Draft Documents For Surrender of Multiple DIN

PROCESS FOR SURRENDER OF MULTIPLE DIN

As per Section 153 of Companies Act, 2013, Every individual intending to be appointed as director of a company shall make an application for allotment of Director Identification Number to the Central Government in such form and manner and along with such fees as may be prescribed.

Section 153 read with rule 11 of The Companies (Appointment and qualification of Directors)

(a)          Holder of duplicate DIN shall make an application for surrender with Regional Director.

(b)         The application shall be made in form DIR-5.

(c)          The application shall be accompanied with a declaration on affidavit duly notarized that he has never been appointed as director in any company and the said DIN has never been used for filing of any document with any authority.

(d)         The form DIR-5 is physical form so form DIR-5 will be attach in form RD-1 and filed with Regional Director.

Attachments of RD- 1:

• DIR-5
• Self attested copy of PAN Card
• Self attested copy of Passport
• Affidavit of surrender of DIN + Board Resolution, if any
  
  

(e)      The Central Government will check E-records.

Step 2: Filing of Compounding Application with the RD/CLB in e-Form GNL-1

After filing of DIR-5 in e-Form RD-1, an application for compounding of offence under Section 621A of the Companies Act 1956 (corresponding to Section 441 of Companies Act 2013, which is yet to be notified) has to be filed in e-Form GNL-1.

The application must include the following documents:

a) A petition in Form 1 of Companies (Court) Rules 1959

b) Copy of RD-1 filed along with SRN Receipt

c) Copy of DIR-5

d) Notarized Affidavit

e) Power of Attorney in favor of Professional on stamp paper

f) Memorandum of Appearance signed by Professional

g) Copy of Show Cause Notice

h) Copies of past 3 year's financial statements can be asked for on verification of documents.

The fee for filing will be as per Annexure A of Instruction Kit for e-Form.

Step 3: Filing of Hard Copy of Application with Regional Director/Company Law Board

In case the maximum amount of fine does not exceed Rs. 50,000, the application has to be filed with RD. If the fine exceeds Rs. 50,000, the application has to be filed with CLB.

Two sets of these documents should be prepared: one for filing with RD/CLB and another as office copy to record acknowledgment of submission.

In case the RD/CLB seeks any more information or evidence to support the case, the same may be filed in the manner prescribed.

Step 4: Filing of Order of RD/CLB in Form INC-28 with ROC

On receiving the Order for compounding of offence, the penalty determined must be paid and a copy of the Order along with challan for payment must be filed in e-Form INC-28 with the ROC.

Draft Format

AFFIDAVIT

1. I_________, son of_______________ born on __________, Resident of _______________, City : _________, Pin Code : ________, State : __________, (India)  hereby confirm and verify that the particulars mentioned below are true and correct and also in agreement with the documents being attached to the application and I am solely responsible for its accuracy.

2. I have been allotted two Director Identification Numbers (DIN) by mistake 

The numbers are:

1. DIN No: __________
2. DIN No: __________
   
   
1. I hereby apply for cancellation of the DIN No. : ….. on the ground :-
   
   

The DIN has been applied and allotted by mistake and unintentionally.

3. The DIN No. ….. has been inoperative from the date of allotment. The Said number has not been used before Ministry of Corporate Affairs and/or any other authority and also I am not holding the Directorship with any company. 
   
   
4. I shall hereby undertake and indemnify in writing to indemnify any person for any losses that may arise pursuant to cancellation of above DIN.

                                  

 ____________________

Signature of Deponent

Board Resolution

========================================================================

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED BY THE DIRECTORS OF ________________ PRIVATE LIMITED ON (DATE) AT ITS REGISTERED ADDRESS AT _________, _________, City : ___________, Pin Code : ______ State : _______________.  AT 3.00 PM

Compounding of offence

Application for Compounding of offence :-

WHEREAS the Registrar of companies has filed [has issued a show cause notice for filing] a complaint for prosecution of the companies and its officers-in-default for violation of companies of section 137 of companies act 2013(‘the act’);

AND WHEREAS the aforesaid prosecution is in respect of an offence which is deemed to be a first offence within the meaning of clause (a) of the explanation to sub-section (2) of section 621A of the companies act 1956.

NOW THEREFORE, it is RESOLVED that an application to be made Registrar of companies pursuant to clause (a) of sub-section (3) of the said section of 621A of the Act for compounding the offence with the request to forward the same to the Central Government for necessary action.

Date:

Place:

For, ________________ Private Limited

______________

(Director)

DIN:

Compounding Application For 

Multiple DIN

BEFORE THE REGIONAL DIRECTOR, NORTH REGION

Compounding Application in the matter of Section 266G

of the Companies Act, 1956

AND

IN THE MATTER OF SECTION 621A OF THE COMPANIES ACT, 1956

(Name) ________________, the Petitioner, an individual residing at _______________, City : _________, Pin Code : ________, State : __________, (India) most respectfully submit as under: -

1. That a show cause notice under sections 266G of the Companies Act, 1956 has been issued on __^th ______, 20__ by the Regional Director for violation of provisions of section 266C of the Companies Act, 1956 (‘Act’ for short), by possessing multiple DIN numbers which is punishable with a fine.

2. That I submit that the DIN : ________ has been obtained by me vide the DIN Approval Letter dated _____________, copy whereof is annexed herewith as Annexure A. I have used the this DIN in incorporation of M/s. ________________ Private Limited (CIN:U___________), a Company incorporated under the provisions of the Companies Act, 1956.

3. That the DIN :  ___________ has been used in all annual filings, returns, forms etc. of M/s. ___________________- Private Limited with the Registrar of Companies and other applicable authorities.

4. That I further submit that the due to inadvertence without any mala fide intention, I obtained another DIN :___________ vide DIN Approval Letter dated ___________, copy whereof is annexed herewith as Annexure B and this DIN has been used in the __________ LLP/Company (CIN / LLPIN No. ___________) (‘LLP’ for short) which has already been struck off and the certificate with respect to that is also attached herewith as Annexure C.

5. That I further submit that the DIN : _____________ has been obtained due inadvertence and without any mala fide intention from my part.

6. Further the DIN : _____________ has also not been used anywhere else except as disclosed in Clause 4 above and the said Company/LLP has also been dissolved now.

5. I further submit that I pray the DIN Number : _____________, be cancelled and the offence under section 266G be compromised and compounded as I have already made the application for cancellation of another DIN Number i.e. _____ in Form DIR 5 along with Form DIR 1 and other necessary papers and documents which were physically been delivered by speed post to the Regional Director (NR) Joint Director, Ministry Of Corporate Affairs, _______________, City : _________, Pin Code : ________, State : __________, (India) and I am also ready and willing to pay such nominal amount by way of compounding charges as may be determined by the Hon'ble Authority.

GROUNDS

1. I have obtained the Second DIN : ______________ erroneously and due to inadvertence with no mala fide intention. This DIN was used only in ________________Company/LLP (CIN / LLPIN No. __________) and this Company/LLP is also struck off.

2. As on date of making of this application, this DIN : ___________ is not in use in any Company/ies or LLP/s.

3. I have used DIN : __________ in all annual filings, returns, forms etc. with the Registrar of Companies and other applicable authorities and no where the both the DIN were used simultaneously in a document/s or paper/s.

4. Upon inquiring upon the procedure of cancellation of multiple DIN, I had immediately made application to Regional Director (NR) for cancellation of the same with necessary documents.

Authority may kindly invoke the provisions of the said section and compound the defaults.

PRAYER

1. I pray to the Hon'ble Authority that to cancel the DIN : ________ as the application for the same has already been made in Form DIR 5 as an attachment of Form RD 1 and with other necessary papers and documents by physically.

2. I further pray to the Hon'ble Authority that the offence under section 266G of the Companies Act, 1956 may be pleased to compound on such reasonable terms and conditions as the Hon'ble Authority may determine for which act of kindness the petitioner shall remain grateful.

Dated day on this _______^th day of ______, 20__ at ___________(City Name).

Date: ____/__/20__

Place: _______________ 

 

                                                                                                                               _________________

(Name of Person)

Annexures to Application :

A) DIN Approval Letter of DIN : ________;

B) DIN Approval Letter of DIN :_________;

C) Notice of Struck of LLP;

D) Affidavit verifying the Application;

E) Memorandum of Appearance;

F) Authority to Company Secretaries; and

E) Proof of Dispatch of Application for cancellation of DIN : __________

Form DIR-5 

Application for surrender of Director Identification Number 

 

[Pursuant to section 153 & rule 11(f) of Companies (Appointment and Qualification of Directors) Rules, 2014]

Photographs

1. Applicant’s name (Enter full name and do not use abbreviations)

(a) First name:

(b) Last name:

(c) Middle name:

2. DIN of the applicant:

3. Reasons for surrender of DIN: ___________________

4. Income-tax permanent account number: (mandatory for Indian nationals) (Details of the applicant shall be as per Income-tax PAN)

5. And any one of the following

a. Voter’s identity card number

b. Passport number

c. Driving licence number

d. UID

6. Permanent residential address:

(a) Address Line I

Line II

(b) City

(c) State

(d) Country

(e) Pin code 2

(f) Phone

(g) Fax

(h) E-mail ID

7. Whether present residential address is same as permanent residential address:

O Yes

O No

8. Present residential address: (previous residential address, if not residing at the present residential address for more than 1 year)

(a) Address Line I

Line II

(b) City

(c) State

(d) Country

(e) Pin code

(f) Phone

(g) Fax

(h) E-mail id

9. Other information, if any, which the applicant intends to submit with regard to this application:

10. Whether the application is being digitally signed by the applicant himself:

O Yes

O No

I hereby also declare that

(a) the information and other particulars given in this Form are true and correct.

(b) I have never been appointed as director in any company and the DIN has never been used for filing of any document with any authority.

____________________

Signature of the applicant:

Date:

Place:

Certification

I declare that I have been duly engaged for the purpose of certification/verification of this form. It is hereby certified that:

a. I have satisfied myself about the identity of the applicant based on the perusal of the original of the attached document

Note: In case where the applicant is residing outside India the particulars have to be verified from the documents duly attested by the attesting authority as prescribed.

b. I also verify having attested the photograph of the said person:

(i) who is personally known to me; or

(ii) who met me in person along with the original of the attested documents 4

c. It is further certified that all required attachments have been completely attached to this application

d. I have gone through the provisions of the Companies Act, 2013 and Rules thereunder for the subject matter of this form and matters incidental thereto and I have verified the above particulars (including attachment(s)) from the original records maintained by the Company/applicant which is subject matter of this form and found them to be true, correct and complete and no information material to this form has been suppressed. I further certify that:-

a. All the required attachments have been completely and legibly attached to this form;

b. I have kept a copy of this form and attachments thereto, in my records for future reference.

c. It is understood that I shall be liable for action under section 448 and 449 of the Companies Act, 2013 for wrong certification, if any found at any stage.

Verified by

Company Secretary in practice / Chartered Accountant in practice / Cost Accountant in practice Or Managing Director / Director / Secretary

Mandatory Attachments:

(1) Proof of Identity:

For Indian Nationals: (Any one of the following):

O Income tax Permanent Account Number Card

O Voter’s identity card

O Passport

O Driving licence 5

O Unique Identity Number (UIN)

For Foreign Nationals and Non Resident Indians:

O Passport

O Others

(2) Proof of residence: (tick against the document being enclosed)

O Voter’s identity card

O Passport

O Driving license

O Electricity bill

O Telephone bill

O Bank account statement

O Others - Please specify

(3) Optional attachment(s), if any.

_____________________________________________________

Note:. Attention is also drawn to provisions of Section 448 and 449 which provide for punishment for false statement and false evidence.

Thanks & Regards,
CS Meetesh Shiroya