म े यह ऄपनी सहमती को
जलजखत करते हुए पररर्द को ररपोटा दाजखल करेगी ।
(7) सजमजत के ईपजनयम (5) मे जनर्दद् प्रथम दष्ृ या राय से ऄसहमत होने के मामले म े यह या तो ऄध् याय 4 म े
जिजनर्ददष् ट रीजत से कायािाही करेगी या जिकायत म े ऄजतररक्ट्त जांच करने के जलए जनदेिक को सलाह दगे ी जो ऐसी
ऄजतररि जांच करने के पश्चात ्ईपजनयम (2) या ईपजनयम (5) में जिजनर्दद् रीजत स ेमामल े को सजमजत के समि रखेगा ।
11. ईि जनयम के जनयम 10 में, ईपजनयम (1) म ें “दकसी संदेििाहक” िब्द के स्ट्थान पर “कोररयर या आलेक्ट्राजनक मले ”
िब्दो को रखा जाएगा ;
12. ईि जनयम के जनयम 13 में ईपजनयम (3) में जहन्द्दी पाठ मे संिोधन की अिश्कता नही ह ै ;
13. ईक्ट्त जनयम के जनयम 14 मे, -
(क) ईपजनयम (2) म,ें “जनयम 2 या जनयम 9 के ऄधीन अग े कायािाही करने का जिजनश् चय करती ह”ै िब् दो और
ऄंको के स्ट् थान पर “ऄध् याय 4 मे जिजनर्ददष् ट रीजत स े कायािाही करन े के जलए जनयम 9 के ऄधीन जिजनश् चय करती ह”ै िब् द
और ऄंक रखे जाएगं े ;
(ख) ईपजनयम (4) म ें “समय के भीतर भेजगे ा” िब् द के स्ट्थ ान पर “ईपजनयम (3) के ऄधीन जिजनर्ददष् ट ऐसे समय के
भीतर भेजी जा सकेगी” िब् द रखे जाएंगे ;
(ग) ईपजनयम (5) में “दस्ट् तािेजो सजहत यदद कोइ हो” िब् दो के पश् चात् “ऐसे समय के भीतर जो सजमजत जिजनर्ददष् ट
करे” िब् द ऄंत:स्ट्थ ाजपत दकए जाएंगे ;
(घ) ईपजनयम (6) म ें “ईनसे मौजखक जनिेदन, यदद कोइ हो, भेजने के जलए व् यजक्ट्त गत रूप से ईपजस्ट् थत होन े की
ऄपेिा करेगा” िब्द ो के स्ट् थान पर “ईनसे मौजखक जनिेदन, यदद हो व् यजक्ट्त गत रूप से या िीजडयो-कांफ्रेससग (जब िीजडयो-
कांफ्रेससग सुजिधा संबंजधत ब् यौरे संसूजचत दकए जा रह ेहो) माध् यम स,े ईस मामले म े जहां सजमजत ऐसा जिजनश् चय करती ह,ै
ईपजस्ट् थत होने की ऄपेिा कर सकेगा” िब् द रखे जाएगं े ;
(ङ) ईपजनयम (7) म ेजहन्द्द ी पाठ मे संिोधन की अिश् यकता नही ह ै;
(च) ईपजनयम (9) “जहन्द्द ी पाठ मे संिोधन की अिश् यकता नही ह”ै ;
(छ) ईपजनयम (11) और (12) मे संिोधन की अिश् यकता नही ह”ै ;
(ज) ईपजनयम (19) मे “प्रत् यत्ु तर” िब् द के स्ट्थ ान पर “’जिकायतकताा” िब् द रखा जाएगा ।
14. ईपजनयम 15 म ेजहन्द्द ी पाठ मे ईक्ट्त जनयम के संिोधन की अिश् यकता नही ह ै।
15. ईक्ट्त जनयम मे जनयम 18 को जनयम 19 के रूप के रूप म े संख् यादकत दकया जाएगा और आस प्रकार से पुन: संख् यादकत
जनयम 19 से पहल े जनम्न जलजखत जनयम ऄंत:स्ट्थ ाजपत दकया जाएगा, ऄथाता ् :-
“18. बठै क और सनु िाइ म े सहभाजगता और ईपजस्ट्थ जत – सजमजत स्ट् िप्रेरणा स े या संबंजधत व् यजष्ट के ऄनुरोध पर
ऐसे व् यजष्ट और ऐस े ऄन्द् य व् यजष्ट यो जजन से आस संबंध म े पररर्द ् द्वारा ऄनुमोददत और संस्ट्थ ान की िेबसाआट पर प्रकाजित
मागादिी जसद्धांतो के ऄधीन रहते हुए बैठक मे या सुनिाइ मे भाग लेन े या ईसमे ईपजस्ट् थत होने के जलए ऄपेिा की जाती ह ै4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
या ईसके द्वारा ईन्द् ह े ऄनुज्ञात दकया जाता ह,ै को ऄजधसूजचत करने के पश् चात ् जिजडयो- कांफ्रेससग के माध् यम से बैठक या
सुनिाइ मे सहभाजगता या ईपजस्ट् थत को संचाजलत करा सकेगी या ऄनुज्ञात कर सकेगी । “ ।
परन्द् त ु जिजडयो कांफ्रेससग द्वारा ऐसी सहभाजगता या ईपजस्ट् थजत की ररकाडिंगडग दस िर् ा की ऄिजध के जलए रखी
जाएगी :
परन्द् तु यह और दक यदद ऐसी जिजडयो कांफ्रेससग आन जनयमो के ऄधीन ऄपेजित जिकायत के संबंध में ह ै और ऐसी
जांच दकसी न्द् यायालय प्रदिया की जिर्यिस्ट् तु ह ै या रह चुकी ह ै तो जिजडयो कांफ्रेससग की ररकाडिंगडग ऐसी प्रदिया के जनष्क र्ा
की तारीख के पश् चात ् तीन िर्ा की ऄिजध का ऄिसान होने या दस िर् ा तक आनम े स े जो भी पश् चात्िती हो, रखी
जाएगी । ; ।
16. ईक्ट्त जनयम के आस प्रकार पुन: संख् यादकत जनयम 19 म,े जहन्द्द ी पाठ म ेसंिोधन की अिश्य कता नही ह ै।
17. ईक्ट्त जनयम के संल्न प्ररूप म,े -
(i) “ईपाबंध” िब्द का लोप दकया जाएगा ;
(ii) िम संख् या 3 में “ऄंजतम पता” िब् द के पश् चात् “और इ-मेल पता” िब् द ऄंत:स्ट्थ ाजपत दकए जाएंगे ;
(iii) िम संख् या 4 मे “िृजत् तक पता” िब् दों के पश् चात ्“और इ-मेल पता” िब् द ऄंत:स्ट्थ ाजपत दकए जाएंग;े
[फा.सं. एम-18013/01/2021-अइ एन एस I]
सौरभ जमश्रा, संयुक्ट् त सजचि
रटप्प ण : मलू जनयम, सख्ं याक सा.का.जन. 495 (ऄ) तारीख, 2 जलु ाइ, 2008 द्वारा भारत के राजपत्र, ऄसाधारण, भाग II,
खंड 3, ईपखडं (i) में प्रकाजित गए थे ।
MINISTRY OF FINANCE
(Department of Financial Services)
NOTIFICATION
New Delhi, the 18th June, 2021
G.S.R. 417(E).—In exercise of the powers conferred by clauses (c) and (d) of sub-section (2) of
section 55 of the Actuaries Act, 2006 (35 of 2006), the Central Government hereby makes the following
rules to amend the Actuaries (Procedure for Enquiry of Professional and Other Misconduct) Rules, 2008,
namely:—
1. (1) These rules may be called the Actuaries (Procedure for Inquiry of Professional and Other
Misconduct) Amendment Rules, 2021.
(2) They shall come into force on the date of their publication in the Official Gazette.
2. In the Actuaries (Procedure for Enquiry of Professional and Other Misconduct) Rules, 2008 (hereinafter
referred to as the said rules), in rule 1, in sub-rule (1), for the word “Enquiry”, the word “Inquiry” shall be
substituted.
3. In rule 2 of the said rules, in sub-rule (1),—
(i) for clause (f), the following clause shall be substituted, namely:—
„(f) “Form” means the Form appended to these rules;‟;
(ii) for clause (j), the following clause shall be substituted, namely:—
„(j) “professional address” means, in relation to a Member, the address entered in the register
maintained by the Institute under the Act;‟;
(iii) in clause (l), for the words “Schedule annexed”, the words “the Schedule” shall be substituted;
(iv) after clause (l), the following clause shall be inserted, namely:—[भाग II—खण् ड 3(i)] भारत का राजपत्र : ऄसाधारण 5
„(m) “video-conferencing” means audio-visual electronic communication facility which enables
individuals who are required to or may participate in or attend any meeting or hearings under
these rules to communicate concurrently with other participants or attendees, without any
intermediary, and to participate effectively in such meeting or hearings, and which is capable of
recognising such participation and attendance, recording the same along with date and time, and
storing and retrieving such recording.‟.
4. In Chapter II of the said rules, in the heading, for the word “ENQUIRY”, the word “INQUIRY” shall be
substituted.
5. In rule 3 of the said rules,—
(i) in sub-rule (1), after the words “post or courier”, the words, “or made by way of electronic mail or
online through the website of the Institute” shall be inserted;
(ii) in sub-rule (2), for the words “sent by post or courier under”, the words “referred to” shall be
substituted;
(iii) in sub-rule (5), after the words “a company”, the words “such complaint” shall be inserted;
(iv) in sub-rule (7), the words “upon receipt of complaint in person or by post under a certificate of
posting as the case may be” shall be omitted.
6. In rule 4 of the said rules,—
(i) in sub-rule (1), the words, brackets and figures, “through regulations(ICAI charge Rs. 100/-)” shall
be omitted;
(ii) in sub-rule (2), after the words, “bank in India”, the words, “or electronically” shall be inserted;
7. In rule 5 of the said rules,—
(i) in sub-rule (4), in clause (a), for the word “respondent”, the word “Defendant” shall be substituted;
(ii) for sub-rule (5), the following sub-rule shall be substituted, namely:—
“(5) If, on scrutiny, a complaint is found to be defective, and—
(a) the defect is formal in nature, the Director may allow the complainant to rectify the
same in the presence of the Director;
(b) the defect is of a nature other than that referred to in clause (a), the Director may allow
the complainant such time not exceeding fifteen days as the Director may deem fit for
rectifying the defect.”.
8. In rule 7 of the said rules,—
(i) in sub-rule (1), after the words “courier”, the words “or by way of electronic mail or online
through the website of the Institute” shall be inserted;
(ii) in sub-rule (2), in clause (b), for the word “enquiry”, the word “inquiry”, shall be substituted.
9. In Chapter III of the said rules, in the heading, for the word “ENQUIRY”, the word “INQUIRY” shall
be substituted.
10. In rule 9 of the said rules,—
(i) in sub-rule (1), for the words “under the as specified Schedule”, the words “specified in the
Schedule” shall be substituted;
(ii)for sub-rules (3), (4), (5), (6), (7) and (8), the following sub-rules shall be substituted, namely:—
“(3) In case the Committee agrees with the prima facie opinion referred to in sub-rule (2), it
may proceed in the manner specified in Chapter IV.
(4) In case the Committee disagrees with the prima facie opinion referred to in sub-rule (2), it
shall either submit its report to the Council while recording the reasons for its disagreement
or advise the Director to make further inquiry into the complaint, who shall, after making6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
such further inquiry, place the matter before the Committee in the manner specified in sub-
rule (2) or sub-rule (5).
(5) Where the Director is of the prima facie opinion that the member or the firm is not guilty
of any conduct specified in the Schedule, he shall place his opinion along with the complaint
and other additional particulars or documents and all other relevant papers before the
Committee.
(6) In case the Committee agrees with the prima facie opinion referred to in sub-rule (5), it
shall submit its report to the Council recording its agreement.
(7) In case the Committee disagrees with the prima facie opinion referred to in sub-rule (5), it
shall either proceed in the manner specified in Chapter IV or advise the Director to make
further inquiry into the complaint, who shall, after making such further inquiry, place the
matter before the Committee in the manner specified in sub-rule (2) or sub-rule (5).”.
11. In rule 10 of the said rules, in sub-rule (1), for the words “or a messenger”, the words, “or courier or
electronic mail” shall be substituted.
12. In rule 13 of the said rules, in sub-rule (3), for the word, “dully”, the word “duly” shall be substituted.
13. In rule 14 of the said rules,—
(a) in sub-rule (2), for the words and figures “decide to proceed further under rule 2 or rule 9”, the
words and figures “decides under rule 9 to proceed in the manner specified in Chapter IV” shall
be substituted;
(b) in sub-rule (4), for the words “the time”, the words “such time as may be specified under sub-rule
(3)” shall be substituted;
(c) in sub-rule (5), after the words “documents, if any”, the words “within such time as the Committee
may specify” shall be inserted;
(d) in sub-rule (6), for the words “in person to make oral submission, if any”, the words “to make oral
submission, if any, in person, or in case the Committee so decides, through video-conferencing
(while communicating the details regarding the video-conferencing facility)” shall be substituted;
(e) in sub-rule (7), for the word “precede”, the word “proceed” shall be substituted;
(f) in sub-rule (9), for the words “take submit the”, the words “submit its” shall be substituted;
(g) in sub-rules (11) and (12), for the word “complaint”, the word “complainant” shall be substituted;
(h) in sub-rule (19), for the word “respondent”, the word “complainant” shall be substituted.
14. In rule 15 of the said rules, in sub-rule (2), for the word “enquiry”, occurring at both places, the word
“inquiry”, shall be substituted.
15. In the said rules, rule 18 shall be numbered as rule 19 and before rule 19 as so renumbered, the
following rule shall be inserted, namely:—
“18. Participation or attendance in meeting or hearing.—The Committee may, on its own or on
the request of the individual concerned, conduct or allow participation or attendance in a meeting or
hearing through video-conference, after notifying such individual and such other individuals who
are required or permitted by the Committee to participate in or attend the meeting or hearing,
subject to guidelines approved by the Council in this regard and published on the website of the
Institute:
Provided that any recording made of such participation or attendance by video-conference
shall be retained for a period of ten years:
Provided further that if such video-conference is in respect of a complaint inquired into
under these rules and such inquiry is or has been the subject matter of any court proceedings, the
recording of the video-conference shall be retained till the expiry of a period of three years beyond
the date of conclusion of such proceedings, or ten years, whichever is later.”.[भाग II—खण् ड 3(i)] भारत का राजपत्र : ऄसाधारण 7
16. In rule 19 as so renumbered of the said rules, for the word “enquiry”, the word “inquiry” shall be
substituted.
17. In the Form appended to the said rules,—
(i) the word “ANNEXURE” shall be omitted;
(ii) in serial number 3, after the words “Latest address”, the words “and email address”, shall be
inserted;
(iii) in serial number 4, after the words “professional address”, the words “and email address”
shall be inserted.
[F. No. M-18013 /01/2021-Ins.I]
SAURABH MISHRA, Jt. Secy.
Note: The principal rules were published in the Gazette of India, Extraordinary, Part II, Section 3,
Sub-section (i), vide number G.S.R. 495(E), dated the 2nd July, 2008.
Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064
and Published by the Controller of Publications, Delhi-110054.