4xoje_qdo-3300492

2187 · GI2014

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11 ·

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1 · Short title and commencement: _ (1) These rules may bo called the Pension Fund Regulatory and Development Authority (Appeal to Securities Appellate Tribunal) Rules, 2014. (2) They shall come into force on the date of their publicetion in the Ofticial Gazette: 2_ Definitions. (I) In these rules, unless the context otherwlse requires; (a) Act" means the Pension Fund Regulatory and Development Authority Act, 2013 (23 of 2013); (b) "adjudicating officer" means an officer appointed under sub- section ( I) of Section 30 of the Act; (c) "appeal" means an appeal preferred under sub-section (I) of Section 36 of the Act; (d) Appellate Tribunal" means the Securities Appellate Tribunal constituted under section 1S K of the Securities and Exchange Board of India Act,1992 (15 of 1992); (e) "Form" means the Form appended to these rules; "Member" means the Member of the Securities Appellate Tribunal appointed under section ISL of the Securities and Exchange Board of India Act 1992 (15 of 1992); (g) "party" means a person who prefers an appeal before the Appellate Tribunal and includes Respondent; Presiding Officer" mcans the Presiding Officer of the Securities Appellate Tribunel appointed under sectionISE of the Securities and Exchange Board of India Act,1992 (15 of 1992; "Registrar Tieais ile Regisirar of an Appeiiate Tribunai and inciudes any otticer ot such Appellate Tribunal to whom the powers and functions of the Registrars may be assigned; (j) "registry" means the registry of the Appellate Tribunal; "Tules" means the rules made under the Acl (2) Words and expressions used and not_defined in these rules but defined in Pension Fund Regulatory and Development Act 2013 (23 of 2013) shall have the meanings respectively essigned t0 them in that Act. 3. Ltmitation (or filing en appeal -~Every appeal shall be filed within period of forty five days - from the date on which & copy of the order against which the appeal Is filed, Is received by thc appellent: Provided that the Appellate Tribunel may entertain an appeel after the expiry %f (he gaid period of forty five days ifit is satisfied that there was sufficient cause for not filing it within that period, Form and procedure o appeel- (1) A memorandum of appeal shall be presented in the Form by any aggrieved person in the registry of the Appellate Tribunal within whose jurisdiction his cese falls or shall be sent by registered post addressed t0 the Registrer. (2) A memorandum of appeal sent by post shall be dcemed to have been presented in the registry On the day it was received in the registry: 5. Sittings of Appellate Tribunal _(13 The Appellate Tribunal shall hold its sitting either at place where its office is situated or at such other place falling " within its jurisdiction, &s it may deem fit: (2) In the temporary absence of the Presiding Officer; the Central Government may authorise one ofthe two other Members to preside over the sitting of the Tribunal either &t a place where its office is situated or atsuch other place falling within its jurisdiction,as it may deer fit; Language ot Appellate Trlbunal - (I)The proceedings of the Appellate Tribunal shall be conducted in English or Hindi, (2) No appeal, application, representstion, document or Other matters contained in any language other than English or Hindi shall be eccepted by Appellate Tribunal, unless the same Is accompanied by a true copy of translation thereof in English or Hindi. 7. Appeal to be In writing (I) Every appeal, application, reply, representation or any document filed before the Appellate Tribunal shall be typewritten; cyclostyled or printed neatly and legibly on one side of go0d quality paper of foolscap size in double space and separate sheets shall be stitched together and every page shall be consecutively numberedand filed in the manner provided in sub-tule (2). (2) The eppeal under sub-rule (1) shall be presented in five scts in @ paper book along with &n empty file size envelope bearing fuil address of the respondent and in case the respondents are more than one, then sufficient number of 2187 4714-3

9M · II-@we 3(1) ]

12 · Plural remedies - A memorandum of appeal shall not seek relief or reliefs therein egainst more than One order unless the reliefs prayed for are consequential 13. Notice of appeal to the respondent ~A copy of the memorandum of appeal and paper book shall be served by the Registrar on the respondent as soon &s they are registered in the registry, by hand delivery, or by registered post Ot' speed post, 14. Flling of reply to the appeal and Other documents by the respondent (1) The respondent may file five complete sets containing the reply to the appeal along with documents in a paper lxok form with the registry within one month of the service of the notice on him of the filing of the memorandum of appeel. Every reply, application or written representation filed before the Appellate Tribunal shall be verified in the manner 'provided for; in the Form; (3) A copy of every application, reply, document or written material filed by the respondent before the Appellate Tribunal shall be forthwith served on the appellant; by the respondent; (4) The Appeliate Tribunat may, in its discretion, on application by the respondent allow the filing of reply referred to in sub-rule ( I) after the expiry of the period referred to therein 15. Date 0f hearing to be notified. ~The Appellate Tribunal shall notify the parties the date of hearing of the appeal in such manner as the Presiding Officer may by general or special order direct. 16. Hearing of appeal -~(I)On the day fixed or o any Other day to which the hearing may be adjoumed, the appellant shall be heard in support of the appeal and the Securities Appellate Tribunal shall, then, if necessary hear the Authority or its authorised representative against the appeal, and in such case the appellant shall be entitled to reply: During ~ the course of the hearing of appeal the written arguments could be supplemented by time-bound oral arguments: Provided that in case of temporary ebsence of the Presiding Officer or of the Member authorised by the Centrel Government under sub-rule (2) of rule $, the Presiding Officer can authorise the other Member present on that day to hear the Authority or authorised representative against ~ the appeal. (2) In case the appellant does not appear in person or through an authorised representative when the appeal is called for hearing, the Securities Appellate Tribunal may dispose of the appeal on merits: Provided that where an appeal has been disposed of as provided above and the appella nt appears afterwards and satisfies the Securities Appellate Tribunal that there was sufficient cause for his non-appearance When the appeal was called for hearing the Securities Appellate Tribunal shall make an order setting aside the ex-parte order and restore the appeal_ 17. Dress regulations for the Presiding Officer; Members and for (be representatives of (he parties. (1) The dress of the Presiding Officer shall be white Or striped or black pant with black coat over white shirt and band or buttoned Up black cat and band The dress for the two other Members shall be white Or striped or black pant with black coat over white shirt and black tie or buttoned up black coat: In the case of female Presiding Officer or a Member; the dress shall be black coat over white saree. (2) Every authorised representative, other than a relative or regular employee of the party shall appear before the Appellate Tribunal in his professional dress if any, and if there is no such dress; & male; in & suit or buttoned-up coat over pant Or national dress that is a long buttoned-up coat on dhoti or churridar pyjama, and a female, in a coat over white or any other sober coloured saree or in any other sober dress (3) All other persons appearing before the Appellate Tribunal shall be properly dressed. 18. Order to be signed and dated. - (I) Every order of the Appellate Tribunal shall be signed and dated by the Presiding Officer and the two other Members. (2) The Presiding Officer shall have powers t0 pass interim orders or injunctions, subject t0 reasons to be recorded in writing; which it considers necessary in the interest ofjustice. (3) Orders shall be pronounced in the sitting of the Appellate Tribunal by (he Presiding Officer or in case of the temporary absence of the Presiding Officer, by the Member authorised under sub-rule (2) of rule 5_ 19. Publication of orders -~The orders of the Appellate Tribunal, 4s are deemed fit for publication in any authoritative report or the press may be released for such publication on such terms and conditions as (he Presiding Officer may Jay = down_ 2187-51716-4

20 · Communication' of orders ~A certified copy 0f every order passed by the Appellate Tribunal shall be communicated to the Authority, the adjudicating officer and t0 the perties, as the case may be. 21. Orders and directions In certaln cases.-_The Appellete Tribunal may make, such orders Or give such directions as may be necessary or expedient t0 give effect to its orders or to prevent abuse of its process Or to secure the ends ofjustice. 22. Fee for inspection of records and obtalning copies thereot (I)A fee of rupees twenty, for every hour or part thereof of inspection subject to : minimum of rupees one hundred shall be charged for inspecting the records of & pending appeal by 4 party thereto. (2) A fee of rupees five for a folio or part thereof not involving typing and a fee of rupees ten for & folio Or part thereof involving typing of statement and figures shall be charged for providing copies of the records of an appeal, io party thereto. 23. Working hours of (be Appellete Tribunal (I)The office of the Appellate Tribunal shall observe such public and other holidays as observed by the offices of the Centrel Government in the locality where the office of the Appellate Tribunal is situated. (2) The Appellate Tribunal shall, subject to any other order made by the Presiding Officer; remain Open on the working days from 10 AM to 6.00 PM; but no work, unless of an urgent nature, shall be admitted after 4.30 PM on any working day. (3) The sitting hours of the Appellate Tribunal shall ordinarily be from 10.30 AM to 1.00 PM and 2.00 PM to 5.00 PM, subject to any order made by the Presiding Officer. 24. Holiday--Where the last day - for doing any act falls on a day = on which the office of the Appellate Tribunal is closed and by reason thereof the act cannot be done on that day, it may be done On the next day on which that office opens: 25. Functions of the Reglstrar. W)The Registrar shall discharge his functions under the general superintendence of the Presiding Officer or in the temporary absence of the Presiding Officer , the Memnber authorised under sub-rule (2) of rule $ and he shall also discharge such Other functions a8 are assigned to him under these rules by the Presiding Officer .or in the temporary absence of the Presiding Officer, by the Member authorised under sub-rule (2) of rule $,by a separate order in writing: (2) The Registrar shall have the custody of lhe records of the Appellate Tribunal. (3) The official seal of the Appellate Tribunal shall be kept in the custody of the Registrar. (4) Subject to any general or speciel direction by the Presiding Officer or in the temporary absence of the Presiding Officer, by the Member authorised under sub-rule (2) of rule $, the official seal of the Appellate Tribunal shall not be affixed to any order, summons Or other process, save under the authority in writing from the Registrar. (5) The official seal of the Appellate Tribunal shall not be affixed to any certified copy issued by the Appellate Tribunal, save under the authority in writing of the Registrar 26. Additional functions and duties of Registrar.- (1) In addition to the functions and duties assi_ igned in the rules, the Registrer shall have the following functions and duties subject to any general or special orders of the Presiding Officer Or in the temporary absencc of the Presiding Officer, by the Member authorised under sub-rule (2) of rule 5, namely: - (a) to receive all appeals, replies and other docurents; (b) to decide all questions arising out of the scrutiny ofthe appeals before they are registered; (c) to require any appeal presented to the Appellate Tribunal to be amended in accordance with the rules; (d) subject t0 the directions of the Presiding Officer, or in his temporary absence, the Member authorised under sub-rule (2) of rule 5, to fix date of 'hearing of the appeals or other proceedings and issue notices thereon; (e) to direct any formal amendment of records; to order grant of copies of documents to parties to proceedings; (g} to grant leave to inspect the record of the Appellate Tribunal;

4 · II-wv 3(i) ]

4d · 4 7v9 37741M