Adjudicating Authority (Procedure) Regulations, 2013. - GSR 177(E) - Prevention of Money-Laundering

MINISTRY OF FINANCE (Department of Revenue) Notification New Delhi, Dated 18-3-2013 GSR 177(E)- In exercise of the powers conferred by sub-section (15) of section 6 of the Prevention of Money-Laundering Act, 2002 (15 of 2003), the Adjudicating Authority, in supersession of the Adjudicating Authority Regulations, 2006, except as respects things done or omitted to be done before such supersession, hereby makes the following regulations regulating its procedure, namely :- CHAPTER I PRELIMINARY Short title and commencement 1. These regulations may be called the Adjudicating Authority (Procedure) Regulations, 2013. (2) These regulations shall come into force on the date of their publication in the Official Gazette. Definitions 2. (1) Unless the context otherwise requires, -- (a) Act means the Prevention of Money-laundering Act, 2002 (15 of 2003); (b) application means an application filed under sub-section (4) of section 17 or sub-section (10) of section 18 of the Act and includes a miscellaneous application; (c) Bench means a Bench of the Adjudicating Authority constituted by the Chairperson of the Adjudicating Authority; (d) complaint means a complaint made under sub-section (5) of section 5 of the Act; (e) Form means a Form appended to these regulations. (2) The words and expressions used herein and not defined in these regulations but defined in the Prevention of Money-laundering Act, 2002 shall have the meanings assigned to them in that Act. CHAPTER II APPLICATIONS AND COMPLAINTS Filing of applications and complaints 3. (1) Every application, complaint, pleading, affidavit and other papers to be filed before the Adjudicating Authority shall be fairly, legibly type-written or printed in Hindi or English on durable white foolscap folio paper of Metric A-4 size (30.5 cms. long and 21.5 cms. wide) on the one side of paper only in double space with left margin of 5 cms. and right margin of 2.5 cms. paginated, indexed and stitched together in the paper book form. (2) The complaint or application shall contain the e-mail address of the Complainant or the applicant as the case may be, and the defendants, if available. (3) The complainant or the applicant, as the case may be, shall file a soft copy in CD form, along with the Complaint or Application, as the case may be. Date and signature 4. The complainant or application, as die case may be, shall affix his signature and also state his name in capitals near his signature and initial or sign at the bottom of the each page with date on the last page. Attestation 5. The attestation of document annexed to a complaint or application or reply shall be made at the end of the document in the form given below: This Annexure is the true copy of the original document . (Signature) Name and Designation of the attester with date Receipt of papers 6. Every pleading, original application, miscellaneous application, original complaint and papers shall be received in the office hours on the working days and the officer in charge of the receiving branch shall issue receipt thereof in Form 1. Date of stamping of papers and maintenance of Inward Register in the following manner 7. The receiving branch shall immediately, on receipt of an or complaint or application other pleading or papers, affix the date and stamp of the Adjudicating Authority on all pages on the main or first copy and on the first page of each other copy of the application or complaint or other pleading or papers. (1) The official receiving the complaint or application, other pleading or papers shall put his initials on the stamp affixed on the first page of the main or first copy and on the first page of all other copies. CHAPTER III PRESENTATION, REGISTRATION NUMBER AND POSTING FOR ORDERS Duty of official authorised to receive application 8. The Official authorised by the Adjudicating. Authority to receive the complaint or application under the Act, shall immediately enter in the receipt register and shall put serial number (receipt number) on the application or complaint, as the case may be. Registration and numbering 9. (1) The Registrar or Administrative Officer or any officer authorised by the Chairperson of the Adjudicating Authority oh examining the complaint or application, as the case may be, shall direct registration. (2) The application ordered to be registered under section 8 shall be numbered as Original Application (O.A.). (3) The complaint ordered to be registered under section 8 shall be numbered as Original Complaint (O.C.). (4) Other miscellaneous applications ordered to be registered shall be numbered as Miscellaneous Application (M.A.). Cause list 10. (1) A daily cause list in Form 2 containing cases fixed for hearing on a day by the Adjudicating Authority shall be prepared under the signature of Registrar or Administrative Officer in triplicate and shall be pasted on the previous working day on the notice board of the Adjudicating Authority. (2) The Registrar or Administrative officer or officer authorised in this behalf by the Adjudicating Authority shall maintain a file of daily cause list and preserve for one year which shall be destroyed at the end of the next calendar year. Procedures to be followed by Registrar 11. (1) The Registrar shall have the custody of records of the Adjudicating Authority and shall exercise such other functions including weeding out of old records as may be assigned to him under these regulations by the Chairperson. (2) Subject to any general or special order of the Chairperson, the Registrar shall- (a) receive all complaints and applications and miscellaneous applications as well as the other documents; (b) endorse on such complaints and applications-the date of receipt; (c) check whether the complaints or applications are barred by limitation; (d) fix the date of hearing of the complaint and application subject to the directions of the Chairperson or Senior Member or Member of the Bench, as the case may be, and direct the issue of notices therefor; (e) bring on record legal representatives, in case of death of any party, to proceedings; (f) verify the service of notice or other processes and to ensure that the parties are properly served; (g) requisition on the direction of Adjudicating Authority records from the custody of any authority; (h) allow inspection of records of the Adjudicating Authority; (i) return the documents filed by any authority on orders of the Bench; (j) certify and issue copies of the orders of the Adjudicating Authority to the parties; (k) grant certified copies of documents filed in the proceedings to the parties, in accordance with these regulations; (l) ensure that remand reports are submitted in time whenever called for by the Bench by issuing necessary reminders to the authority concerned. Court Master to assist Bench 12. The Court Master, while performing his duties under the Act, shall assist the Bench during hearing of cases and perform such other functions incidental thereto. CHAPTER IV SERVICE OF SUMMONS AND NOTICES Issue of summons and notices 13. (1) Every summon or notice shall be issued in Form 3 or Form 4 or Form 5 or Form 6, as the case may be, signed by the Registrar or Administrative Officer. (2) Every summon and notice shall be served in the same manner as provided in Order V of Schedule 1 of the Civil Procedure Code, 1908 (5 of 1908), and the provisions of that Order shall apply, mutatis mutandis, to the proceedings before the Adjudicating Authority: Provided that there shall be no requirement of an application as provided under sub-rule (1) of rule 9A of the Order V of Schedule I of the Civil Procedure Code, 1908 (5 of 1908) for the purpose of service of summon or. notice, as the case may be: Provided further that there shall be no requirement of an order of the Adjudicating Authority as provided under rule 20 of the Order V of Schedule I of the Civil Procedure Code, 1908 (5 of 1908) for effecting substituted service, (3) Notwithstanding anything in sub-regulation (2), a summon or notice may be communicated through electronic mode as provided in section 13 of the Information Technology Act, 2000 (21 of 2000) and transmission of such communication shall be regarded as valid service. Steps for fresh summon and notice 14. If any summon or notice is returned unserved, the complainant or applicant shall take steps for service of summon or notice, as ordered, failing which, the matter shall be placed before the Bench hearing the case. Filing of reply to notice 15. (1) The reply shall be filed by the defendants on or before the date fixed for hearing, with a copy delivered to the complainant or applicant, as the case may be. (2) Ordinarily, no reply shall be entertained after the date stipulated above. (3) The reply shall contain the e-mail address of the defendant. Inspection of records 16. (1) Inspection of records, upon the application in Form 7 shall be allowed under the orders of the Chairperson of the Adjudicating Authority, or the Registrar or the Administrative Officer, as the case may be. (2) On grant of application for inspection of the records, the Administrative Officer or an officer authorized in that behalf shall arrange to procure the records of the case and allow inspection of such records on the date and time fixed by the Registrar in the presence of the officer authorized by the Registrar. (3) The officer supervising inspection may, at any time, prohibit further inspection, if in his opinion any of the records are likely to be damaged in the process of inspection. Fees for inspection of records 17. (1) Fees for inspecting records and registers of the Adjudicating Authority shall be- (a) one hundred rupees for the first hour of inspection or part thereof; and (b) fifty rupees for every additional hour of inspection or part thereof. (2) Fees for inspection shall be recovered in advance in cash. Fees for copying 18. (1) Fees for supply of certified copies of the documents shall be charged at the rate of twenty rupees for a full page or part thereof, irrespective of whether the copy is typed or xeroxed. (2) Except in cases where copies are supplied free under the rules or instructions for the time being in force and in cases covered by sub-rule (3), tine fees to be charged for the supply of copies on urgent basis shall twice the rate specified in sub-rule (1). (3) Where a party applies for urgent supply of a copy of evidence taken down by a stenographer, the fee charged shall be five times the rate specified in sub-rule (1). (4) Fees for supply of certified copies, whether typed or xeroxed, shall be recovered in advance in cash. Maintenance of application for inspection 19. Every application for inspection of records shall be maintained by the officer authorised by the Chairperson of the Adjudicating Authority and he shall obtain therein the signatures of the persons making such inspection. CHAPTER V Dress for Chairperson, Members of Adjudicating Authority and representatives of parties 20. (1) The Chairperson and Members of the Adjudicating Authority and representatives of the parties shall, while attending the proceedings of the Authority wear the dress specified in this regulation. (2) The dress for Chairperson and Members of the Adjudicating Authority, in case of summer season, shall be white shirt, white trouser with black coat, a black tie or a buttoned-up black Coat: Provided that in case of winter season, striped or black trousers may be worn in place of white trousers: Provided further that in case the Chairperson or Member, is a woman, such Chairperson or Member may wear black coat over white saree or white trouser both in summer and winter seasons. (3) The dress for the authorised representatives of the parties (other than a relative or regular employee of the defendant) appearing before the Adjudicating Authority shall be a suit with a tie or buttoned-up coat preferably in black colour over a pant or a long buttoned-up coat on dhoti or churidar pyjama: Provided that a woman representative may wear, black coat over white or any other sober coloured saree: Provided further that if the authorised representatives belong to a profession, like, lawyers or Chartered Accountants and a dress for appearing in their professional capacity before any court, tribunal or other authority, has been specified, then, such representative may, appear before the Adjudicating Authority in that dress, in lieu of the dress specified in this sub-regulation. (4) All other persons appearing before the Adjudicating Authority shall be properly dressed. Examination of witness and the issue of commissions 21. The provisions of the Code of Civil Procedure, 1908 (5 of 1908) relating to the issuing of commissions for examination of witnesses and documents shall, as far as may be applicable, apply in the matters of summoning and enforcing attendance of any person as witness and issuing a commission for examination of such witness. Recording of deposition 22. The deposition of the witness whenever necessary shall be recorded in Form 8. A Certificate of attendance, if requested for, will be issued in Form 9. Numbering of witness 23. The witness called by the applicant shall be numbered consecutively as P.Ws and those by the defendant or any other persons not being applicants as D.Ws. and any witness examined at the instance of the complainants shall be numbered consequently as CWs, and the witness called by the Adjudicating Authority shall be numbered as A.Ws. Witness expenses payable 24. The Adjudicating Authority may, if it considers necessary, direct the concerned party for the payment of expenses to the witness, as the case may be. Marking of documents 25. Every document filed by the applicant shall be marked as Ex. A1 and the document filed by the complainant shall be marked as Ex. C1 and the documents filed by the defendants or other person not being applicant shall be marked as Ex. D1 and so on. CHAPTER VI ORDERS Issue of Order 26. (1) The order supported by reasons recorded shall be pronounced in open court and on the date fixed in that behalf. (2) Every sheet of the order shall bear the signature of the Chairperson and Members constituting the Bench. Copy of order to be delivered on date of its pronouncement 27. If the parties or representatives of the parties remain present on the date of pronouncement of the order, a copy of the order, if ready, shall forthwith be delivered to the parties or the representatives of the parties present under their signatures and in that case, it shall not be necessary to send again the copy of the order to the parties present. Indexing of case files 28. (1) The officer concerned shall, on the disposal of an application or complaint, as the case may be, and on communication of the order to the parties or their representative, arrange the record with paging and prepare the index sheet in Form 10 and, thereafter, he shall affix his initial and transmit the record with the index enclosures in the record book, maintained in Form 11. (2) The Record-Keeper shall examine the record with general index and if the record is found to be in order, a note shall be given in the index to that effect and in case, any defect is found, the same shall be reported to the Administrative Officer or the officer authorised by the Chairperson of the Adjudicating Authority, who shall direct the concerned officer to make necessary corrections. (3) After completion of the examination of record, the list of the records shall be kept in a file and ordinarily at the end of the calendar year, the list shall be bound up so as to constitute a register of decided cases. (4) The record shall be kept in bundles and a label, showing the month and year of the decision or order, shall be attached to each bundle. CHAPTER VII GRANT OF CERTIFIED COPIES Application for certified copy 29. (1) An application for a copy shall be filed in the Form 12 by the parties along with required copying fee. (2) The copying fee (referred to in sub-regulation (1) shall be payable in the form of demand draft drawn in favour of administrative officer payable at the place of the Bench of the Adjudicating Authority and is non-refundable. Endorsement of a copy 30. Every copy shall bear the following particulars, namely:- (i) Number of the application entered in the register; (ii) Name of the applicant; (iii) Day, month and year of the application; (iv) Amount of copying fee paid; (v) Name of the copyist; (vi) Date fixed for issue of copy; (vii) Date on which copy was ready; (viii) Date of notice to applicant; (ix) Date of delivery or posting of the copy. FORM 1 [ see regulation 6] RECEIPT SLIP An application/complaint has been received on ................. from Shri ...................... Signature of Authorized Official/Officer FORM 2 [ see regulation 10(1)] DAILY CAUSE LIST Adjudicating Authority Date: Serial Number Application Number Name of Applicant or Complainant Name of Defendants Name of Applicant s or Complainant s Counsel Name of Defendant s Counsel Posted for 1 2 3 4 5 6 7 FORM 3 [ see regulation 13(1)] Before the Adjudicating Authority (Under The Prevention of Money - Laundering Act, 2002 ) New Delhi Notice to Show Cause . . . . . . . . . . . . . . . . . . . . . . . Complainant v. . . . . . . . . . . . . . . . . . . . . . . . Defendants Above named Complainant has filed a complaint under sub-section (5) of section 5 (of the Prevention of Money-laundering Act, 2002 (15 of 2003) against you. You are called upon to indicate the source of your income, earning or assets out of which or by means of which you have acquired the property attached under sub-section (1) of section 5 of the Prevention of Money laundering Act, 2002 (15 of 2003) the evidence on which you rely and other relevant information and particulars and show cause why all or any of such property should not be declared to be the properties involved in money-laundering and consequently why the attachment order should not be confirmed. or You are called upon to show cause why the provisional attachment order in respect of properties should not be confirmed as representing proceeds of crime being value of properties involved in money laundering. You are directed to appear before the Adjudicating Authority in person or through an advocate/authorized representative, duly instructed on day of ....... year ........ at (time) ........, at (place) .........., failing which the Complaint shall be heard and decided in your absence. Given under my hand and the seal of the Adjudicating Authority, this . day of . Registrar/Administrative Officer Adjudicating Authority address:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date: Seal FORM 4 [ see regulation 13(1)] Before the Adjudicating Authority (Under the Pervention of Money-Laundering Act, 2002 ) New Delhi Notice to Show Cause . . . . . . . . . . . . . . . . . . . . . . . Applicant v. . . . . . . . . . . . . . . . . . . . . . . . Defendants Above named applicant has filed an application under section (10) of section 18 read with section 17(4) of Prevention of Money Laundering Act, 2002 (15 of 2003) against you. You are called upon to show cause why the properties or records seized or frozen under section 17 should not be retained as involved in money laundering and required for the purposes of confiscation under Prevention of Money- laundering Act, 2002 (15 of 2003). You are directed to appear before the Adjudicating Authority in person or through an advocate/authorized representative, duly instructed on day of . Year . at (time) .., at (place) .., failing which the Application shall be heard and decided in your absence. Given under my hand and the seal of the Adjudicating Authority, this . day of Registrar/Administrative Officer Adjudicating Authority Address: . Date: Seal FORM 5 ( see regulation 13(1)] Before the Adjudicating Authority (Under the Pervention of Money- Laundering Act, 2002 ) New Delhi NOTICE TO SHOW CAUSE (Under the 3rd proviso of section 8(1) of Prevention of Money-laundering Act, 2002 ) . . . . . . . . . . . . . . . . . . . . . . . Applicant/Complainant v. . . . . . . . . . . . . . . . . . . . . . . . Defendants Above named Complainant has filed a complaint under sub-section (5) of section 5 of the Prevention of Money Laundering Act, 2002 (15 of 2003). Above named applicant has filed an application under section (10) of section 18 read with section 17(4) of Prevention of Money Laundering Act, 2002 (15 of 2003) against you. Whereas it appears that you have claimed the property provisionally attached under section 5(1) or seized or frozen under section 17 of Prevention of Money - laundering Act, 2002 (15 of 2003). You are hereby called upon to indicate and to show cause why such property/properties should not be declared to be the properties involved in money laundering, and why the order of provisional attachment or seizure or frozen should not be confirmed. You are directed to appear before the Adjudicating Authority, Prevention of Money Laundering, in person or through an advocate/authorized representative, duly instructed on ..day of year..... at (time) ., at (place) .., failing which the application/complaint shall be heard and decided in your absence. Given under my hand and the seal of the Adjudicating Authority, this .. day of, .. Registrar/Administrative Officer Adjudicating Authority Address: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date: . . . . . . . . . Seal FORM 6 SUMMONS TO WITNESS [ See Regulation 13(1)] (under section 11 of Prevention of Money - laundering Act, 2002) Ref: - OC./OA No. .......... of (year) .......... . . . . . . . . . . . . . . . . . . . . . . . Joint Director v. . . . . . . . . . . . . . . . . . . . . . . . Defendants To . . . Whereas your attendance is required to examine you on oath/for production of records/or receiving evidence on affidavit in the above mentioned case you are hereby required to appear personally/through. Authorized Representative before this Authority on the .. day of at ..o clock and to bring with you or to send to this Authority the records mentioned hereunder. If you fail to comply with this order without lawful excuse, you will be subject to the consequences of non-attendance laid down in rule 12 of Order XVI of the Code of Civil Procedure, 1908. Given under may hand and the seal of the court, this .. day of . Registrar Adjudicating Authority Note : (1) If you are summoned only to produce a document and not to give evidence, you shall be deemed to have complied with the summons if you cause such document to be produced in this court on the day and hour aforesaid. (2) Details of records to be produced: - 1. 2. 3. 4. FROM 7 [ see regulation 16(1)] APPLICATION FOR INSPECTION OF RECORDS To The Registrar/Administrative Officer, Adjudicating Authority, New Delhi. Kindly grant permission to inspect the record of the case mentioned below. Particulars of the record for which inspection is sought. (i) Kind of case. (ii) Number and year. (iii) Name of Parties. (iv) Dated of decision (or hearing), if pending Order of the Registrar/Administrative Officer Signature of the Applicant/Defendant/Counsel/Authorized Agent Office Report: Inspection commenced at ..on .20 ..Inspection concluded .. Inspection fee already paid with application Rs ..Additional fee, if any, paid Rs . . Signature of the Clerk Date FORM 8 [ see regulation 22] Before Adjudicating Authority Original Application No. STATEMENT OF WITNESS Oath Administered Name . Father s/Husband s Name . Age Occupation Place of residence and address .. Statement was read over to the witness who admitted it to be correct. Signature, Chairman/Member Adjudicating Authority New Delhi Date . FORM 9 [ see regulation 22] CERTIFICATE OF ATTENDENCE Certified that Shri . appeared before this Authority as a witness on O.A./O.C No /20 .., on behalf of the . On He was relieved at on .. He was paid/not paid any T.A. and D.A. Signature of Registrar/Administrative Officer Date FORM 10 [ see regulation 28] GENERAL - INDEX Records Part Description of paper No. of sheets in paper State of document Date of weeding Remarks A B A B FORM 11 [ see regulation 28] LIST Of RECORDS TRANSMITTED TO THE RECORD ROOM List of cases disposed by the Adjudicating Authority, in the month of year . Sl. No. Date of Disposal Number and year of suit or case Date of institution Name of parties Number of papers on record Details of additions to record made in the record room Remarks Part A Part B Date Particulars Number of Papers FORM 12 [ see regulation 29(1)] Application For Copy of Record To The Registrar/Administrative Officer, Adjudicating Authority, New Delhi. . . . . . . . . . . . . . . . . . . . . . . . (Applicant/Complainant) Vs. . . . . . . . . . . . . . . . . . . . . . . . (Non-applicant/Defendants) Decided/Fixed for hearing on . Kindly grant Photostat/typed certified Copy/Copies of the paper named in the following list from the record of the above mentioned case, for which I tender copying fee of the value of Rs . My address is . List Serial No. Full Particulars of the paper of which a copy is sought No. of copies required The purpose for which the copy is sought Remarks 1 2 3 4 5 [F. NO. 1/14/2012 - PMLA]