Appearances & Art of Advocacy – CS Professional Study Material

Chapter 11 Appearances & Art of Advocacy – CS Professional Drafting, Pleadings and Appearances Notes is designed strictly as per the latest syllabus and exam pattern.

Appearances & Art of Advocacy – Drafting, Pleadings and Appearances Study Material

Question 1.
Write a note on the following :
Amendment of the pleadings with reference to the general rule ‘no pleadings, no evidence’ (June 2012, 4 marks)
Answer:
Amendment to the pleadings with reference to the general rule no pleading no evidence.
(a) When the plaintiff makes certain allegations, the defendant is supposed to disclose his defence to each and every allegation specifically and state true facts to the Court and once the facts are stated by both the parties. The Court has to frame issues and ask the parties to lead evidence.

(b) It is settled by law that the parties can lead evidence limited to their pleading and parties while leading evidence cannot be travel beyond pleading.

(c) The law provides a procedure for amendment of the pleading and if there are any new facts which the party wanted to bring on record, the party can amend pleading but without amendment of pleading, a party cannot be allowed to lead evidence beyond pleading.

Appearances & Art of Advocacy – CS Professional Study Material

Question 2.
Write a note on the following:
Court craft. (Dec 2012, 4 marks)
Answer:
Court Craft
Court Craft / Advocacy is learned when a professional enter the practicing side of the profession. It is necessary for them to learn art of advocacy or Court Craft for effective delivery of results to their clients when they act as an authorized representative before any tribunal or quasi – judicial body. Technical and legal knowledge about the area in which Company Secretaries are acting is essential. Better their knowledge, the better their advocacy skills and the greater their impact. Good advocacy or negotiating skills will not compensate for lack of appropriate knowledge.

Appearances & Art of Advocacy – CS Professional Study Material

Question 3.
Write a note on the following:
Rule of adverse inference (June 2013, 4 marks)
Answer:
Rule of Adverse inference :

  • Its incumbent upon a party in possession of best evidence on the issue involved to produce such evidence and if such party fails to produce the same, an adverse inference is liable to be drawn against such party.
  • In the case of Ms. Shefaii Bhargave v. Indraprastha Appollo Hospital & Anr. 2003 NCJ 787 (NC), the Court had held that drawing an adverse inference against a party the Court would be justified in its action.
  • Again, it could be equally incumbent upon a party to produce evidence of some expert where the issue involved is complex or difficult one, as for instance matters pertaining to Engineering, Medical Technology, etc.
  • Since the Court cannot constitute itself into an Expert body and contradict the claim/proposition on record unless there is something contrary on record by way of expert opinion or there is any significantly acclaimed publication on which reliance could be placed by the Court.

Appearances & Art of Advocacy – CS Professional Study Material

Question 4.
Write a note on the following.
Arguments on merits (Dec 2013, 4 marks)
Answer:
Arguments on merits
(a) Such arguments as related to the facts pleaded by the parties are termed as arguments on merits.
(b) A lawyer/Authorized representative should carefully point out the pleadings of the parties and the relevant evidence in support thereof, lead by the parties; both oral as well as documentary.
(c) Where an agreement contract of service is pleaded and there is no evidence either oral or documentary on record in support of such an agreement/contract.
(d) It should be specifically point out that the opponent has failed to prove/establish that such an agreement/contract actually exists or that the same had actually been executed at all.

Appearances & Art of Advocacy – CS Professional Study Material

Question 5.
Write a note on the following:
Right to legal representation under the Companies Act, 2013. (Dec 2014, 4 marks)
Answer:
RIGHT TO LEGAL REPRESENTATION Under the Companies Act
Section 432 of the Companies Act, 2013 dealing with right to legal representation envisages that the applicant or the appellant may either appear in person or authorise one or more Chartered Accountants or Company Secretaries or Cost Accountants or Legal Practitioners or any Officer to present his or its case before the Tribunal or the Appellate Tribunal, as the case may be.

Question 6.
Write notes on the following:
Provisions relating to appeal before the Competition Appellate Tribunal under the Competition Act, 2002 , (June 2016, 4 marks)
Answer:
Appeal to Appellate Tribunal As per Section 53B of the Act,-
1. The Central Government or the State Government or a local authority or enterprise or any person, aggrieved by any direction, decision or order referred to in clause (a) of Section 53A may prefer an appeal to the Appellate Tribunal.

2. Every appeal under sub-section (1) shall be filed within a period of sixty days from the date on which a copy of the direction or decision or order made by the Commission is received by the Central Government or the State Government or a local authority or enterprise or any person referred to in that sub-section and it shall be in such form and be accompanied by such fee as may be prescribed:

Provided that the Appellate Tribunal may entertain ah appeal after the expiry of the said period of sixty days if it is satisfied that there was sufficient cause for not filing it within that period.

3. On receipt of an appeal under sub-section (1), the Appellate Tribunal may, after giving the parties to the appeal, an opportunity of being heard, pass such orders thereon as it thinks fit, confirming, modifying or setting aside the direction, decision or order appealed against.

4. The Appellate Tribunal shall send a copy of every order made by it to the Commission and the parties to the appeal.

5. The appeal filed before the Appellate Tribunal under sub-section (1) shall be dealt with by it as expeditiously as possible and endeavour shall be made by it to dispose of the appeal within six months from the date of receipt of the appeal.

Appearances & Art of Advocacy – CS Professional Study Material

Question 7.
Write notes on the following: (Dec 2016)
(i) Argument on merits (4 marks)
(ii) Appellate authorities under the Income-tax Act, 1961 (4 marks)
(iii) Affidavit in evidence. (4 marks)
Answer:
(i) Arguments on Merits
The word merits refers to the substance of a legal dispute and not the technicalities that can affect a law suit. A judgment on the merits is the final resolution of a particular dispute. Then the judgment is rendered based upon the essential facts of the case, rather than on any technical or procedural rule, such as the failure of proper service. Such arguments as relate to the facts pleaded by the parties are termed as arguments on merits.

While addressing arguments on merits, a lawyer/authorized representative should carefully point out the pleadings of the parties and the relevant evidence in support thereof, lead by the parties, both oral as well as documentary. A lawyer/ authorized representative should ensure that all or any contradiction in the pleadings of the opponent and the evidence in support of such pleadings are duly pointed out while submitting his/her arguments.

Thus, where an agreement/contract of service is pleaded and there is no evidence either oral or documentary on record in support of such an agreement/contract, it should be specifically pointed out that the opponent has failed to prove/establish that such an agreement/contract actually exists or that the same had actually been executed at all.

Similarly, where notice is alleged to have been served prior to filing of the case and there is no documentary evidence like postal receipt/courier receipt placed on record by the opponent, it should be pointed out that the opponent has failed to establish that the notice had actually been served. Furthermore, the relevant facts and/or contradictions extracted from the opponent or his/her witness during the course of cross-examination and relating to the factual issues involved in the matter, should be highlighted so as to draw attention of the Court/Tribunal towards such facts/contradictions.

Appearances & Art of Advocacy – CS Professional Study Material

(ii) Appellate Authorities under the Income-Tax Act, 1961
Appeal against the order of the Income-Tax Officer lies with the Appellate Assistant Commissioner or the Commissioner (Appeals) or Commissioner of Income-tax. Appeal against the order of the Appellate Assistant Commissioner or the Commissioner (Appeals) can be preferred by the assessee or the income-tax department and such appeal lies with the Appellate Tribunal.

Appeal against the order of the Appellate Tribunal by way of reference by the Tribunal can also be preferred by the assessee or the income-tax department and such appeal lies to the High Court. The Order of the High Court on the reference can be challenged either by the assessee or by the income- tax department by preferring an appeal to the Supreme Court which is the final appellate authority.

(iii) The following must be kept in mind while preparing the affidavit-in¬evidence by the parties:
(i) The best evidence is that of a person who was personally involved in the whole transaction. In case, that person is not available for any reason, then any other person who has joined in his place to make deposition by way of his affidavit.

(ii) In case, the petitioner himself was involved in the execution of a contract, he should file affidavit-in-evidence.

(iii) The allegations or charges or grounds relating to facts should be re-produced duly supported by documentary evidence.

(iv) In case, the point or issue pertains to engineering, medical, technology, science or other complex or difficult issues, then the evidence of expert is to be filed in the form of his Affidavit.

(v) Besides the leading evidence on the points raised by the petitioner or by the opposite party in his written statement/reply, if possible, the party who is filing the affidavit-in-evidence should also file documents, papers or books or registers to demolish the defence or case set up by the opposite party.

(vi) It is also permissible for any party to bring any outside witness (other than the expert witness) in support of his case if the facts and circumstances of the case so warrant and permitted by the Court/Tribunal.

(vii) At the time of tendering affidavit-in-evidence, the party must bring alongwith it either the original of papers, documents, books, registers relied upon by it or bring with it the carbon copy of the same.

Appearances & Art of Advocacy – CS Professional Study Material

Question 8.
Write notes on the following : (Dec 2017)
(i) Plaint structure
(ii) Rules of Adverse Inference (4 marks each)
Answer:
(i) Plaint Structure: A suit is instituted by filing a plaint, which is the first’ pleading in a civil suit. It is a statement of the plaintiff’s claim and its object is simply to state the grounds upon, and the relief in respect of which he seeks the assistance of the court.

Order VII of the Civil Procedure Code,1908 deals with plaint. As per Order VII, R.1 CPC, every plaint must contain the following things:
(a) the name of the Court in which the suit is brought;
(b) the name, description and place of residence of the plaintiff;
(c) the name, description and place of residence of the defendant, so far as they can be ascertained;
(d) where the plaintiff or the defendant is a minor or a person of unsound mind, a statement to that effect;
(e) the facts constituting the cause of action and when it arose;
(f) the facts showing that the Court has jurisdiction;
(g) the relief which the plaintiff claims;
(h) where the plaintiff has allowed a set-off or relinquished a portion of his claim, the amount so allowed or relinquished; and
(i) a statement of the value of the subject-matter of the suit for the purposes of jurisdiction and of court fees, so far as the case admits.

Appearances & Art of Advocacy – CS Professional Study Material

(ii) Rule of Adverse inference :

  • Its incumbent upon a party in possession of best evidence on the issue involved to produce such evidence and if such party fails to produce the same, an adverse inference is liable to be drawn against such party.
  • In the case of Ms. Shefali Bhargave v. Indraprastha Appollo Hospital & Anr. 2003 NCJ 787 (NC), the Court had held that drawing an adverse inference against a party the Court would be justified in its action.
  • Again, it could be equally incumbent upon a party .to produce evidence of some expert where the issue involved is complex or difficult one, as for instance matters pertaining to Engineering, Medical Technology, etc.
  • Since the Court cannot constitute itself into an Expert body and contradict the claim/proposition on record unless there is something contrary on record by way of expert opinion or there is any significantly acclaimed publication on which reliance could be placed by the Court.

Question 9.
Write note on the following :
Court craft (June 2018, 4 marks)

Appearances & Art of Advocacy – CS Professional Study Material

Question 10.
Write note on the following:
Advocacy Tips. (Dec 2018, 4 marks)
Answer:
Advocacy tips are as under:

  1. Clarity: The judge’s time is limited, so make the most of it.
  2. Credibility: The judge needs to believe that what you are saying is true and that your are on the right side.
  3. Demeanour: We don’t I have a phrase “hearing is believing”. The human animal which includes the human judge, is far more a video than an audio, Most of the information is collated through our eyesight.
  4. Be likeable : One should possess the ability to create more likeability in the minds of judge/ (s) so that they symphatise/ emphatise with you.
  5. Psychology : Since advocacy entails convincing the judge with your argument or version of truth so it is imperative to comprehend the minds of the judges.
  6. Eye contact: While pleading, maintain eye contact with your judge,
  7. Voice modulation: Voice modulation is equally important. Modulating your voice allows you to emphasize the points you want to emphasize. Be very careful about raising your voice. Anger in advocacy to be used tactfully and should be used rarely.
    Notwithstanding, efforts should be towards controlling the anger.
  8. Develop listening skills.
  9. Entertain your judge. Humour will often bail you out of a tough spot.

Appearances & Art of Advocacy – CS Professional Study Material

Question 11.
Write notes on the following as desired :
Name forums where a company secretary in practice can appear as authorized representative. (Dec 2019, 4 marks)
Answer:
The Company Secretaries in practice are rendering value added services to corporate sector as independent professionals. Apart from this a Company Secretary can appear as an authorized representative before NCLT, Competition Commission of India (CCI), Securities Appellate Tribunal (SAT), Telecom Regulatory Authority of India (TRAI) and various other Tribunals.

Under the Companies Act
Section 432 of the Companies Act, 2013 dealing with right to legal representation envisages that the applicant or the appellant may either appear in person or authorise one or more Chartered Accountants or Company Secretaries or Cost Accountants or legal practitioners or any officer to present his or its case before the Tribunal or the Appellate Tribunal, as the case may be.

Under the TRAI Act
Section 17 of the Telecom Regulatory Authority of India (TRAI) Act, 1997 authorizes Company Secretaries to present his or its case before the Appellate Tribunal.

Under the SEBI Act
Securities and Exchange Board of India (SEBI) Act, 1992 under Section 15V permits the appellant either to appear in person or authorise one or more of practising Company Secretaries, Chartered Accountants, Cost Accountants or Legal practitioners or any of its officers to present his or its case before the Securities Appellate Tribunals.

Under the Competition Act .
Sections 35 of the Competition Act, 2002 authorises Company Secretaries in practice to appear before Competition Commission of India.

Under Real Estate (Regulation and Development) Act, 2016
As per Section 56 of the Real Estate (Regulation and Development) Act, 2016 a Company Secretary holding certificate of practice can appear before Appellate Tribunal or a Regulatory Authority or Adjudicating Officer on behalf of applicant or appellant as the case may be.

Appearances & Art of Advocacy – CS Professional Study Material

Question 12.
Distinguish between the following:
‘Plaint’ and ‘miscellaneous application’ in civil courts. (June 2013, 3 marks)
Answer :
Plaint & Miscellaneous Application in Civil Courts
‘Plaint’ has not been formally defined in Section 2 of Code of Civil Procedure, 1908 but from Order VI & VII, it is clear that it is a concise statement with affidavit of material facts on which claim is founded. Its language and form are technical and duly regulated. It is also an old law as most of the plaints pertain to enforcement of civil rights whether spelled in statutes or by legal case law.

Miscellaneous Civil Applications (MCAs) on the contrary, are formal requests to Court for specified reliefs/orders based on facts and circumstances mentioned therein. Instances are adjournment applications for appearances without Power of Attorney/Vakalatnama, in case of Standing Counsels of Government etc., or for inspection of Vakalatnama record etc.

Appearances & Art of Advocacy – CS Professional Study Material

Question 13.
Explain the following :
Provisions relating to appeal to the Securities Appellate Tribunal under the Securities and Exchange Board of India Act, 1992. (Dec 2012, 4 marks)
Answer:
(a) Section 15 T of the SEBI Act, 1992 provides that any person aggrieved by an order of SEBI made under this Act or the Rules or Regulations made thereunder or by an order made by an adjudicating officer under this Act, may prefer an appeal to the Securities Appellate Tribunal having jurisdiction in the matter.

(b) No appeal shall lie to the SAT from an order made by SEBI; by an Adjudicating Officer, with the Consent of the parties.

(c) Every appeal to SAT shall be filed within a period of 45 days from the date on which a copy of the order made by SEBI or the Adjudicating Officer is received by him.

(d) It shall be in such form and be accompanied by such fees as may be prescribed. Provided SAT may condone the delay if satisfied that there was sufficient cause.

(e) On receipt of an appeal, the SAT, may after giving the parties to appeal, an opportunity of being heard, pass such orders thereon as it thinks fit, confirming, modifying or setting aside the order appealed against.

(f) The SAT shall send a copy of every order made by it to SEBI and the parties to appeal qnd the concerned adjudicating officer. The appeal filed before the SAT shall be dealt with by it as expeditiously as possible and endeavour shall be made by it to dispose of the appeal finally within six months from the date of receipt of the appeal.

Appearances & Art of Advocacy – CS Professional Study Material

Question 14.
What are the advocacy tips to be borne in mind by a Practicing Company Secretary while appearing before a tribunal? (Dec 2012, 10 marks)
Answer:
Advocacy tips to professionals :
Company Secretaries should be able to formulate and present a coherent submission based upon facts, general principles and legal authority in a structured, concise and persuasive manner. They should understand the crucial importance of preparation and the best way to undertake it and be able to demonstrate an understanding of the basic skills in the presentation of cases before the tribunals.

Some of the tips given by legal experts which professionals like Company Secretaries should bear in mind while appearing before Tribunals or other quasi-judicial bodies are given herein below. They say while pleading, a judge in your pleadings looks for:

(i) Clarity The judge’s time is limited, so make the most of it.
(ii) Credibility The judge needs to believe that what you are saying is true and that you are on the right side.
(iii) Demeanour We don’t have a phrase “hearing is believing”. The human animal which includes the human judge, is far more video than audio. The way we collect most of our information is through our eyesight.
(iv) Eye contact While pleading, maintain eye contact with your judge.
(v) Voice

modulation

Voice modulation is equally important. Modulating your voice allows you to emphasize the points you want to emphasize. Be very careful about raising your voice. Use your anger strategically. But use it rarely. Always be in control of it.
(Vi) Psychology Understand judge’s psychology as your job is to make the judge prefer your version of the truth.
(vii) Be likeable At least be more likeable than your opponent. If you can convert an unfamiliar Bench into a group of people who are sympathetic to you personally, you perform a wonderful service to your client.
(viii) Learn to listen
(ix) Entertain your judge Humour will often bail you out of a tough spot.

Appearances & Art of Advocacy – CS Professional Study Material

Question 15.
Enumerate the Appellate Authorities under the Telecom Regulatory Authority of India Act, 1997 and the Securities and Exchange Board of India Act, 1992. (June 2013, 5 marks)
Answer:
Appellate Authorities under the Telecom Regulatory Authority of India Act, 1997

Appeal to the Supreme Court
Section 18 of the Telecom Regulatory Authority of India (TRAI) Act, 1957 provides that notwithstanding anything contained in the Code of Civil Procedure, 1908 or in any other law, an appeal shall lie against any order, not being an interlocutory order, of the Appellate Tribunal to the Supreme Court on one or more of the grounds specified in Section 100 of that Code.

No appeal shall lie against any decision or order made by the Appellate Tribunal with the consent of the parties. Every appeal under this section shall be preferred within a period of ninety days from the date of the decision or order appealed against.

The Supreme Court may however entertain the appeal after the expiry of the said period of ninety days, if it is satisfied that the appellant was prevented by sufficient cause from preferring the appeal in time.

Appellate Authorities under the Securities and Exchange Board of India Act, 1992
Appeal to the Securities Appellate Tribunal (SAT)
Section 15T of the SEBI Act, 1992 lays down that any person aggrieved:
(1) (a) by an order of SEBI made, under this Act, or the rules or regulations made thereunder; or
(b) by an order made by an adjudicating officer under this Act; may prefer an appeal to a Securities Appellate Tribunal having jurisdiction in the matter.

Appearances & Art of Advocacy – CS Professional Study Material

(2) No appeal shall lie to the Securities Appellate Tribunals from an order made
(a) by SEBI; ‘
(b) by an Adjudicating Officer, with the consent of the parties.

(3) Every appeal shall be filed within a period of 45 days from the date on which a copy of the order made by SEBI or the Adjudicating Officer is received by him.

The Securities Appellate Tribunal may entertain an appeal after the expiry of the said period of 45 days if it is satisfied that there was sufficient cause for not filing it within that period.

(4) On receipt of an appeal, the Securities Appellate Tribunal may, after giving the parties to the appeal, an opportunity of being heard, pass such orders thereon as it thinks fit, confirming, modifying or setting aside the order appealed against.

Appeal to Supreme Court
Section 15Z lays down that any person aggrieved by any decision or order of the Securities Appellate Tribunal may file an appeal to the Supreme Court within 60 days from the date or communication of the decision or order of the Securities Appellate Tribunal to him on any question of law arising out of such order.

The Supreme Court may, if it is satisfied that the applicant was prevented by sufficient cause from filing the appeal within the said period, allow it to be filed within a further period not exceeding 60 days.

Appearances & Art of Advocacy – CS Professional Study Material

Question 16.
What is meant by professional etiquettes? Mention any ten communication etiquettes to be observed by a successful Company Secretary. (June 2013, 10 marks)
Answer:
In today’s corporate world professionals need to know the way to conduct themselves within the business world. One of the best ways to do so is to practice good professional etiquette. Practicing good professional etiquette is necessary for professional success in the emerging business scenario which is constantly changing and making the market place more competitive and contestable.

Corporates look for those candidates who possess manners, a professional look and demeanour and the ability to converse appropriately with business colleagues and clients. Good professional etiquette indicates to potential employers that you are a mature, responsible adult who can aptly represent their company.

Being corporate professionals, you must practice some basic etiquette tips that would help you to go up the ladder of success in the workplace.

Communication Etiquettes

  • Always speak politely. Listen to others attentively. A good listener is always dear to every client.
  • While speaking over telephones, always greet the other person while starting and ending the call.
  • Speak only when the other person has finished talking instead of interrupting in between.
  • Question another person in a friendly, not prying, manner.
  • Make eye contact when talking to others.
  • keep your conversations short and to the point.
  • Maintain your sobriety and politeness even if the client speaks something offensive or rude and avoid replying back in harsh tone/words.

Appearances & Art of Advocacy – CS Professional Study Material

Question 17.
Explain and comment on the following:
Etiquette is the art of behaving in front of others. (Dec 2013, 3 marks)
Answer:
Correct:
It is a set of practices and forms which are followed in a wide variety of situations. Many people consider it to be a branch of decorum, or general social behavior. Each society has its own distinct etiquette and various cultures within a society also have their own rules and social norms.

Question 18.
Examine and discuss the following :
Arguments on merits. (June 2014, 4 marks)
Answer:
Arguments on Merits:
Such arguments as relate to the facts pleaded by the parties are termed as arguments on merits. While addressing arguments on merits, a lawyer/authorized representative should carefully point out the pleadings of the parties and the relevant evidence in support thereof, lead by the parties, both oral as well as documentary.

A lawyer/ authorized representative should ensure that all or any contradiction in the pleadings of the opponent and the evidence in support of such pleadings are duly pointed out while submitting his/her arguments.

Thus, where an agreement/contract of service is pleaded and there is no evidence either oral or documentary on record in support of such an agreement/contract, it should be specifically pointed out that the opponent has failed to prove/establish that such an agreement/contract actually exists or that the same had actually been executed at all.

Similarly, where notice is alleged to have been served prior to filing of the case and there is no documentary evidence like postal receipt/courier receipt placed on record by the opponent, it should be pointed out that the opponent has failed to establish that the notice had actually been served.

Furthermore, the relevant facts and/or contradictions extracted from the opponent or his/her witness during the course of cross-examination and relating to the factual issues involved in the matter, should be highlighted so as to draw attention of the Court towards such facts/contradictions.

Appearances & Art of Advocacy – CS Professional Study Material

Question 19.
Explain the following:
Process of appeal to Securities Appellate Tribunal (SAT) under the SEBI Act, 1992. (Dec 2014, 4 marks)
Answer:
Appeal to the Securities Appellate Tribunal
Section 15T of the SEBI Act, 1992 lays down that any person aggrieved:
(1) (a) by an order of SEBI made, under this Act, or the rules or regulations made thereunder; or
(b) by an order made by an Adjudicating Officer under this Act; may prefer an appeal to a Securities Appellate Tribunal having jurisdiction in the matter.

(2) No appeal shall lie to the Securities Appellate Tribunals from an order made
(a) by SEBI;
(b) by an Adjudicating Officer, with the consent of the parties.

(3) Every appeal under sub-section (1) shall be filed within a period of 45 days from the date on which a copy of the order made by SEBI or the Adjudicating Officer, is received by him and it shall be in such form and be accompanied by such fee as may be prescribed. This details have been prescribed in the Rules.

Provided that the Securities Appellate Tribunal may entertain an appeal after the expiry of the said period of 45 days if it is satisfied that there was sufficient cause for not filing it within that period.

(4) On receipt of an appeal, the Securities Appellate Tribunal may, after giving the parties to the appeal, an opportunity of being heard, pass such orders thereon as it thinks fit, confirming, modifying or setting aside the order appealed against.

(5) The Securities Appellate Tribunal shall send a copy of every order made by it to SEBI and the parties to the appeal and to the concerned Adjudicating Officer.

Appearances & Art of Advocacy – CS Professional Study Material

(6) The appeal filed before the Securities Appellate Tribunal shall be dealt with by it as expeditiously as possible and endeavour shall be made by it to dispose of the appeal finally within six months from the date of receipt of the appeal.

Appeal to Supreme Court:
Section 15Z lays down that any person aggrieved by any decision or order of the Securities Appellate Tribunal may file an appeal to the Supreme Court within 60 days from the date of communication of the decision or order of the Securities Appellate Tribunal to him on any question of fact or law arising out of such order.

It has been provided that the Supreme Court may, if it is satisfied that the applicant was prevented by sufficient cause from filing the appeal within the said period, allow it to be filed within a further period not exceeding 60 days.

Appearances & Art of Advocacy – CS Professional Study Material

Question 20.
(a) Explain the rule of adverse inference. (Dec 2014) (4 marks)
(b) State the arguments on preliminary submissions. (4 marks)
Answer:
(a) Rule of Adverse inference :
Its incumbent upon a party in possession of best evidence on the issue involved to produce such evidence and if such party fails to produce the same, an adverse inference is liable to be drawn against such party.

In the case of Ms. Shefali Bhargave v. Indraprastha Appollo Hospital & Anr. 2003 NCJ 787 (NC), the Court had held that drawing an adverse inference against a party the Court would be justified in its action.

Again, it could be equally incumbent upon a party to produce evidence of some expert where the issue involved is complex or difficult one, as for instance matters pertaining to Engineering, Medical Technology, etc.

Since the Court cannot constitute itself into an Expert body and contradict the claim/proposition on record unless there is something contrary on record by way of expert opinion or there is any significantly acclaimed publication on which reliance could be placed by the Court.

Appearances & Art of Advocacy – CS Professional Study Material

(b) ARGUMENTS ON PRELIMINARY SUBMISSIONS:
Preliminary submissions should primarily confine to the true and correct facts regarding the issue involved and which have been suppressed or not disclosed by the other side in the pleadings.

Additionally the provisions of law or legal objections relevant and applicable to the issues involved in the matter should also be mentioned so as to demonstrate that the relief being claimed by the opponent is not eligible to be granted and/or that the relief being claimed by the party being represented by a lawyer/authorized representative should ordinarily be allowed as per those provisions of law.

Before incorporating such facts and/or provisions of law in the write-up, a lawyer/authorized representative should be thorough with the provisions of law and interpretation, thereof, based upon relevant judgments so as to ensure that the submissions being made on behalf of the client are accepted and upheld by the Presiding Officer/Court.

If a claim being opposed by a lawyer/authorized representative is evidently barred by limitation, such an objection should be taken in the preliminary submissions/objections. Such type of submissions/objections should be duly supported by law on the point or by relevant case law/judgments.

Appearances & Art of Advocacy – CS Professional Study Material

Question 21.
Highlight important professional etiquettes necessary for success in career. (Dec 2014, 8 marks)
Answer:
PROFESSIONAL ETIQUETTES:
In today’s world of business, professionals need to know how to conduct themselves within the business world. One of the best ways to do so is to practice good professional etiquette. Practicing good professional etiquette is necessary for professional success in the emerging business scenario which is constantly changing and making the market place more competitive and contestable. Corporates look for those candidates who possess manners, a professional look and demeanor and the ability to converse appropriately with business colleagues and clients.

Though your academic knowledge and skills may be spectacular, but not knowing proper etiquette required to be successful in the. professional career could be a roadblock preventing you to achieve success in the professional life and business relationships. Good professional etiquette indicates to potential employers that you are a mature, responsible adult who can aptly represent their company.

Dressing Etiquette :
With every organization program comes the inevitable question: What do I wear? Knowing what to wear, or how to wear something, is key to looking great in any event.

  • Always wear neat and nicely pressed formal clothes. Choose corporate shades while you are picking up clothes for your office wear.
  • Ties for men should compliment.
  • Women should avoid wearing exposing dresses and opt for little but natural make-ups. Heels should be of appropriate or modest height.
  • Men need to keep their hair (including facial hair) neatly trimmed and set.
  • Always polish your shoes.

Appearances & Art of Advocacy – CS Professional Study Material

Handshake Etiquette :
Etiquette begins with meeting and greeting. A handshake is a big part of making a positive first impression. A firm shake is an indication of being confident and assertive. The following basic rules will help you get ahead in the workplace:

  • Always rise when introducing or being introduced to someone.
  • Shake hands with your right hand.
  • Shake hands firmly (but not with a bone crushing or fish-limp grip) and with only one squeeze.
  • Hold it for a few seconds (only as long as it takes to greet the person) and pump up and down only once or twice.
  • Make eye contact while shaking hands.

Communication Etiquettes :
Always speak politely. Listen to others attentively. A good listener is always dear to every client.

  • While speaking over telephones, always greet the other person while starting and ending the call.
  • Speak only when the other person has finished talking instead of interrupting in between.
  • Show interest in what other people are doing and make others feel good.
  • Stand about an arm’s length away while talking to others.

Invitation Etiquette :
How you respond to an invitation says volumes about your social skills. It reflects negatively on your manners if your response (or lack of response) to an invitation costs time or money for your host.

  • Reply by the date given in the invitation, so that the host or hostess knows what kind of arrangements to make for the event, food is not wasted and unnecessary expense is eliminated.
  • If an RSVP card is not included, respond by calling or sending a brief note.
  • If you cancel after initially accepting an invitation, phone your regrets as soon as possible. Send a note of regret followinglhe phone conversation.

Dining Etiquettes :

  • Always be courteous while official dinners. Offer the seat to your guest first. If you are the guest, be punctual and thank the host for the dinner.
  • Wait until you receive your host’s signal.
  • Initiate conversations while waiting for the food.
  • Never begin eating any course until everyone has been served orthe host/hostess has encouraged you to do so.
  • Chew quietly; don’t speak with your mouth full.

Appearances & Art of Advocacy – CS Professional Study Material

Question 22.
Comment on the following:
Appellate authorities under the Companies Act, 2013 on refusal of transfer/transmission of shares. (Dec 2015, 4 marks)
Answer: .
Section 58 of the Companies Act, 2013 provides that the transferor or transferee, or the person who gave intimation of the transmission by operation of law, as the case may be, may appeal to the Board/Tribunal against any refusal of the company to register the transfer or transmission, or against any failure on its part within the specified period, either to register the transfer or transmission or to send notice of its refusal to register the same.

The appeal under above shall be made within 60 days of the receipt of the notice of such refusal or, where no notice has been sent by the company, within 90 days from the date on which the instrument of transfer, or the intimation of transmission, as the case may be, was delivered to the company.

According to Section 423 of the Companies Act, 2013 any person aggrieved by any decision or order of the Appellate Tribunal may file an appeal to the Supreme Court within sixty days from the date of communication of the decision or order of the Appellate Tribunal to him on any question of law arising out of such decision or order. However, the ‘Supreme Court may, if it is satisfied that the appellant was prevented by sufficient cause from filing the appeal within the said period, allow it to be filed within a further period not exceeding sixty days.

Appearances & Art of Advocacy – CS Professional Study Material

Question 23.
Under what circumstances, the Supreme Court of India can entertain appeals in cases where law does not provide right to appeal? (June 2016, 4 marks)
Answer:
Article 136 of the Constitution of India lays down the circumstances under which the Supreme Court can be approached for permission to file appeals in cases where law does not provide right to appeal. Such appeals are known as Special Leave Petition.

The article lays down that:
(1) The Supreme Court may in its discretion grant special leave to appeal from any judgement decree determination sentence or order in any case or matter passed or made by any Court or Tribunal in territory of India.
(2) Such appeal can also be preferred in cases where the High Court refuses to grant certificate of fitness to appeal to the Supreme Court.
(3) This shall not apply to any judgement determination sentence or order passed or made by any Court or Tribunal constituted by or under any law relating to armed forces.

In suitable cases where some arguable questions mainly on legal points are involved the Constitution confers under Article 136 wide discretionary powers on the Supreme Court to entertain appeal even in cases where an appeal is not otherwise provided for. But so far as questions of fact, as distinct from questions of law is concerned it is only in rare or exceptional cases that the Supreme Court interferes and that too when finding of the High Court or the Lower Court is such that it shocks the conscience of the Court.

Appearances & Art of Advocacy – CS Professional Study Material

Question 24.
In the light of judicial pronouncement, discuss the following: (b) A party can produce expert evidence in the cases involving complex or technical issues. (Dec 2016, 4 marks)
Answer:
It is incumbent upon a party to produce evidence of some expert where the issue involved is a complex or difficult one as for instance, issues pertaining to engineering, medical, technology or science etc. Since the court can not constitute itself into an expert body and contradict the claim/proposition on record unless there is something contrary on the record by way of expert opinion or there is any significantly acclaimed publication or treatise on which reliance could be based. [Dr. Harkanwaljit Singh Saini v. Gurhax Singh & Anr., 2003 NCJ 800 (NC)].

Question 25.
In a seminar on ‘appearance in courts’, the keynote speaker highlighted the significance of dress code for a Company Secretary appearing in courts representing his company-in-lis. A debate set in when a lady CS insisted that there should be no dress code for ladies while appearing before Courts/Tribunals.

Explain the importance of professional dress code and state the guidelines for professional dress of Company Secretaries. (Dec 2016, 8 marks)
Answer:
Importance of Professional Dress Code:
In professional life it is important to look presentable because personal appearance counts. How you look can be a major factor in how you are perceived by others. How you look, talk, act and work determines whether you are a professional or an amateur. The way you dress, speaks volumes about who you are as a person and as a professional. Whenever you enter a room for the first time, it takes only a few seconds for people you have never met to form perceptions about you and your abilities. Your clothes and body language always speak first. So it is important that your image gives people the right impression.

Appearances & Art of Advocacy – CS Professional Study Material

A dress code is a set of rules governing a certain combination of clothing. Apart from the legal profession, professional dress code standards are established in major business organizations and these have become more relaxed in recent decades. Dress codes vary greatly from company to company, as different working environments demand different styles of attire. Even within companies, dress codes can vary among positions.

Getting dressed for work is to project a professional and competent image. It has been observed that the professionals who do not take the time to maintain a professional appearance or those who have never learned how to dress properly for their chosen field of work, are not being taken seriously by co-workers and present the image of not being able to perform satisfactorily on the job.

If you are concerned about your career, you will be more concerned with looking professional than looking cute or trendy. If you look and behave like a highly-trained and well-groomed professional, you will win the respect and honour of your valued clients.

Guidelines for Professional Dress of Company Secretaries:
To enhance the visibility and brand building of the profession and ensuring uniformity, the Council of the Institute of Company Secretaries of India has prescribed the following guidelines for professional dress for members while appearing before judicial/quasi-judicial bodies and tribunals:
(a) The professional dress for male members will be Navy Blue suit and white shirt with a tie (preferably of the ICSI) or navy blue buttoned-up coat over a pant or a navy blue safari suit.

(b) The professional dress for female members will be saree or any other dress of a sober colour with a navy blue jacket.

(c) Members in employment may wear the dress/uniform as specified by the employer for all employees or if allowed the aforesaid professional dress.

(d) Practising Company Secretaries appearing before any tribunal or quasi-judicial body should adhere to dress code if any prescribed for appearing before such tribunal or quasi-judicial body or if allowed the aforesaid professional dress.

Appearances & Art of Advocacy – CS Professional Study Material

Question 26.
Comment on the following:
What are the rights available against refusal of transfer of shares by a company? (June 2017, 5 marks)
Answer:
Appeal against Refusal to Register Transfer of Shares Section 58 of the Companies Act, 2013 lays down that if a company refuses, whether in pursuance of anypower of the company under its articles or otherwise, to register the transfer of, or the transmission by operation of law of the right to, any shares or interest of a member in, or debentures of, the company, it shall, within two months from the date on which the instrument of transfer, or the intimation of such transmission, as the case may be, was delivered to the company, send notice of the refusal to the transferee and the transferor or to the person giving intimation of such transmission, as the case may be, giving reasons for such refusal.

Section 58 further lays down that the transferor or transferee, or the person who gave intimation of the transmission by operation of law, as the case may be, may appeal to the Board/Tribunal against any refusal of the company to register the transfer or transmission, or against any failure on its part within the period referred to in the preceding paragraph, either to register the transfer or transmission or to send notice of its refusal to register the same.

The appeal under above paragraph shall be made within two months of the receipt of the notice of such refusal or, where no notice has been sent by the company, within four months from the date on which the instrument of transfer, or the intimation of transmission, as the case may be, was delivered to the company.

Appearances & Art of Advocacy – CS Professional Study Material

Question 27.
What are the guide Lines for professional dress code of members of the Institute of Company Secretaries of India. (Dec 2017, 4 marks)

  1. Dress code for Male members
  2. Dress code for Female members
  3. Dress code before the tribunals
  4. Dress code while in employment

Answer:

  1. The professional dress for male members will be Navy Blue suit and white shirt with a tie (preferably of the ICSI) or navy blue buttoned-up coat over a pant or a navy blue safari suit.
  2. The professional dress for female members will be saree or any other dress of a sober colour with a navy blue jacket.
  3. Practising Company Secretaries appearing before any tribunal or quasi-judicial body should adhere to dress code if any prescribed for appearing before such tribunal or quasi-judicial body or if allowed the aforesaid professional dress.
  4. Members in employment may wear the dress/uniform as specified by the employer for all employees or if allowed the aforesaid professional dress.

Appearances & Art of Advocacy – CS Professional Study Material

Question 28.
Explain the following :
Statement of a case.by Appellate Tribunal to be Supreme Court of India under the Income Tax Act, 1961. (June 2018, 4 marks)
Answer:
Statement of a case by Appellate Tribunal to the Supreme Court of India under the income Tax Act, 1961.

Section 257 of the Income – Tax Act, 1961 makes provisions for reference of a case by the Appellate Tribunal to the Supreme Court. It lays down if, on an application made under Section 256 of the Income – Tax Act, 1961, the Appellate Tribunal is of the opinion that, on account of a conflict in the decisions of High Courts in respect of any particular question of law, it is expedient that a reference should be made direct to the Supreme Court, the Appellate Tribunal may draw up a statement of the case and refer it through its President direct to the Supreme Court.

Appearances & Art of Advocacy – CS Professional Study Material

Question 29.
It is incumbent upon a party in possession of best evidence on the issue involved to produce such evidence and if such party fails to produce the same, an adverse inference is liable to drawn against such party. Explain. (June 2018, 4 marks).
Answer:
The statement is true and has been upheld by the Courts. In Ms Shefalli Bhaargava vs. Indraprastha Apollo Hospital and another, 2003 NCJ 787 (NC), the Court has observed that it is incumbent upon a party in possession of best evidence on the issue involved is a complex or difficult one, Court cannot constitute itself into an expert body and contradict the claim / proposition on record unless there is something contrary on the. record by way of expert opinion, to produce such evidence and if such party fails to produce the same, an adverse inference is liable to be drawn against such party. The Court will be justified in drawing an adverse inference against that party. This is also known as the doctrine or rule of adverse inference.

Appearances & Art of Advocacy – CS Professional Study Material

Question 30.
Enumerate the Appellate Authorities under the Securities and Exchange Board of India Act (SEBI), 1992. (Dec 2018, 4 marks)
Answer:
Appellate Authorities under the Securities and Exchange Board of India Act, 1992 are Securities Appellate Tribunals and Supreme Court of India. According to Section 1ST of the SEBI Act, 1992, any person aggrieved by an order of the Board or by an order made by an adjudicating officer under this Act; or by an order of the Insurance Regulatory and Development Authority or the Pension Fund Regulatory and Development Authority, may prefer an appeal to a Securities Appellate Tribunal having jurisdiction in the matter.

According to Section 15Z of the SEBI Act, 1992; any person aggrieved by any decision or order of the Securities Appellate Tribunal may file an appeal to the Supreme Court.

Appearances & Art of Advocacy – CS Professional Study Material

Question 31.
Dress code is essential for looking professional while appearing before judicial bodies and tribunal. (Dec 2020, 4 marks)
Answer:
In professional life, it is important to look presentable because personal appearance counts. How you look can be a major factor in how you are perceived by others? How you look, talk, act and work determines whether you are a professional or an amateur?

The way you dress, speaks volumes about who you are as a person and as a professional.

A dress code is a set of rules governing a certain combination of clothing. Apart from the legal profession, professional dress code standards are established in major business organizations and these have become more relaxed in recent decades.

Dress codes vary greatly from company to company, as different working environments demand different styles of attire. Even within companies, dress codes can vary among positions.

To enhance the visibility and brand building of the profession and ensuring uniformity, the Council of the Institute of Company Secretaries of India has prescribed the following guidelines for professional dress for members while appearing before judicial/quasi-judicial bodies and tribunals:

(i) The professional dress for male members will be Navy Blue suit and white shirt with a tie (preferably of the ICSI) or navy blue buttoned-up coat over a pant or a navy blue safari suit.

(ii) The professional dress for female members will be saree or any other dress of a sober colour with a navy blue jacket.

Appearances & Art of Advocacy – CS Professional Study Material

(iii) Members in employment may wear the dress/uniform as specified by the employer for all employees or if allowed the aforesaid professional dress.

(iv) Practising Company Secretaries appearing before any tribunal or quasi-judicial body should adhere to dress code if any prescribed for appearing before such tribunal or quasi-judicial body or if allowed the aforesaid professional dress.

It may be pointed out that any person whether a lawyer, pleader or authorized representative representing a litigant before any Court of law or a Tribunal or any other authority discharging the functions of a Court/a quasi judicial authority, should comport himself in a manner befitting his status as an officer of the Court, a privileged member of the community and a gentleman.

Appearances & Art of Advocacy – CS Professional Study Material

Question 32.
Illustrate the provisions of appeal from orders of a tribunal under the Companies Act, 2013. (Aug 2021, 4 marks)
Answer:
Appeal from Orders of Tribunal
Section 421 of the Companies Act, 2013 provides that any person aggrieved by an order of the Tribunal may prefer an appeal to the Appellate Tribunal.

No appeal shall lie to the Appellate Tribunal from an order made by the Tribunal with the consent of parties. Every appeal shall be filed within a period of forty-five days from the date on which a copy of the order of the Tribunal is made available to the person aggrieved and shall be in such form, and accompanied by such fees, as may be prescribed.

It may be noted that the Appellate Tribunal may entertain an appeal after the expiry of the said period of forty-five days from the date aforesaid, but within a further period not exceeding forty-five days, if it is satisfied that the appellant was prevented by sufficient cause from filing the appeal within that period.

On the receipt of an appeal, the Appellate Tribunal shall, after giving the parties to the appeal a reasonable opportunity of being heard, pass such orders thereon as it thinks fit, confirming, modifying or setting aside the order appealed against.

The Appellate Tribunal shall send a copy of every order made by it to the Tribunal and the parties to appeal.

Any person aggrieved by any order of the Appellate Tribunal may file an appeal to the Supreme Court within sixty days from the date of receipt of the order of the Appellate Tribunal to him on any question of law.

Appearances & Art of Advocacy – CS Professional Study Material

Question 33.
Illustrate rule of adverse inference. (Aug 2021, 4 marks)
Answer:
No evidence is required of matters which are, either formally admitted for the purposes of the trial, in civil cases, by the pleadings, by answer to interrogatories, by agreement or otherwise and in criminal cases, as regards proof of those documents admitted under Section 294 of the Code of Criminal Procedure, 1973.

It is incumbent upon a party in possession of best evidence on the issue involved, to produce such evidence and if such party fails to produce the same, an adverse inference is liable to be drawn against such party. The Court will be justified in drawing an adverse inference against that party. [Ms. Shefali Bhargava v. Indraprastha Appollo Hospital &Anr., 2003 NCJ 787 (NC)].

It is equally incumbent upon a party to produce evidence of some expert where the issue involved is a complex or difficult one as for instance, issues pertaining to engineering, medical, technology or science etc. Since the court cannot constitute itself into an expert body and contradict the claim/proposition on record unless there is something contrary on the record by way of expert opinion or there is any significantly acclaimed publication or treatise on which reliance could be based. [Dr. Harkanwaljit Singh Saini v. Gurbax Singh & Anr., 2003 NCJ 800 (NC)].

Appearances & Art of Advocacy – CS Professional Study Material

Question 34.
Explain the right to legal representation of a Company Secretary under the Competition Act, 2002 and Real Estate. (Regulation and Development) Act, 2016. (Aug 2021, 4 marks)
Answer:
Right to Legal Representation under Competition Act, 2002
Competition Authorities and the companies world over avail services of professionals to guide and advise them on various aspects of competition law. Professionals also assist companies in designing, implementing and maintaining effective competition compliance programmes.

Section 35 of the Competition Act, 2002, authorises Company Secretaries in practice to appear before Competition Commission of India. Besides, there are a number of concepts and terms such as value of assets, turnover, determination of market, relevant market, geographic market which require active professional involvement and advice.

Further, Competition Act, 2002 provides a number of factors to be considered by the Competition Commission of India in determining appreciable adverse effect on competition.

According to Section 35 of the Competition Act, 2002 a person or an enterprise or the Director General may either appear in person or authorise one or more chartered accountants or company secretaries or cost accountants or legal practitioners or any of his or its officers to present his or its case before the Commission.

Appearances & Art of Advocacy – CS Professional Study Material

Right to Legal Representation under Real Estate (Regulation and Development) Act, 2016
As per Section 56 of the Real Estate (Regulation and Development) Act, 20I6 a Company Secretary holding certificate of practice can appear before Appellate Tribunal or a Regulatory Authority or Adjudicating Officer on behalf of the applicant or appellant as the case may be.

According to the said section the applicant or appellant may either appear in person or authorise one or more chartered accountants or company secretaries or cost accountants or legal practitioners or any of its officers to present his or its case before the Appellate Tribunal or the Regulatory Authority or the adjudicating officer, as the case may be.

Hence a Company Secretary holding certificate of practice can:

  • Represent a person (promoter) before any real estate regulatory authority for registration of real estate project.
  • Represent a person before real estate appellate tribunal.
  • Represent a person before Adjudicating Officer.

Appearances & Art of Advocacy – CS Professional Study Material

Question 35.
‘A Company Secretary should not render any fraudulent or misleading opinion’. Discuss. (Dec 2021, 4 marks)
Answer:

  • A Company Secretary should not render opinion that the he knows would be misleading. In addition, he/she should not render an opinion based on factual assumptions if he/she knows that the assumptions are false or that reliance on those facts is unreasonable.
  • In addition, he/she should not be asked to render opinions on matters that are outside his or her area of professional competence.
  • Where an opinion is appropriate but beyond the competence of the opinion giver, then the opinion giver should associate competent counsel to render the opinion.
  • In no event should a Company Secretary be asked for opinions that are beyond the professional competence.

Appearances & Art of Advocacy – CS Professional Study Material

Question 36.
ABC Ltd. wishes to draw a note on duties for its newly appointed Company Secretary with respect to Court, client and opponent while representing the company in a case before the Competition Commission of India, New Delhi. Draw out a draft note of Company Secretary’s duties along these lines for consideration of the Chairman and Managing Director. (Dec 2012, 6 marks)
Answer:
Company Secretaries Act as an custodian of their client before various tribunals/quasi judicial bodies.

Company Secretaries should be able to formulate and present a coherent submission based upon facts, general principles and legal authority in a structured, concise and persuasive manner. They should understand the crucial importance of preparation and the best way to undertake it and be able to demonstrate an understanding of the basic skills in the presentation of cases before the tribunals.

Duty to the Court:
(i) A Company Secretary shall, during the presentation of his case and while otherwise acting before a Court, conduct himself with dignity and self-respect. He shall not be servile and whenever there is proper ground for serious complaint against a judicial officer, it shall be his right and duty to submit his grievance to proper authorities.

Appearances & Art of Advocacy – CS Professional Study Material

(ii) A Company Secretary shall maintain towards the Courts a respectful attitude, bearing in mind that the dignity of the judicial office is essential for the survival of a free community.

(iii) A Company Secretary shall not influence the decision of a Court by any illegal or improper means. Private communication with the judge relating to a pending case is forbidden.

(iv) A Company Secretary shall use his best efforts to restrain and prevent his client from resorting to sharp and unfair practices or from doing anything in relation to the Court, opposing counsel or parties which the Company Secretary himself ought not to do. A Company Secretary shall refuse to represent the client who persists in such improper conduct. He shall not consider himself a mere mouthpiece of the client and shall exercise his own judgment in the use of restrained language in correspondence, avoiding scurrilous attacks in pleadings and using intemperate language during arguments in Court.

(v) A Company Secretary shall not enter appearance, act, plead or practice in any way before a Court or any other Authority, if the sole or any member thereof is related to the Company Secretary.

(vi) A Company Secretary shall not appear in or before any Court or Tribunal or any other Authority for or against an organization or an institution, society or corporation, if he is a member of the Executive Committee of such organization or institution or society or corporation.

(vii) A Company Secretary should not act or plead in any matter in which he is himself pecuniarily interested.

Appearances & Art of Advocacy – CS Professional Study Material

Duty to Client:
(i) A Company Secretary shall not ordinarily withdraw from engagements once accepted, without sufficient cause and unless reasonable and sufficient notice is given to the client.

(ii) A Company Secretary shall not accept a brief or appear in a case in which he has reason to believe that he will be a witness and if being engaged in a case, it becomes apparent that he is a witness on a material question of fact, he should not continue to appear if he can retire without jeopardizing his client’s interest.

(iii) A Company Secretary shall at the commencement of his engagement and during the continuance thereof, make all such full and frank disclosures to his client relating to his connection with the parties and any interest in or about the controversy as are likely to affect his client’s judgment in either him or continuing the engagement.

(iv) It shall be the duty of a Company Secretary to fearlessly uphold the interest of his client by all fair and honourable means without regard to any unpleasant consequences to himself or any other. He shall defend a person accused of a crime regardless of his personal opinion as to the guilt of the accused, bearing in mind that his loyalty is to the law which requires that no man should be convicted without adequate evidence.

(v) A Company Secretary shall not at any time, be a party to fomenting of litigation. A Company Secretary shall not act on the instructions of any person other than his client or his authorized agent.

(vi) A Company Secretary shall not do anything whereby he abuses or takes advantage of the confidence reposed in him by his client.

Appearances & Art of Advocacy – CS Professional Study Material

Duty to Opponent:

  1. A Company Secretary shall not in any way communicate or negotiate upon the subject-matter of controversy with any party represented by an Advocate except through that Advocate.
  2. A Company Secretary shall do his best to carry out the legitimate promise/promises, made to the opposite-party.

Question 37.
In what respect, if any, pleadings in the memorandum of appeals under sections 96 to 99, Order XLI, sections 100 to 103, 104 to 106, Order XLIII, Rules 1 and 2 and Appeals to Supreme Court under the Code of Civil Procedure, 1908, differ from the pleadings in appeals under Articles 132(1), 133 and 134 of the Constitution of India. (June 2015, 8 marks)
Answer:
The Code of Civil Procedure, 1908 provides the following appeals: Appeals from original decrees (Sections 96 to 99 and Order XLI) may be preferred from every decree passed by any Court exergsing original jurisdiction to the Court authorised to hear appeals from the decisions of such Court on points of law as well as on facts. Second Appeals (Sections 100 to 103) lie to the High Court from every decree passed in appeal by any Court subordinate to the High Court, if the High Court is satisfied that the case involves a substantial question of law.

Appeals from Orders under Sections 104 to 106 would lie only on grounds of defect or irregularity of law pertaining to (a) An Order under Section 35A of the Code allowing special costs, (b) An Order under Section 91 or Section 92 refusing leave to institute a suit; (c) An Order under Section 95 for compensation for obtaining arrest, attachment or injunction on insufficient ground; (d) An Order under the Code imposing a fine or directing the detention or arrest of any person except in execution of a decree; and (e) Appealable Orders as set out under Order XLIII,’ Rule 1 and Rule 2.

Appearances & Art of Advocacy – CS Professional Study Material

Constitution of India provides the following of appeals:
Article 132(1) of the Constitution provides that an appeal shall lie to the Supreme Court from any judgement, decree or final order of a High Court in the territory of India, whether in a civil, criminal or other proceedings, if the High Court certifies under Article 134A that the case involves a substantial question of law as to interpretation of the constitution.

Article 133 deals with appeals to the Supreme Court from decisions of High Court in civil proceedings. A limited criminal appellate jurisdiction is conferred upon the Supreme Court by Article 134. It is limited in the sense that the Supreme Court has been constituted a Court of criminal appeal in exceptional cases where the demand of justice requires interference by the highest Court of the land.

Appearances & Art of Advocacy – CS Professional Study Material

Format of Important Deed and Documents

Notice to Quit Premises Held by Monthly Tenancy by Landlord to Tenant

Dear Sir,

Under instructions fr cm any client A.B. of etc., your ‘landlord, you notice to quite deliver to him on the 16th day after expiry of 15 full days from the date of receipt of this notice by ycu and handover possession of (description of premises) situate at ……………….. held by you of him as a monthly tenant.
Dated the …………. day of ……….20 ……..

Signed
Advocate for …………………..

To
(Name and address of Tenant)

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Notice of determination of a tenancy-at-will on behalf of the landlord (Under section 106 of T.P. Act, 1882).

Dated.
The ………… 20 …………

To
The ………………
……………………..

Dear Sir,

Under instructions fiom my client ……………….. (name, description and address) I call upon you to deliver up possession of the premises, detailed below, within 30 days hereof which you now hold of my client as a tenant.

2. In default of your compliance your occupation of the premises, after the period allowed hereinabove, will be wrongful and an act of trespass and you will be liable to pay damages to my client at the rate of ₹ ……………. per each day of your wrongful occupation of the same till you are ejected therefrom and that my client will sue you for your eviction and for recovery of damages.

3. A copy of this notice is being kept in my office for future use, if . necessary. Schedule of premises. .

Yours faithfully

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Notice by Tenant to His Landlord to Determine the Tenancy

Dear Sir,
Under insfructions from my client A. B. of etc., your tenant, I hereby give you notice that in pursuance of a power contained in the lease dated ……………. day of …………….. made between you of the one part and the said A. B. of the other part, it is his intention to determine the said lease with the expiry of the 15th day from the date of receipt of the legal notice by you and that he shall deliver up to you the possession therein comprised on the next day after such 15th day.

Dated …………… day of …………….

Signed ……………..
Advocate for the said A.B.

(C.D. landlord).

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Notice of suit under s. 80, C.P.C. for suing the State Government:
Notice to the Collector of a district

(Simple Form)
Notice under s. 80, C.P. Code

Registered with A/D
Dated: …………………..
The ……….. 20 …………….

To
The Collector of the District of ……………..
P.O ………………….
Dt …………………..

Sir,

Under instructions from my client Sri ………………….. son of ………………….. by caste ………………….. by occupation ………………….. residing at ………………….. P.0 …………………….. P.S ………………….. Dt ………………….. I give you this notice under s. 80, C.P.C and state that my aforesaid client intends to sue the Government of West Bengal (or, name the State) on expiry of two months, after service of this notice, on the cause of action and for reliefs appearing herein below:

(a) Cause of action (give in brief/acts giving rise to cause of action).
(b) Reliefs claimed (give here reliefs which the plaintiff would sue for).

Yours faithfully,

Appearances & Art of Advocacy – CS Professional Study Material

Notice of suit under s. 80, C.P. Code against a Public Officer of a State Government or Central Government

Registered with A/D
Dated …………………….
The ………………….. 20 ……………..

To
………………………………
(Name & official designation)
P.O ………………………
Dt. ……………………

Notice under s. 80 of the Code of Civil Procedure

Dear Sir,
Please take notice that my client ………………….. son of ………………….. residing at ………………….. intends to bring a suit against the (state here the office the intended defendant holds), a public officer of the Government of (state the name of the province or simply, of the Government of India, as the case may be) in a competent court of law on the cause of action stated herein-under and for reliefs appearing below:

Cause of action for the intended suit …………………
Reliefs sought for ……………….

Yours faithfully,
Advocate.

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Notice on behalf of the vendee to comply with terms of agreement for sale with threat of suit for specific performance of contract

Dated ………………..
The …………….. 20 ………………

Registered with A/D
To
Sri
(Name and address of the vendor)

Sir,

Under instructions from my client Sri ……………… son of ……………. residing at …………….

I hereby give you this notice as follows:

You contracted by executing on ………………. a Bainama to sell to my client your property described in the Schedule below at a total consideration of ₹ ……………… and took from my client a sum of ₹ ……………….. as advance on the occasion of execution of the said Bainama. You agreed therein to complete the sale on accepting from my client the balance of consideration money within ……………. My client had tendered to you the balance of the consideration on ……………… and required you to complete the sale. You did not accept the money and have been avoiding compliance with the terms of the agreement. My client was always willing and is so even now to complete the purchase by payment of the balance of the consideration subject to performing your part of the said agreement (Bainama).

Take notice that you are requested to complete the sale of the said property by executing a proper deed in favour of my client after accepting from him the balance of the consideration money within …………. and register the same.

In default, my client shall sue you in a Court of law for specific performance of the said contract.

Schedule

Yours faithfully,

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Application under section 5 of the Limitation Act for condonation of delay in preferring an appeal

In the High Court at Calcutta
(Civil Appellate Jurisdiction)

In the matter of No ……………… of 20 ……………
A.B. Versus C.D.

And
In the matter of an application under s. 5 of the Limitation Act for condoning delay in filing the appeal
And
In the matter of
A.B ……………….. Appellant-Petitioner
Versus
C.D ………………. Opposite-Respondents
E.F.
Valued at ₹ …………………..

To
The Hon’ble Mr ………………… Chief Justice and His companion Justices of the said Hon’ble Court

The humble petition of the petitioner above-named

Most respectfully showeth:
1 ……………….. (State the facts of the case and subject-matter leading upto filing of the appeal on ……………..)
2 ………………..
3. The appeal is out of time by ……………… days. Your petitioner has filed a petition under Or. 43, r. 3A(1), C.P.C. along with memo of appeal.
4. That your petitioner could not prefer the appeal because of …………………. Your petitioner submits that there was sufficient cause namely, ……………. for which the appeal could not be preferred in time.

In the premises aforesaid it is humbly prayed that Your Lordships would be pleased to issue a Rule on the Respondent to show cause why the delay in filing the appeal should not be condoned.

And, on hearing the cause shown, if any, to make the Rule absolute

Appearances & Art of Advocacy – CS Professional Study Material

Petition for grant of probate of a will
(Under s. 276 of the Indian Succession Act 1925)

In the Court of the District Judge/District Delegate

at ……………..

Act 39 of 1925 Case (Or. Misc. Judicial Case) No ……………….. of 20 ………………
A.B. son of C.D.
(State here description and address)

…………………. Petitioner.

In the matter of grant of a probate of the will of E.F., deceased, under s. 276 of the Indian Succession Act.

The above-named petitioner states as follows:
1. That E.F., since deceased of ………… P.S ……………. Dist ………… died at his residence at …………… on ……………… (date of death) and the writing annexed, in sealed cover, is his last will, duly executed by the deceased on

2. That the petitioner was named as the executor in the said will.

3. That the amount of assets which is likely to come to the petitioner’s hand is estimated at ₹ ……………… as described in Schedule ‘A’ below (when necessary – and the amount of debts are shown in Schedule ‘B’ below).

4. That the said deceased left behind the following relations, besides the petitioner:
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5. That at the time of his death the deceased had his fixed abode at (or the deceased had his immovable properties at village – P.S. – Dist.-) within the jurisdiction of this Court.

6. That to the best of the petitioner’s belief no application has been made to any other Court for a probate of the said will (see s. 279 of the Indian Succession Act).

7. (Where necessary) That the petitioner has paid off Estate Duty on the estate of E.F. -deceased.

The petitioner, therefore, prays that the Court may be pleased to grant to the petitioner probate of the said will of the deceased.

Verification

I, (A.B.), the petitioner in the above petition, declare that statements made in paras 1 to 7 hereinabove are true to my knowledge and belief and I sign this verification this the …………….. day of …………. 20 …………….. at the Bar Library, ………….. (place) (see s. 280 of the Indian Succession Act).

A.B.

I, Sri ……………….. one of the witnesses to the last will of E.F. deceased, declare that I was present and saw the said testator affixing his signature in the said will. (See s. 281 of the Indian Succession Act).

Schedule ‘A’
(State here assets likely to come to the hand of the executor).

Schedule ‘B’
(State here liabilities, debts, if any – where necessary).

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Petition for Letters of Administration (without will annexed)

(Under s. 278 of the Indian Succession Act 1925).
In the Court of the District Judge/District Delegate at …………………
Act 39, 1925 Case No ……………… of 20 ……………..

In the matter of grant of Letters of Administration to the estate of A.B.- deceased.

1. That A.B., lately of …………… P.S …………….. Dist ……………. died on ………….. at ………….. within the jurisdiction of this Court.

2. That the deceased left behind him the following near relations or next of kin besides the petitioner.
(a)
(a) (Name and residence)… (State relationship with the deceased)

3. That the petitioner being the only son is entitled to grant of letters of administration to the estate of the said A.B. – deceased.

4. That the amount of assets which are likely to come to the petitioner’s hand is ₹ ………………. as shown in Schedule A below and the amount of (on the property) liabilities of the deceased is shown in Schedule B below.

5. That the deceased had his fixed place of abode at within the jurisdiction of this Court.

6. That the deceased died intestate and to the best of the petitioner’s belief no application has been made for letters of administration to the estate of the deceased.

Your petitioner, therefore, prays that letters of administration to the estate of A.B. may be granted to the petitioner.

Schedule ‘A’
(State here particular of property)
Schedule ‘A’
(State here particular of assets)

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Petition for Letters of Administration (with will annexed)
(Under s. 278 of the Indian Succession Act 1925).
In the Court of the District Delegate/Munsiff (Sadar) at …………………
Act 39. Case No ………………. 20 ……………

Applicants:
(1) A.B. son of E.F.
of …………………… P.S ……………… Dist …………………
!n the matter of grant of Letters of Administration with the will annexed, of the estate of G.H. – deceased, under s.276 of the Indian Succession Act.

The above-named applicants beg to state as follows:
1. That G.H. died at her residence at ……………. Town on the ……………. day of …………….. 20 ……………….. and that the writing annexed is her last will and testament, which was duly executed by her.

2. That by the said will, G.H. made a scheme for worship of an idol “Sree Sree Radha Govinda Vigraha” and bequeathed properties in Schedule A below to the deity and by the said will constituted the applicants as joint she baits of the said deity. The applicants since after death of the said G.H. have been discharging their duties as she baits.

3. That by the said will the said G.H. bequeathed her dues, from the State of West Bengal, as compensation for vesting of her intermediary rights in equal shares to her three daughters, P.W. and R.

4. That the amount of assets, which are likely to come to the applicants hands is ^14,157 as shown in Schedule B below.

5. That the deceased left no debts.

6. That the applicants are sons of the deceased. That no executor having been appointed by the said will, the applicants apply for letters of administration with the will annexed.

7. That the testatrix left behind her the following near relations, besides the applicants:
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(State individual description and respective address).

8. That the deceased, at the time of her death, had her fixed residence at ………………. within the jurisdiction of this Court.

9. That to the best of the applicants’ belief, no application has been made to any other Court for letters of administration of the said estate.

10. (Where necessary) That the Estate Duty on the estate of the late G.H. has been duly paid.
The applicants, therefore, pray that the Court may be pleased to grant to them letters of administration with the will annexed to the estate of the said deceased.

Verification

I, A.B., applicant No. 1, declare that the above statements contained in paras 1 to 9 are true to my knowledge and I sign this verification this the day of May, 1981, at….

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Dated ……………..
The …………. 20 ………….

Sd/-
I, Sri …………… one of the witnesses to the last will and testament of the testatrix mentioned in the above application, declare that I was present and saw the said testatrix affixed her signature thereto.

Sd/
Application for appointment of a Receiver (in a partition suit)
(Under Or. 40, r. 1 of the Code of Civil Procedure).
In the Court of the Asst. District Judge …………….
Title Suit No ……………… of 20 ………….

A.B. ……………….

…………… Plaintiff.

Versus

C.D. and 10 others

………………… Defendants.
Petition under Or. 40, r. 1 of C.P. Code

The above-named plaintiff states as follows:
1. That the plaintiff is the owner of .66 acres of land (vide Schedule “C” of the plaint) by purchase by a registered Kobala from Defendant No. 2, a co-shares of the holding.

2. That the said land in Schedule C is separated from the rest of the holding by clear and defined boundaries and is so mentioned in the plaintiff-petitioner’s title deed.

3. That the plaintiff has been in possession thereof. All the defendants excepting Defendants No. 5 to 7 have submitted a joint written statement confirming plaintiffs possession over the “C” Schedule land.

4. That defendants No. 5 to 7 are denying the Plaintiff’s possession. The plaintiff has sought for relief of partition in the above suit.

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5. That for undue interference by Defendants No. 5 to 7, the plaintiff apprehends breach of peace and molestation if cultivation by the plaintiff is resorted to. On the contrary, the plaintiff would lose crops if the land is not cultivated and tilled immediately.

6. That in the circumstances of the case, a Receiver should be appointed for bringing the land in Schedule C under cultivation and to reap and harvest the future crop under the court’s orders, even if the said Defendants No. 5 to 7 claim falsely possession over the land in Schedule C.

Affidavit
I, A.B ……………. aged …………… Years, son of late by caste Hindu,-by occupation – agriculturist, residing at village …………… P.S ……………. Dist ………….solemnly declare and affirm as follows:

(a) That I am the plaintiff of the above numbered title suit. I know facts of the case and I am competent to swear this affidavit. This is true to my knowledge.

(b) That the contents in paras 1 to 6 herein above are true to my knowledge.

Declared by Sri A.B., before the Commissioner
of Affidavits

Declarant is identified by me:

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Petition for appointment of a guardian of a minor
In the Court of the District ………………..
Misc. (Guardianship) Case No …………… of …………….
‘ (Or. Act VIII Case No ………… of 20 ………….)
In the matter of appointment of Guardian of
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Under s. 10 of the Guardians and Wards Act
And
In the matter of ‘X’, widow of late …………….
by caste Muslim,
residing at village ……………….
P.S. ……….. Dt ……………

………….. Petitioner.

The humble petition of the aforesaid petitioner respectfully sheweth:
1. That A.B. and C, sons of late “D”, ordinarily residing at VIII …………. P.S. …………… District …………… within the jurisdiction of this Court, were born respectively in ……………. B.S ………….. B.S ……………. B.S. and by religion are and by sex are …………..

2. That the said minors are entitled to certain property; nature, situation and approximate value of which are:

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3. That the said property is in the possession of one ‘X’, grandfather of minors, residing at Vill …………….. P.S ………….. Dt. ……………….

4. That ……………… mother of minors, has the custody of the person of the said minors.

5. That the minors have the following near relations:
(i) P son of late Q Grandfather of minors residing at Vill ………………
P.S ………………. Dt ……………….

(ii) S.S./of T. Maternal grandfather of minor, residing at Vill ……………….
P.S ………………. Dt ………………..
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6. That no application has at any time been made to this Court, or to any other Court, with respect to the guardianship of the persons and property of the said minors.

7. That no guardian of the person or property of the said minors has been appointed by any person entitled or claimed to be entitled by the law to which the minors are subject to make such appointment.

8. That this application is for the appointment of a guardian to the person and property of the said minors.

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9. That your petitioner is the mother of minors. The minors were so long living in the same mess along with their mother with grandfather P. The said P was neglecting the welfare of the minors and appropriated to himself all the returns from minors’ properties. Of late he stopped payment of tuition fees of private tutor of minors A and B. -In last …………………. B.S. the said P managed to transfer minors’ ……………….. bighas of land in the name of his daughter ……………… by a fraudulent and forged kobala after the death of minors’ parents. Besides, he is selling the produce of the lands of the minors and appropriating proceeds to himself. He has kept the revenue in arrearfor …………….. years for which minors’ properties are liable to be sold for threatened Certificate Proceedings. To recover possession of the land, to manage properties, for the welfare of minors the situation requires that the mother petitioner be appointed guardian for minors without further delay.

(Or, that the appointment is necessary for sale of a portion of minors’ property for meeting debts left by the deceased father of minors).
That your petitioner, therefore, prays that an order appointing the petitioner a guardian for the person and property of minors be issued under s. 7 of the Guardians and Wards Act 1890.
And your petitioner, as in duty bound, shall ever pray.

I, Achhimon Bewa, petitioner named in the above petition do solemnly affirm that what is stated therein is true to the best of my information and belief.

L.T.I, of petitioner.

Signed in the presence of
(1)
(2)

I, Achhimon Bewa, the guardian proposed in the above application do hereby declare that I am willing to act as such.

Signature of proposed guardian.

Signed in presence of
(1)
(2)

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Application to sue as an indigent-person
In the Court of the Sub-Judge at ……………….
Misc. Judicial Case No ………….. /20 …………..

Title Suit No ……………./20 ……………… (New)
A.B. ………………

……………….. Plaintiff.

C.D. ………………..

…………………. Defendant

Suit for title and Khash possession Valued at ₹ ………………..
The above-named plaintiff states as follows:
(Here insert the pleadings)
Then add:
The plaintiff petitioner is an indigent person. He is not possessed of sufficient means to enable him to pay the said Court-fees of ₹ …………….. Prescribed by law for the plaint of the above suit.

(Or, where no such fee is prescribed – The plaintiff petitioner is an indigent person. He is not entitled to property worth ₹ 1,000 other than the subject- matter of this suit).

The petitioner has not entered into any agreement with anybody in respect of the subject-matter of the suit. He has not transferred any of his property within two months next before presentation of this application, either fraudulently or in order to be able to apply for permission to sue as an indigent person.

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The properties owned and possessed by the petitioner, with estimated value thereof, are specified below. List of properties with value thereof.
(a) …………… ₹ ………………
(b) ………….. ₹ ………………
(In words) ₹ …………..
It is, therefore, prayed that the plaintiff petitioner may be permitted to sue as an indigent person.

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Memo of Appeal from a Decree of a lower Court (Original Decree)
In the Court of the District Judge, Allahabad.
Title Appeal No ………….. of 20 ……………..

……………….. Plaintiff-Appellant.

Versus

………………… Defendant-Respondent.

The appellant appeals to the Court of the District Judge, Allahabad from the judgment and the decree passed by Mr ……………. Subordinate Judge …………….. in
Title Suit No……… of 20 ……………… dated the ……………….. day of …………. 20…………… dismissing the appellant’s suit on the following grounds of objection:
1. Because the findings of the lower Court.
2. Because…………………………..
3. Because ……………………..
Value of the appeal — ₹ 5,000.

Relief: To set aside the decree of the lower Court and to decree the plaintiffs suit with costs of both Courts.

……………………..
Advocate for the Appellant

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Application for review of a judgment
(Under Or.47, r.1 of C.P. Code)

A.B………………

………………… Plaintiff.

Versus

1. C.D
2. E.F …………

…………Defendants

The above-named defendants most respectfully sheweth:
1. That the plaintiff instituted a suit against the petitioner-defendants in this Court and obtained a judgment and a decree in his favour on ………….

2. That no appeal is allowed against the said judgment/decree by iaw.(Or, no appeal has been preferred against the said decree/judgment).

3. That the defendants are aggrieved with the said judgment/decree and , pray for review of the said judgment decree on the following, amongst others,

Grounds
(a) Discovery of new and important matter or evidence.
(b) Discovery of some mistake or error apparent on the face of the record.
(c) Any other sufficient reason. ‘

It is, therefore, prayed that Your Honour may be pleased to

  1. set aside the judgment;
  2. re-hear the suit and pass judgment accordingly.

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Application for a caveat (s. 148A)
In the Court of the ……………………
Money Suit No…………… /20 ……………

In the matter of Money Suit No. …………../20……..
between A.B. S/o of C.D.
……………. etc.
Versus
P.Q. S/o of M.N.
………………. etc.
And
In the matter of caveat
P.Q., son of M.N.
residing at ……………….
……………………………

Caveator-petitioner

The above-named petitioner states:
1. That Mr. A.B. named above has instituted the above money suit against Mr. P.Q. and said the suit is pending. The summons has not been served on the petitioner as yet.

2. That as far as the petitioner could know, the said Mr. A.B. is contemplating to file a petition under Or. 38, r. 5 of the C. P. Code for attachment of your petitioner’s properties before judgement.

3. That your petitioner has every right to appear before the Court on the hearing of such application, if any.

4. That your petitioner hereby lodges a caveat to the effect:
‘Let nothing be done in the matter of application under Or. 38, r. 5, C.P. Code, if any, touching properties of the petitioner without notice to the petitioner’.

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Model Limited Liability Partnership Agreement of or LLP Agreement 0 [Sec Section 23(4) of the LLP Act, 2008 (6 of 2009)]

THIS AGREEMENT of Limited Liability Partnership (LLP) is made at ……………… this ……………….. day of ……….. 20 ……………

BETWEEN
(1) ………………….. a company registered under the Companies Act, 2013, having its Registered Office at ……………. through its authorised representative ……………….. which expression shall, unless it be repugnant to the subject or context thereof, include their legal heirs, successors, nominees and permitted assignees and hereinafter called the FIRST PARTY,

(2) ………………. S/o, D/o, W/o …………… R/o ……………….. which expression shall, unless it be repugnant to the subject or context thereof, include their legal heirs, successors, nominees and permitted assignees and hereinafter called the SECOND PARTY and

(3) ………………. S/o, D/o, W/o ……………….. R/o ………………. which expression shall, unless it be repugnant to the subject or context thereof, include their legal heirs, successors, nominees and permitted assignees and hereinafter called the THIRD PARTY and

(All the PARTIES hereto, i.e., the FIRST PARTY, the SECOND PARTY and the THIRD PARTY shall be collectively called or referred to as the PARTNERS).

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WHEREAS the First Party is ……………………
WHEREAS the Second Party is …………………….
WHEREAS the Third Party is ……………………

NOW the First Party, the Second Party and the Third party are interested in forming a Limited Liability Partnership (LLP) under the Limited Liability Partnership Act, 2008 and intend to write down the terms and conditions of the said LLP as below.

IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES/PARTNERS HERETO AS FOLLOWS:

Name of the LLP
1. A Limited Liability Partnership (LLP) shall be carried on in the name and style of M/s ……………… LLP and hereinafter called as the LLP.

Registered Office
2. The LLP shall have its Registered Office at ………………… and/or at such other place or places, as shall be agreed to by the majority of the partners from time to time.

Capital contribution
3. The Capital Contribution of the LLP shall be ₹ ………………….. (Rupees ……………….. Only) which shall be contributed by the partners in the following proportions:
First Party ……………….. % i.e. ₹ ………………… (Rupees Only)
Second Party ……………… % i.e. ₹ ……………… (Rupees Only)
Third Party ………………. % i.e. ₹ ……………….. (Rupees Only)

The further Contribution if any required by the LLP shall be brought by the partners in their profit sharing ratio.

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Profit sharing ratio (PSR)
4. All the Partners of the LLP are entitled to share Profits & Losses in the ratio of their respective Capital Contribution in the LLP. The net profits & losses of the LLP shall be arrived at after providing for payment of Remuneration to the Designated and working partners and Interest on Partners’ Contribution in the LLP or Loan given by them to the LLP.

Business and Objects of the LLP
5. The Objects, business and activities of the LLP shall be under:
……………………………………………………………………….
………………………………………………………………………
and other incidental and ancillary business more particularly described in the Schedule ‘A’ annexed herewith or any other business in any other manner as may be decided by the majority of the Partners.

Common Seal
6. The LLP shall have a common seal to be affixed on documents as defined by partners under the signature of any of the Designated Partners.

7. The immovable properties purchased by the LLP shall be clear, marketable and free from all encumbrances.

Admission of New Partner
8. No Person may be introduced as a new partner without the consent of all the existing partners. Such incoming partner shall give his prior consent to act as Partner of the LLP.

9. Capital Contribution of the new partner may be tangible, in-tangible, movable or immovable property and the incoming partner shall bring minimum Contribution of ₹ ……………….. (Rupees …………………… Only).

10. Profit Sharing Ratio (PSR) of the incoming partner will be in proportion to his capital contribution in the LLP. ‘

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First Schedule of LLP Act not to apply
11. Provisions of First Schedule to the Limited Liability Partner-ship Act, 2008 (the LLP Act, 2008 (6 of 2009)] will not apply to the LLP as the LLP will be governed by the terms of this LLP Agreement.

Remuneration & Interest to Partners
12. The LLP shall pay such Remuneration to the Designated Partners and working partners as may be decided by the majority of the Partners, for rendering his/her/its services.

13. The LLP shall pay such Interest to the Partners on Capital Contribution in the LLP as may be decided by the majority of the Partners.

14. If any partner advances any sum of money to the LLP over and above his Capital Contribution, the same shall be a debt due from the LLP to the said partner and shall carry simple interest at the rate of ………………. % per annum or any other rate decided by the partners by majority/unanimously.

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Rights of the Partners
15. All the partners hereto shall have the rights, title and interest in all the assets and properties in the said LLP in the proportion of their Capital Contribution.

16. All the partners of the LLP shall be the working partners and each of the partners shall give time and attention as may be required for the fulfillment of the objects of the LLP business.

17. Every partner has a right to have access to and inspect arid have copy any of the books of the LLP.

18. Each of the parties hereto shall be entitled to carry on their own, separate and independent business as they might hitherto be doing or may hereafter do as they deem fit and proper and other partners and the LLP shall have no objection thereto, provided that the said partner has intimated the said fact to the LLP before starting or commencing the independent business and in case of a business directly or indirectly competing with that of the LLP taken written consent of the LLP, provided also that he/she/it shall not use the name of the LLP to carry on the said business.

19. The LLP shall have perpetual succession and the death, retirement or insolvency of any partner shall not dissolve the LLP.

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20. On retirement of a partner, the retiring partner shall be entitled to full payment in respect of all his rights, title and interest in the partnership as herein provided. However, upon insolvency of a partner his or her rights, title and interest in the LLP shall come to an end.

21. Upon the death of any of the partners herein any one of his or her or its heirs will be admitted as a partner of the LLP in place of such deceased partner. The heirs, executors and administrators of such deceased partners shall be entitled to and shall be paid the full payment in respect of the right, title and interest of such deceased partner.

22. On the death of any partner, if his or her or its heirs opt not become the partner, the surviving partners shall have the option to purchase the contribution of the deceased partner in the LLP.

23. Every partner shall account to the limited liability partnership (LLP) for any benefit derived by him without the consent of the LLP from any transaction concerning the LLP, or from any use by him of the property, name or any business connection of the LLP.

24. Each Partner shall be just and faithful to the other partners in the conduct of business and all the transactions relating to the LLP.

25. Every partner shall indemnify the limited liability partnership (LLP) and the other existing partners for any loss caused to it by his/her/its fraud in the conduct of the business of the limited liability partnership (LLP).

26. Each partner shall render true accounts and full information of all things affecting the LLP to any partner or his legal representatives.

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27. In case any of the Partners of the LLP desires to transfer or assign his, her or its interest or share in the LLP he has to offer the same to the remaining partners by giving 15 days notice. In the absence of any communication by the remaining partners the concerned partner can transfer or assign his share in the market.

28. No partner shall without the written consent of the LLP, –
(1) Engage any employee or dismiss any employee of the LLP except for gross misconduct.
(2) Employ any money, goods or effects of the LLP or pledge the credit thereof except in the ordinary course of business and upon the account or for the benefit of the LLP.

(3) Lend money or give credit on behalf of LLP or have any dealings with any person, company or firm whom the LLP has previously in writing forbidden it to trust or deal with. Any loss incurred through any breach of the provisions shall be made good to the LLP by the partner incurring the same.

(4) Enter into any bond, bail or become guarantor, surety or security with or for any person or knowingly do, cause or suffer to be caused anything whereby the LLP property or any part thereof may be seized or endangered.

(5) Assign, mortgage or charge his/her/its share in the LLP or any asset or property of the LLP or make any other person a partner or subpartner therein.

(6) Compromise or compound or release or discharge any debt due to the LLP (except upon payment in full).

(7) Engage directly or indirectly in any business competing with that of the limited liability partnership (LLP).

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Meetings of Partners of the LLP
29. All matters related to the LLP as mentioned in Schedule B to this LLP Agreement shall be decided by a Resolution passed by majority in number of the partners & for this purpose each partner shall have one vote.

30. The meeting of the Partners may be called by sending 15 days prior notice to all the partners at their residential address or by mail at the email ID provided by the individual Partners in written to the LLP. In case any partner is a foreign resident the meeting may be conducted by serving 15 days prior notice through e-mail. Provided that the meeting may be called at shorter notice, if the majority of the partners agree in writing to the same either before or after the meeting. In case, any urgent meeting is called, the notice requirement may be ratified by all the Partners.

31. Meeting of the Partners shall ordinarily be held at the Registered Office of the LLP or at any other place as per the convenience of partners.

32. With the written Consent of all the partners, a Meeting of the Partners may be conducted through Tele Conferencing or Video-Conferencing.

33. The limited liability partnership (LLP) shall ensure that decisions taken by it are recorded in the minutes within thirty days of taking such decisions and are kept and maintained at the registered office of the LLP.

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Duties of Designated Partners
34. Authorised representatives of the First Party and the Second Party shall act as the Designated Partners of the LLP in terms of the requirements of the Limited Liability Partnership Act, 2008 (6 of 2009).

35. Designated Partners shall be responsible for the doing of all acts, matters and things as are required to be done by the limited liability partnership (LLP) in respect of compliance of the provisions of the LLP Act including filing of any Document, Return, Statement and the like Report pursuant to the provisions of Limited Liability Partnership Act, 2008.

36. The Designated Partners shall be responsible for the doing of ail acts and deeds arising out of this LLP Agreement.

37. Each partner shall punctually pay and discharge the separate loans and debts and indemnify the other partners and the LLP assets against any loss caused or suffered by the LLP and all proceedings, costs, claims and demands from the LLP in respect thereof.

Books of Account
38. Books of Accounts of the limited liability partnership (LLP) shall be kept at the registered office of the LLP for reference, access, inspection and having copies of by all the partners.

39. The accounting year of the LLP shall be the Financial Year, he., from 1st April of the year to 31st March of the subsequent year. The first accounting year shall be from the date of commencement of the LLP till 31st March of the subsequent year.

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Bank Accounts
40. Bankers of the partnership shall be Bank Branch and/or such other Bank or Banks as the partners may from time to time be agree upon by majority/unanimously.

41. Bank Accounts of the LLP including Loans, Advances & Credit Limits, if any, from the Banks.and Financial Institutions taken by the LLP, may be opened and operated by the Designated Partners and other Partners either singly or jointly as may be agreed upon from time to time by the partners by majority/unanimously.

Extent of Liability of the LLP
42. The LLP is not bound by anything done by a partner in dealing with a person if —
(1) the partner in fact has no authority to act for the LLP in doing a particular act; and-
(2) the person knows that he has no authority or does not know or believe him to be a partner of the LLP.

Indemnity
43.
The limited liability partnership (LLP) shall indemnify each partner in respect of payments made and personal liabilities incurred by him –

  1. in the ordinary and proper conduct of the business of the limited liability partnership (LLP); or
  2. in or about anything necessarily done for the preservation of the business or property of the limited liability partnership (LLP).

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44. The LLP shall indemnify and defend its partners and other officers from and against any and all liability in connection with claims, actions and proceedings (regardless of the outcome), judgment, loss or settlement thereof, whether civil or criminal, arising out of or resulting from their respective performances as partners and officers of the LLP, except for the gross negligence or willful misconduct of the partner or officer seeking indemnification.

Arbitration
45. All disputes between the partners or between the Partners and the LLP arising out of the LLP Agreement which cannot be resolved in terms of this LLP Agreement shall be referred for arbitration as per the provisions of the Arbitration and Conciliation Act, 1996 (26 of 1996).

Cessation of existing Partners
46. Any partner may cease to be a partner of the LLP by giving a notice in writing of not less than 30 days to the other partners of his intention to resign as partner.

47. No majority of Partners can expel any partner except in the situation where any partner has been found guilty of carrying of activity/business of the LLP with fraudulent purposes.

Winding up of the LLP
48. The LLP can be wound up with the consent of all the partners subject to the provisions of the Limited Liability Partnership Act 2008.

IN WITNESS WHEREOF the parties have put their respective hands the day and year first here in above written.

Appearances & Art of Advocacy – CS Professional Study Material

Signed and deIiered by

For and on behalf of ……………………… (Name of the LLP)
(Partner)
(Partner)
(Partner)

Witnesses:
1. Name : ……………………….
Address : ……………………….
Signature : ……………………….

2. Name : ……………………….
Address : ……………………….
Signature : ……………………….

Appearances & Art of Advocacy – CS Professional Study Material

Appearances & Art of Advocacy Notes

Introduction
With the growth of the corporate sector, the role of the Company Secretary (CS) has increased. He is not just a compliance officer who does only the secretarial work of the company. He acts as a nodal point of contact b/w the company and its shareholders, debenture holders, depositors, financial institutions and the Government. Further, a CS can appear as an authorized representative before:

  • National Company Law Tribunal Under the Company Act, 2013.
  • Competition commission of India i.e. CCI – Under the Competition Act, 2002
  • Securities Appellate Tribunal i.e. SAT – Under the SEBI Act, 1992
  • Telecom Regulatory Authority of India i.e. TRAI – Under the TRAI Act, 1997 (as amended in 2002)
  • Various other tribunals

Appellate Authorities under various Acts

Name of the Act Appellate Authority Type of Appeal or who can appeal Time limit within which the appeal is to be filled
Companies Act, 2013 NCLT Refusal by the public company to register the transfer or transmission of its shares or debenture within a period of thirty days.
  • Within Sixty days of the receipt of notice of such refusal.
  • Where no notice has beeen sent by the company, within ninety days from the date on which the instrument of transfer was delivered to the company.
TRAI Act, 1997 (as amended in 2000) Supreme Court Any person aggrieved by any order of the Appellate Tribunal may appeal to Supreme Court. Within 90 days from the date of the order appealed against. The Supreme Court may condone the delay in filing appeal.
SEBI Act, 1992
  • SAT
  • Supreme Court
  • Any person aggrieved by an order of the SEBI or an adjudicating authority.
  • Any person aggrieved by any order of the SAT.
  • Within 45 days of the receipt of the copy of the said order.
  • Within 60 days from the date of communi­cation of the said order. The Supreme Court may condone the delay in filing appeal.
Competition Act, 2002
  • Appellate Tribunal
  • Supreme Court
  • Any person aggrieved by an order of the CCI.
  • Any person aggrieved by an order of the appellate Tribunal.
  • Within 60 days of the receipt of a copy of the said order. The  Tribunal may condone the delay in filing appeal.
  • Within 60 days of the receipt of a copy of the said order. The Supreme Court may condone the delay in filing appeal.

Appearances & Art of Advocacy – CS Professional Study Material

Appellate Authorities under Real Estate (Regulation and Development) Act, 2016

Real Estate Regulatory Authority
Apart from the day to day implementation of the Real Estate (Regulation and Development) Act, 2016 and the Rules and Regulations made thereunder the immediate responsibility of the small Regulatory Authority are:
(a) Registration of the real estate project and the real estate agent;
(b) Extension of registration of the real estate project and its revocation;
(c) Renewal of registration of the real estate agent and its revocation;
(d) As per Section 34 the Authority is responsible to maintain a website of records for public viewing of-

  • all projects registered with the Authority including details of projects as specified in the Act and the rules and regulations – to be disclosed on the website;
  • details of promoters with photographs of promoters;
  • details of projects in case of revocation of registration or where any project penalized under the Act;
  • details of agents registered under the Act including his photograph and also of those agents whose registration has been revoked.

(e) As per Section 71 the Authority is required to appoint one or more ‘adjudicating officer’ in consultation with appropriate Government.

(f) As per Section 85 the Regulatory Authority is required to notify Regulations within 3 months of establishment.

(g) As per Section 32 the Regulatory Authority is also required to make recommendations on various matters for the growth and promotion of a healthy, transparent, efficient and competitive real estate sector.

Appearances & Art of Advocacy – CS Professional Study Material

Real Estate Appellate Tribunal
The Appellate Tribunal is a quasi-judicial body, which is empowered to hear appeals from the orders/decisions/directions of the Regulatory Authority or the Adjudicating Officer, as the case may be. The form and manner and the fees payable towards filing the appeal and the manner for hearing and disposing the appeal are to be provided by Rules to be made by the appropriate Government.

Drafting of affidavit in evidence – important considerations
The following points must be kept in mind while preparing the affidavit-in-evidence by the parties:

  • The best evidence is that of a person who was personally involved in the whole transaction.
    • In case, the petitioner himself was involved in the execution of a contract, he should file affidavit – in – evidence.
    • The allegations or charges or grounds relating to the facts should be reproduced duly supported by documentary evidence. There is no need to prove the position of law.
    • If the issue pertains to engineering, medical, science etc. then the evidence of expert is to be filed in the form of his affidavit. E.g. hand writing or finger print experts etc.
    • If possible, the party who is filing the affidavit – in- evidence should also file the relevant documents etc. to demolish the defence by the opposite party.
    • At the time of tendering the affidavit – in – evidence, the party must bring along with it:
  • either the original of the documents etc. relied upon by it, or
  • the carbon copy of the same.
    (Note : carbon copy is different from photo copy)

Rule of adverse inference

  • If a party is in possession of best evidence on the issue involved, then it’s his/her responsibility to produce such evidence and if such party fails to do so, the Court will be justified in drawing an adverse inference against that party.
  • Similarly, if the issue involved requires evidence of expert and the party fails to produce such expert’s evidence, the Court will be justified in drawing an adverse inference against that party.

Appearances & Art of Advocacy – CS Professional Study Material

Arguments on preliminary submissions

  • Preliminary submissions should primarily confine to the true and correct facts regarding the issue involved and which have been suppressed or not disclosed by the other side in the pleadings.
  • Such, submissions should also be supported by the relevant provisions of law.

Arguments on merit
These are the arguments relating to the facts pleaded by the parties. The lawyer/ authorised representative should carefully point out the pleadings of the parties and the relevant evidence in support thereof, lead by parties.

For instance
Where an agreement / contract of service is pleaded and there’s no evidence in support of such an agreement / contract, it should be specifically pointed out that the opponent has failed to establish that such an agreement / contract actually exists.

Legal pleadings / Submissions
While taking such plea, one should ensure that the legal provisions and / or interpretation thereof, are very clear and directly applicable to the issues involved in the matter. Some illustrations are as under:

  • Suit is barred by limitation
  • Court has no jurisdiction
  • Plaintiff has no right to sue
  • Suit is barred by principles of res judicata
  • As already discussed, some of these are technically known as ‘special defences’.

Appearances & Art of Advocacy – CS Professional Study Material

Relief sought in appeal

  • Even though it’s not a mandatory requirement to mention the relief sought by the appellant, but it’s an established practice to mention the relief sought
  • Even in case of absence of prayer for relief in appeal, the Court is bound to exercise its powers and give to the appellant such relief as it thinks fit.

Importance of dress code

  • In professional life, it’s important to look presentable because personal appearance counts. The way you dress, speaks volumes about how you are as a person and as a professional.
  • Remember, “First impression is the last impression”. Your clothes and body language always speak first.
  • A dress code is a set of rules governing a certain combination of clothing.
  • In today, scenario, almost every major organisation has its own dress code. It has been observed that people who do not dress properly are not taken seriously by their co-workers.

Appearances & Art of Advocacy – CS Professional Study Material

Guidelines for professional dress of CS
The ICSI has prescribed the following guidelines for professional dress for members: .

  1. For male members, it will be :
    • Navy Blue suit and white shirt with a tie (preferably of the ICSI); or
    • Navy Blue buttoned – up coat over a pant; or
    • Navy Blue safari suit.
  2. For female members, it will be saree or any other dress of a sober colour with a Navy Blue jacket.
  3. Members in employment may wear the dress as specified by the employer
  4. Practicing CS appearing before any tribunal or quasi – judicial body should adhere to the dress code, if any, prescribed for appearance in before such body or if allowed the aforesaid professional dress.

Professional etiquettes- introduction

  • Etiquette is the fine art of behaving in front of others. It’s a set of practices and forms which are followed in a wide variety of situations. It’s considered a branch of decorum, or general social behaviour.
  • Today, corporates look for those candidates who possess manners, a professional look and demeanor, and the ability to converse appropriately with business colleagues and clients.

Categories of professional etiquettes
It can be said that the following are the broad categories of etiquettes :

  • Dressing etiquettes
    • Wear nice and neatly pressed formal clothes
    • Men should preferably wear ties
    • Avoid wearing exposing dresses
    • Keep the hair neatly trimmed & set
    • Keep your shoes polished
    • Keep your nails clean
  • Handshake etiquettes
    • A firm handshake is an indication of being confident and assertive (but not with a bone crushing or fish – limp grip)
    • Always rise during introduction with someone
    • Make eye contact while shaking hands.
  • Communication etiquettes
    • Always speak politely. A good listener is always dear to every client
    • Always greet the other person
    • Stand about an arm’s length away while talking to others
    • Make eye contact while talking to other person
    • Speak to the point
    • Don’t get too informal while communicating with seniors or colleagues
  • Invitation etiquettes
    • Reply by the date given in the invitation to help the host in making necessary arrangements
    • Don’t ask for permission to bring a guest unless the invitation states
    • Mingle and converse with other guests
    • Don’t overstay at the event
    • Extent your thanks as you leave
  • Dining etiquettes
    • Be courteous & polite at while official dinners
    • Initiate conversations while waiting for the food
    • Start eating only when everyone has been served
    • Don’t speak with your mouth full
    • Avoid pointing the knife or fork towards other person while eating and speaking
    • Learn the basic table manners
  • General etiquettes
    • Be punctual at your workplace.
    • During a meeting, turn off your mobile phone or keep it on silent mode.
    • In a meeting, stand up to greet the seniors if they arrive after you.
    • Try to ignore funny / embarrassing sounds in a meeting.

Appearances & Art of Advocacy – CS Professional Study Material

Conduct and Etiquette of a CS
While presenting the case before a tribunal / quasi judicial body, a CS owes duty to the tribunal as well as to the client as under:

  • Duty to the Court
    • Conduct yourself with dignity & self respect
    • Maintain a respectful attitude towards the Court
    • Do not influence the Court’s decision by any illegal / improper manner
    • Do not enter any plead, if any member thereof is related to the CS or in which he himself has pecuniary interest.
  • Duty to client
    • Do not withdraw from engagements once accepted, without sufficient cause.
    • Uphold the interest of the client by all fair and reasonable means.
    • Do not abuse or take advantage of the confidence reposed in him by the client.
  • Duty to opponent
    • Do not communicate anything related to the case to anyone else except the opponent’s advocate.

Appearances & Art of Advocacy – CS Professional Study Material

Court Craft

  • Company Secretaries Act as an authorized representative before various Tribunals/quasi judicial bodies.
  • It is necessary for them to learn art of advocacy or Court craft for effective delivery of results to their clients when they act as an authorized representative before any tribunal or quasi judicial body.
  • For winning a case, art of advocacy is important which in essence means to convince the judge and others that my position in the case is the proper interpretation.
  • Advocacy/Court craft is learned when we enter the practicing side of the profession. The aim of advocacy is to make judge prefer your version of the truth.
  • Technical and legal knowledge about the area in which Company Secretaries are acting is essential.
  • Better their knowledge, the better their advocacy skills and the greater their impact. Good advocacy or negotiating skills will not compensate for lack of appropriate knowledge.

Drafting of pleadings
Some of the important factors which may be borne in mind while making written pleadings are as under:

  • Quote relevant provisions in the petition and excerpts of observations made by the Courts relevant to the point;
  • Draft prayers for interim relief in such a manner which though appears to be innocuous but satisfy your requirements;
  • Do not suppress facts;
  • Highlight material facts, legal provisions and Court decisions, if any;
  • State important points at the outset together with reference to relevant provisions/ judgements.

Appearances & Art of Advocacy – CS Professional Study Material

Advocacy tips
Some of the tips given by legal experts which professionals like Company Secretaries should bear in mind while appearing before Tribunals or other quasi-judicial bodies are given herein below. They say while pleading, a judge in your pleadings looks for:

  1. Clarity: The judge’s time is limited, so make the most of it.
  2. Credibility: The judge needs to believe that what you 4re saying is true and that you are on the right side.
  3. Demeanour: We don’t have a phrase “hearing is believing”.
  4. Eye contact: While pleading, maintain eye contact with your judge.
  5. Voice modulation: Voice modulation is equally important.
  6. Psychology: Understand judge’s psychology as your job is to make the judge prefer your version of the truth.
  7. Be likeable: At least be more likeable than your opponent. If you can convert an unfamiliar Bench into a group of people who are sympathetic to you personally, you perform a wonderful service to your client.
  8. Learn to listen.

As Regards Advocacy
Advocacy is the presentation of logical facts of any dispute in a right perspective. It employs the noblest faculties of the human mind by differentiating between right and wrong, just and unjust, equitable and inequitable. This could be done only by applying the knowledge of law acquired by extensive and intensive learning.

Appearances & Art of Advocacy – CS Professional Study Material

Company Secretaries should be able to formulate and present a coherent submission based upon facts, general principles and legal authority in a structured, concise and persuasive manner. They should understand the crucial importance of preparation and the best way to undertake it and be able to demonstrate an understanding of the basic skills in the presentation of cases before the tribunals. They should be able to:

  • Identify the client’s goals and should continue to enjoy the confidence of his client;
  • Identify and analyse factual material;
  • Develop a presentation strategy;
  • Outline the facts in simple narrative form;
  • Structure and present in simple form the legal framework of the case;
  • Structure the submission as a series of propositions based on the evidence;
  • Identify, analyse and assess the specific communication skills and techniques;
  • Demonstrate an understanding of the purpose, techniques and tactics of examination, cross-examination and re-examination to adduce, rebut and clarify evidence;
  • Demonstrate an understanding of the professional ethics, etiquette and conventions of advocacy.

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