The Companies (Appointment and Qualification of Directors) Rules, 2014
Published vide Notification No. G.S.R. 259(E), dated 31st March, 2014
Last Updated 30th August, 2022 [act2371]
Ministry of Corporate Affairs
G.S.R. 259 (E). - In exercise of the powers conferred under second proviso to sub-section (1), sub-section (4), clause (f) of sub-section (6) of section 149, sub-sections (3) and (4) of section 150, section 151, sub-section (5) of section 152 section 153, section 154, section 157, section 160, sub-section (1) of section 168 and section 170 read with section 469 of the Companies Act, 2013, and in supersession of the Companies (Central Government's) General Rules and Forms, 1956 or any other rules prescribed under the Companies Act, 1956 (1 of 1956) on matters covered under these rules, except as respects things done or omitted to be done before such supersession, the Central Government hereby makes the following rules, namely :- 1. Short title and commencement. - (1) These rules may be called the Companies (Appointment and Qualification of Directors) Rules, 2014. (2) They shall come into force on the 1st day of April, 2014. 2. Definitions. - (1) In these rules, unless the context otherwise requires,-(a) "Act" means the Companies Act, 2013 (18 of 2013);
(b) "Annexure" means the Annexure to these rules;
(c) "digital signature" means the digital signature as defined under clause (p) of sub-section (1) of section 2 of the Information Technology Act, 2000 (21 of 2000);
(d) "Director Identification Number" (DIN) means an identification number allotted by the Central Government to any individual intending to be appointed as director or to any existing director of a company, for the purpose of his identification as a director of a company:
Provided that the Director Identification Number (DIN) obtained by the individuals prior to the notification of these rules shall be the DIN for the purpose of the Companies Act, 2013: Provided that the "Director Identification Number" (DIN) includes the Designated Partnership identification Number (DPIN) issued under section 7 of the Limited Liability Partnership Act, 2008 (6 of 2009) and rules made thereunder:(e) "electronic record" means the electronic record as defined under clause (t) of sub-section (1) of section 2 of the information Technology Act, 2000 (21 of 2000);
(f) "electronic Registry" means an electronic repository or storage system of the Central Government in which the information or documents are received, stored, protected and preserved in electronic form;
(g) "Fees" means the fees as specified in the Companies (Registration Offices and Fees) Rules, 2014;
(h) "Form" or "e-Form" means a form set forth in Annexure to these rules which shall be used for the matter to which relates;
(i) "Regional Director" means the person appointed by the Central Government in the Ministry of Corporate Affairs as a Regional Director;
(j) "section" means section of the Act;
(k) For the purposes of clause (d) of sub-section (1) of section 164 and clause (f) of sub-section (1) of the Act, "or otherwise" means any offence in respect of which he has been convicted by a Court under the Companies Act, 1956.
(2) Words and expressions use in these rules and not defined but defined under the Act or under the Act Contracts (Regulation) Act, 1956 (42 of 1956) or the Securities and Exchange Board of India Act, 1992 (15 of 1992) or the Depositories Act, 1996 (22 of 1996) or the Information Technology Act, 2000 (21 of 2000) the Companies (Specification of definitions details) Rules, 2014 shall have the meanings respectively assigned to them in the Act or in those Acts or such rules. 3. Woman director on the Board. - The following class of companies shall appoint at least one woman director -(i) every listed company;
(ii) every other public company having -
(a) paid-up share capital of one hundred crore rupees or more; or
(b) turnover of three hundred crore rupees or more:
Provided that a company, which has been incorporated under the Act and is covered under provisions of second proviso to sub-section (1) of section 149 shall comply with such provisions within a period of six months from the of its incorporation: Provided further that any intermittent vacancy of a woman director shall be filled-up by the Board at the earliest but not later than immediate next Board meeting or three months from the date of such vacancy whichever is later. Explanation. - For the purposes of this rule, it is hereby clarified that the paid up share capital or turnover, as the case may be, as on the last date of latest audited financial statements shall be taken into account. 4. Number of Independent director. - [(1)] The following class or classes of companies shall have at least two directors as independent directors -(i) the Public Companies having paid up share capital of ten crore rupees or more; or
(ii) the Public Companies having turnover of one hundred crore rupees or more; or
(iii) the Public Companies which have, in aggregate, outstanding loans, debentures and deposits, exceeding fifty crore rupees:
Provided that in case a company covered under this rule is required to appoint a higher number of independent directors due to composition of its audit committee, such higher number of independent directors shall be applicable to it: Provided further that any intermittent vacancy of an independent director shall be filled-up by the Board at the earliest but not later than immediate next Board meeting or three months from the date of such vacancy, whichever is later: Provided also that where a company ceases to fulfil any of three conditions laid down in sub-rule (1) for three consecutive years, it shall not be required to comply with these provisions until such time as it meets any of such conditions; Explanation. - For the purposes of this rule, it is here by clarified that, the paid up share capital or turnover or out standing loans, debentures and deposits, as the case may be, as existing on the last date of latest audited financial statements shall be taken into account: Provided that a company belonging to any class of companies for which a higher number of independent directors has been specified in the law for the time being in force shall comply with the requirements specified in such law. [(2) The following classes of unlisted public company shall not be covered under sub-rule (1), namely:-(a) a joint venture;
(b) a wholly owned subsidiary; and
(c) a dormant company as defined under section 455 of the Act.]
5. Qualification of Independent director. - (1) An independent director shall possess appropriate skills, experience and knowledge in one or more fields of finance, law, management, sales, marking, administration, research, corporate governance, technical operations or other disciplines related to the company's business. [(2) None of the relatives of an independent director, for the purposes of sub-clauses (ii) and (iii) of clause (d) of sub-section (6) of section 149,-(i) is indebted to the company, its holding, subsidiary or associate company or their promoters, or directors; or
(ii) has given a guarantee or provided any security in connection with the indebtedness of any third person to the company, its holding, subsidiary or associate company or their promoters, or directors of such holding company,
for an amount of fifty lakhs rupees, at any time during the two immediately preceding financial years or during the current financial year.] [6. Compliances required by a person eligible and willing to be appointed as an independent director. - (1) Every individual -(a) who has been appointed as an independent director in a company, on the date of commencement of the Companies (Appointment and Qualification of Directors) Fifth Amendment Rules, 2019, shall within a period of [thirteen months] from such commencement; or
(b) who intends to get appointed as an independent director in a company after such commencement, shall before such appointment,
apply online to the institute for inclusion of his name in the data bank for a period of one year or five years or for his life-time, and from time to time take steps as specified in sub-rule (2), till he continues to hold the office of an independent director in any company: Provided that any individual, including an individual not having DIN, may voluntarily apply to the institute for inclusion of his name in the data bank. (2) Every individual whose name has been so included in the data bank shall file an application for renewal for a further period of one year or five years or for his life-time, within a period of thirty days from the date of expiry of the period upto which the name of the individual was applied for inclusion in the data bank, failing which, the name of such individual shall stand removed from the data bank of the institute: Provided that no application for renewal shall be filed by an individual who has paid life-time fees for inclusion of his name in the data bank. (3) Every independent director shall submit a declaration of compliance of sub-rule (1) and sub-rule (2) to the Board, each time he submits the declaration required under sub-section (7) of section 149 of the Act. (4) Every individual whose name is so included in the data bank under sub-rule (1) shall pass an online proficiency self-assessment test conducted by the institute within a period of [two years from] the date of inclusion of his name in the data bank, failing which, his name shall stand removed from the data bank of the institute: [Provided that an individual shall not be required to pass the online proficiency self-assessment test when he has served for a total period of not less than three years as on the date of inclusion of his name in the data bank, -(A) as a director or key managerial personnel, as on the date of inclusion of his name in the data bank, in one or more of the following, namely: -
(a) listed public company; or
(b) unlisted public company having a paid-up share capital of rupees ten crore or more; or
(c) body corporate listed on any recognized stock exchange or in a country which is a member State of the Financial Action Task Force on Money Laundering and the regulator of the securities market in such member State is a member of the International Organization of Securities Commissions; or
(d) bodies corporate incorporated outside India having a paid-up share capital of US$ 2 million or more; or
(e) statutory corporations set up under an Act of Parliament or any State Legislature carrying on commercial activities; or
(i) the matters relating to commerce, corporate affairs, finance, industry or public enterprises; or
(ii) the affairs related to Government companies or statutory corporations set up under an Act of Parliament or any State Act and carrying on commercial activities.]
(C) in the pay scale of Chief General Manager or above in the Securities and Exchange Board or the Reserve Bank of India or the Insurance Regulatory and Development Authority of India or the Pension Fund Regulatory and Development Authority and having experience in handling the matters relating to corporate laws or securities laws or economic laws :
Provided further that for the purpose of calculation of the period of three years referred to in the first proviso, any period during which an individual was acting as a director or as a key managerial personnel in two or more companies or bodies corporate or statutory corporations at the same time shall be counted only once.] [Provided also that the following individuals, who are or have been, for at least ten years : -(A) an advocate of a court; or
(B) in practice as a chartered accountant; or
(C) in practice as a cost accountant; or
(D) in practice as a company secretary,
shall not be required to pass the online proficiency self-assessment test.] Explanation. - For the purposes of this rule, -(a) the expression "institute" means the 'Indian Institute of Corporate Affairs at Manesar' notified under sub-section (1) of section 150 of the Companies Act, 2013 as the institute for the creation and maintenance of data bank of Independent Directors;
(b) an individual who has obtained a score of not less than [fifty percent] in aggregate in the online proficiency self-assessment test shall be deemed to have passed such test;
(c) there shall be no limit on the number of attempts an individual may take for passing the online proficiency self-assessment test.]
[(5) Any individual whose name has been removed from the databank under sub-rule (4), may apply for restoration of his name on payment of fees of one thousand rupees and the institute shall allow such restoration subject to the following conditions, namely : -(i) his name shall be shown in a separate restored category for a period of one year from the date of restoration within which, he shall be required to pass the online proficiency self-assessment test and thereafter his name shall be included in the databank, only, if he passes the said online proficiency self-assessment test and in such case, the fees paid by him at the time of initial registration shall continue to be valid for the period for which the same was initially paid; and
(ii) in case he fails to pass the online proficiency self-assessment test within one year from the date of restoration, his name shall be removed from the data bank and he shall be required to apply afresh under sub-rule (1) for inclusion of his name in the databank.]
7. Small shareholders' director. - (1) A listed company, may upon notice of not less than one thousand small shareholders or one-tenth of the total number of such shareholders, whichever is lower, have a small shareholders director elected by the small shareholders provided that nothing in this sub-rule shall prevent a listed company to opt to have a director representing small shareholders suo motu and in such a case the provisions of sub-rule (2) shall not apply for appointment of such director. (2) The small shareholders intending to propose a person as a candidate for the post of small shareholders' director shall leave a notice of their intention with the company at least fourteen days before the meeting under their signatures specifying the name, address, shares held and folio number of the person whose name is being proposed for the post of director and of the small shareholders who are proposing such person for the office of director: Provided that if the person being proposed does not hold any shares in the company, the details of shares held and folio number need not be specified in the notice : (3) The notice shall be accompanied by a statement signed by the person whose name is being proposed for the post of small shareholders director stating -(a) his Director Identification Number;
(b) that he is not disqualified to become a director under the Act; and
(c) his consent to act as a director of the company.
(4) Such director shall be considered as an independent director subject to, his being eligible under sub-section (6) of section 149 and his giving a declaration of his independence in accordance with sub-section (7) of section 149 of the Act. (5) The appointment of small shareholders' director shall be subject to the provisions of section 152 except that-(a) such director shall not be liable to retire by rotation;
(b) such director's tenure as small shareholders' director shall not exceed a period of three consecutive years; and
(c) on the expiry of the tenure, such director shall not be eligible for re-appointment.
(6) A person shall not be appointed as small shareholders' director of a company, if the person is not eligible for appointment in terms of section 164. (7) A person appointed as small shareholders' director shall vacate the office if-(a) the director incurs any of the disqualifications specified in section 164;
(b) the office of the director becomes vacant in pursuance of section 167;
(c) the director ceases to meet the criteria of independence as provided in sub-section (6) of section 149.
(8) No person shall hold the position of small shareholders' director in more than two companies at the same time: Provided that the second company in which he has been appointed shall not be in a business which is competing or is in conflict with the business of the first company. (9) A small shareholders' director shall not, for a period of three years from the date on which he ceases to hold office as a small shareholders' director in a company, be appointed in or be associated with such company in any other capacity, either directly or indirectly. 8. Consent to act director. - Every person who has been appointed to hold the office of a director shall on or before the appointment furnish to the company a consent in writing to act as such in Form DIR-2: Provided that the company shall, within thirty days of the appointment of a director, file such consent with the Registrar in Form DIR-12 along with the fee as provided in the Companies (Registration Offices and Fees) Rules, 2014. [Provided further that in case the person seeking appointment is a national of a country which shares land border with India, necessary security clearance from the Ministry of Home Affairs, Government of India shall also be attached alongwith the consent.] 9. [Application for allotment of Director Identification Number before appointment in an existing company.] - [(1) Every applicant, who intends to be appointed as director of an existing company shall make an application electronically in Form DIR-3, to the Central Government for allotment of a Director Identification Number (DIN) along with such fees as provided under the Companies (Registration Offices and Fees) Rules, 2014 Provided that in case of proposed director not having approved DIN, the particulars of maximum three directors shall be mentioned in Form No. INC-32 (SPICe) and DIn may be allotted to maximum three proposed directors through Form INC-32 (SPICe)] (2) The Central Government shall provide an electronic system to facilitate submission of application for the allotment of DIN through the portal on the website of the Ministry of Corporate Affairs. (3) (a) The applicant shall download Form DIR-3 from the portal, fill in the required particulars sought therein and sign the form and after attaching copies of the following documents, scan and file the entire set of documents electronically-(i) photograph;
(ii) proof of identity;
(iii) proof of residence;
[(iiia) board resolution proposing his appointment as director in an existing company]
(iv) verification by the applicant for applying for allotment of DIN in Form DIR-4; and
(v) specimen signature verified.
(i) a chartered accountant in practice or a company secretary in practice or a cost accountant in practice; or
(ii) a company secretary in full time employment of the company or by the managing director or director of the company in which the applicant is to be appointed as director.
10. Allotment of DIN. - (1) On the submission of the Form DIR-3 on the portal and payment of the requisite amount of fees through online mode the provisional DIN shall be generated by the system automatically which shall not be utilized till the DIN is confirmed by the Central Government. [Provided that no application number shall be generated in case of the person applying for Director Identification Number is a national of a country which shares land border with India, unless necessary security clearance from the Ministry of Home Affairs, Government of India has been attached alongwith application for Director Identification Number.] (2) After generation of the provisional DIN, the Central Government shall process the applications received for allotment of DIN under sub-rule (2) of rule 9, decide on the approval or rejection thereof and communicate the same to the applicant along with the DIN allotted in case of approval by way of a letter by post or electronically or in any other mode, within a period of one month from the receipt of such application. (3) If the Central Government, on examination, finds such application to be defective or incomplete in any respect, it shall give intimation of such defect or incompleteness, by placing it on the website and by email to the applicant who has filed such application, directing the applicant to rectify such defects or incompleteness by resubmitting the application within a period of fifteen days of such placing on the website and email: Provided that the Central Government shall -(a) reject the application and direct the applicant to file fresh application with complete and correct information, where the defect has been rectified partially or the information given is still found to be defective;
(b) treat and label such application as invalid in the electronic record in case the defects are not removed within the given time; and
(c) inform the applicant either by way of letter by post or electronically or in any other mode.
(4) In case of rejection or invalidation of application, the provisional DIN so allotted by the system shall get lapsed automatically and the fee so paid with the application shall neither be refunded nor adjusted with any other application. (5) All Director Identification Numbers allotted to individual(s) by the Central Government before the commencement of these rules shall be deemed to have been allotted to them under these rules. (6) The Director Identification Number so allotted under these rules is valid for the life-time of the applicant and shall not be allotted to any other person. 11. Cancellation or surrender or Deactivation of DIN. - (1) The Central Government or Regional Director (Northern Region), Noida or any officer authorised by the Regional Director may, upon being satisfied on verification of particulars or documentary proof attached with the application received from any person, cancel or deactivate the DIN in case-(a) the DIN is found to be duplicated in respect of the same person provided the data related to both the DIN shall be merged with the validly retained number;
(b) the DIN was obtained in a wrongful manner or by fraudulent means;
(c) of the death of the concerned individual;
(d) the concerned individual has been declared as a person of unsound mind by a competent Court;
(e) if the concerned individual has been adjudicated an insolvent:
Provided that before cancellation or deactivation of DIN pursuant to clause (b), an opportunity of being heard shall be given to the concerned individual;(f) on an application made in Form DIR-5 by the DIN holder to surrender his or her DIN along with declaration 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, the Central Government may deactivate such DIN:
Provided that before deactivation or any DIN in such case, the Central Government shall verify e-records. [(2) The Central Government or Regional Director (Northern Region), or any officer authorised by the Central Government or Regional Director (Northern Region) shall, deactivate the Director Identification Number (DIN), of an individual who does not intimate his particulars in e-form DIR-3-KYC [or the web service DIR-3-KYC-WEB] within stipulated time in accordance with Rule 12A. (3) The de-activated DIN shall be re-activated only after e-form DIR-3-KYC [or the web service DIR-3-KYC-WEB] is filed along with fee as prescribed under Companies (Registration Offices and Fees) Rules, 2014.] Explanation. - For the purposes of clause (b)-(i) the term "wrongful manner" means if the DIN is obtained on the strength of documents which are not legally valid or incomplete documents are furnished or on suppression of material information or on the basis of wrong certification or by making misleading or false information or by misrepresentation;
(ii) the term "fraudulent means" means if the DIN is obtained with an intent to deceive any other person or any authority including the Central Government.
12. Intimation or changes in particulars specified in DIN application. - (1) Every individual who has been allotted a Director Identification Number under these rules shall, in the event of any change in his particulars as stated in Form DIR-3, intimate such change(s) to the Central Government within a period of thirty days of such change(s) in Form DIR-6 in the following manner, namely;-(i) the applicant shall download Form DIR-6 from the portal and fill in the relevant changes, attach copy of the proof of the changed particulars and verification in the Form DIR-7 all of which shall be scanned and submitted electronically;
(ii) the form shall be digitally signed by a chartered accountant in practice or a company secretary in practice or a cost accountant in practice;
(iii) the applicant shall submit the Form DIR-6;
(2) The Central Government, upon being satisfied, after verification of such changed particulars from the enclosed proofs, shall incorporate the said changes and inform the applicant by way of a letter by post or electronically or in any other mode confirming the effect of such change in the electronic database maintained by the Ministry. (3) The DIN cell of the Ministry shall also intimate the change(s) in the particulars of the director submitted to it in Form DIR-6 to the concerned Registrar(s) under whose jurisdiction the registered office of the company(s) in which such individual is a director is situated. (4) The concerned individual shall also intimate the change(s) in his particulars to the company or companies in which he is a director within fifteen days of such change. [12A. Directors KYC. - Every individual [who holds] a Director Identification Number (DIN) as on 31st March of a financial year as per these rules shall, [submit e-form DIR-3-KYC for the said financial year to the Central Government on or before 30th September of immediate next financial year]. Provided that every individual who has already been allotted a Director Identification Number (DIN) as at 31st March, 2018, shall submit e-form [DIR-3 KYC on or [before 5th October, 2018]]] [Provided further that where an individual who has already submitted e-form DIR-3 KYC in relation to any previous financial year, submits web-form DIR-3 KYC-WEB through the web service in relation to any subsequent financial year it shall be deemed to be compliance of the provisions of this rule for the said financial year: Provided also that in case an individual desires to update his personal mobile number or the e-mail address, as the case may be, he shall update the same by submitting e-form DIR-3 KYC only: Provided also that fee for filing e-form DIR-3 KYC or WEB-form DIR-3 KYC-WEB through the web service, as the case may be, shall be payable as provided in Companies (Registration Offices and Fees) Rules, 2014.][Note: For the financial year ending on 31st March, 2019, the individual shall submit e-form DIR-3 KYC or web form DIR-3 KYC-WEB, as the case may be, on or before the 14th October, 2019.]
[12B. Directors of company required to file e-form ACTIVE. - (1) Where a company governed by Rule 25A of the Companies (Incorporation) Rules, 2014, fails to file the e-form ACTIVE within the period specified therein, the Director Identification Number (DIN) allotted to its existing directors, shall be marked as "Director of ACTIVE non-compliant company". (2) Where the DIN of a director has been marked as "Director of ACTIVE non-compliant company", such director shall take all necessary steps to ensure that all companies governed by rule 25A of the Companies (Incorporation) Rules, 2014, where such director has been so appointed, file e-form ACTIVE. (3) After all the companies referred to in sub-rule (2) file the e-form ACTIVE, the DIN of such director shall be marked as "Director of ACTIVE compliant company".] 13. Notice of candidature of a person for directorship. - The company shall, at least seven days before the general meeting, inform its members of the candidature of a person for the office of a director or the intention of a member to propose such person as a candidate for that office -(1) by serving individual notices, on the members through electronic mode to such members who have provided their email addresses to the company for communication purposes, and in writing to all other members; and
(2) by placing notice of such candidature or intention on the website of the company, if any:
Provided that it shall not be necessary for the company to serve individual notices upon the members as aforesaid, if the company advertises such candidature or intention, not less than seven days before the meeting at least once in a vernacular newspaper in the principal vernacular language of the district in which the registered office of the company is situated, and circulating in that district, and at least once in English language in an English newspaper circulating in that district. 14. Disqualification of direction under sub-section (2) of section 164. - (1) Every director shall inform to the company concerned about his disqualification under sub-section (2) of section 164, if any, in Form DIR-8 before he is appointed or re-appointed. (2) Whenever a company fails to file the financial statements or annual returns, or fails to repay any deposit, interest, dividend, or fails to redeem its debentures, as specified in sub-section (2) of section 164, the company shall immediately file Form DIR-9, to the Registrar furnishing therein the names and addresses of all the directors of the company during the relevant financial years. (3) When a company fails to file the Form DIR within a period of thirty days of the failure that would attract the disqualification under sub-section (2) of section 164, officers of the company specified in clause (60) of section 2 of the Act shall be the officers in default. (4) Upon receipt of the Form DIR under sub-rule (2), the Registrar shall immediately register the document and place it in the document file for public inspection. (5) Any application for removal of disqualification of directors shall be made in Form DIR-l0. 15. Notice of resignation of director. - The company shall within thirty days from the date of receipt of notice of resignation from a director, intimate the Registrar in Form DIR-12 and post the information on its website, if any. 16. Copy of resignation of director to be forwarded by him. - Where a director resigns from his office, he [may] within a period of thirty days from the date of resignation, forward to the Registrar a copy of his resignation along with reasons for the resignation in Form DIR-11 along with the fee as provided in the Companies (Registration Offices and Fees) Rules, 2014. 17. Register of directors and key managerial personnel. -(1) Every company shall keep at its registered office a register of its directors and key managerial personnel containing the following particulars, namely:-(a) Director Identification Number (optional for key managerial personnel);
(b) present name and surname in full;
(c) any former name or surname in full;
(d) father name, mother's name and spouse's name (if married) and surnames in full;
(e) date of birth;
(f) residential address (present as well as permanent);
(g) nationality (including the nationality of origin, if different);
(h) occupation;
(i) date of the board resolution in which the appointment was made;
(j) date of appointment and reappointment in the company;
(k) date of cessation of office and reasons therefor;
(l) office of director or key managerial personnel held or relinquished in any other body corporate;
(m) membership number of the Institute of Company Secretaries of India in case of Company Secretary, if applicable; and
(n) Permanent Account Number (mandatory for key mandatory personal if not having DIN);
(2) In addition to the details of the directors or key managerial personnel, the company shill also include in the aforesaid Register the details of securities held by them in the company, its holding company, subsidlaries, subsldiaries of the company's holding company and associate companies relating to -(a) the number, description and nominal value of securities;
(b) the date of acquisition and the price or other consideration paid;
(c) date of disposal and price and other consideration received;
(d) cumulative balance and number of securities held after each transaction;
(e) mode of acquisition of securities;
(f) mode of holding - physical or in dematerialized form; and
(g) whether securities have been pledged or any encumbrance has been created on the securities.
18. Return containing the particular of directors and the key managerial personnel. - A return containing, the particulars of appointment of director or key managerial personnel and changes therein, shall be tiled .with the Registrar in Form D1R-12 along with such fee as may be provided in the Companies (Registration Offices and Fees) Rules, 2014 within thirty days of such appointment or change, as the case may be.Annexure
Form DIR-1
Application for inclusion of name in the databank of Independent Directors
[Pursuant to section 150 of the Act and rule 6(4) of Companies (Appointment and Qualification of Directors) Rules, 2014]
Part - A
Information and Particulars to be given at the time of Application
A. Personal Details1. Name
2. Gender
3. Date of Birth
4. Nationality
5. Residential Address
6. E-Mail ID
7. Phone or Mobile Number
B. Educational Details1. Qualifications
2. Details of Training undergone, if any
C. Professional Details and work experience1. Brief description of professional career and expertise
2. Current Position
3. Current job profile
4. Total years of experience
5. Past work experience
|
Name of the Organisation or Company |
Date of joining |
Date of leaving |
Nature of job or responsibilities or duties performed |
|
|
|
|
|
1. List of companies in which directorship held during the past five years
2. Number of current directorships held
3. Number of current memberships of Board committees held
E. Other information, if any, considered relevant _____________________________________________________________________________Part - B
Changes in the information or particulars, if any, to be given subsequently
(a) Earlier Information or particulars given vide Form_______ dated________
(b) New information or particulars
Signature:
Name:
Form DIR-2
Consent to act as a director of a company
[Pursuant to section 152(5) and rule 8 of Companies (Appointment and Qualification of Directors) Rules, 2014]
To----------(Name of the company)
----------(Address of the company)
Subject: Consent to act as a director. I, ......................., hereby give my consent to act as director of ........... (name of the company), pursuant to sub-section (5) of section 152 of the Companies Act, 2013 and certify that I am not disqualified to become a director under the Companies Act, 2013.1. Director Identification Number (DIN):
2. Name (in full):
3. Father's Name (in full):
4. Address:
5. E-mail id:
6. Mobile no.
7. Income-tax PAN
8. Occupation:
9. Date of birth:
10. Nationality:
11. No. of companies in which I am already a Director and out of such companies the names of the companies in which I am a Managing Director, Chief Executive Officer, Whole time Director, Secretary, Chief Financial Officer, Manager.
12. Particulars of membership No. and Certificate of practice No. if the applicant is a member of any professional Institute. Specifically state NIL if none.
Declaration
[(i)] I declare that I have not been convicted of any offence in connection with the promotion, formation or management of any company or LLP and have not been found guilty of any fraud or misfeasance or of any breach of duty to any company under this Act or any previous company law in the last five years. I further declare that if appointed my total Directorship in all the companies shall not exceed the prescribed number of companies in which a person can be appointed as a Director.
[(ii) I further declare that -
I am not required to obtain the security clearance from the Ministry of Home Affairs, Government of India before seeking appointment as director; or
I am required to obtain the security clearance from the Ministry of Home Affairs, Government of India before seeking appointment as director and the same has been obtained and is attached. ]
Signature: ..............
Designation: ............
Date: Place: Attachments:1. Proof of identity;
2. Proof of residence;
| [Form No. DIR-3] [Pursuant to section 153 of the Companies Act, 2013 & Rule 9(1) of the Companies (Appointment and Qualification of Directors) Rules, 2014 & Rule 10 of Limited Liability partnership Rules, 2009] |
|
Application for allotment of Director Identification Number before appointment in an existing company or LLP |
| 1. *Applicant's name (Enter full name and do not use abbreviations) | Photograph | |||
| (a) First name | ||||
| (b) Last name | ||||
| (c) Middle name | ||||
| 2. *Father's name (Enter married women must give father's name) | (a) First name | |||
| (b) Last name | (Attach a latest passport size photograph by clicking on above box.) | |||
| (c) Middle name | ||||
| 3. *Whether a citizen of India Yes No | ||||
| 4. Nationality | ||||
| 5. Whether resident of India | Yes | No |
| 6.(a) *Occupation Type | ||||
Self-employed |
Professional | Homemaker | Student | Servicemen |
Area of Occupation |
|
If other selected, specify |
|
(b) Educational Qualification |
| 7. *Date of Birth | (DD/MM/YYYY) |
| 8. *Gender | Male | Female | Transgender |
| 9. Income-tax permanent account number |
| 10. Voter's identity card number |
| 11. Passport number |
| 12. Driving license number |
| 13. Aadhaar number |
| 14. Permanent residential address |
| *Line I |
| Line II |
| *City |
| *State | *Pin code |
| *ISO country code |
| *Country |
| *Phone | Mobile | Fax |
| *E-mail ID |
| 15. *Whether present residential address is same as permanent residential address Yes No |
| 16. Present residential address |
| Line I |
| Line II |
| City |
| State | Pin code |
| ISO country code |
| Country |
| Phone | Fax |
| Attachments | List of attachments |
| 1. | *Proof of identity of applicant | ||
| 2. | *Proof of residence of applicant | ||
| 3. | Optional attachment(S) - If any | ||
Verification
|
I |
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Son*/ Daughter of |
|
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born on |
|
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resident of |
|
|
| *To be Digitally signed by Applicant |
Certification
| * I declare that I have satisfied myself about the identify 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 verified form the documents duly attested by the attesting authority as prescribed | |
| * I also declare that the company/LLP intends to appoint the applicant as a director/designed partner after allotment of DIN. | |
| *I further certify that: |
| *All the required attachments have been completely and legibly attached to this form; | |
| *I have kept a copy of this form and attachments thereto, in my records for future reference; | |
| *It is understood that I shall be liable for action under Section 449 of the Companies Act, 2013 for wrong certification, if any found at any stage. |
| *To be Digitally signed by |
| Category |
| DIN of the Director/Designated partner or PAN of the manager or CEO or CFO; or membership number of Company Secretary |
||
| Corporate identification number (CIN) of company with which | ||
| the authorized signatory is associated and in which the applicant is proposed to be a director/designated partner |
||
| Name of Company/LLP |
| Note: Attention is also drawn to provision of Section 448 which provides for punishment for false statement and false evidence |
| For office use only: |
| e-Form Service request number (SRN) | e-Form filing date | (DD/MM/YYYY) |
| This e-Form is hereby approved | (DD/MM/YYYY) |
|
| This e-Form is hereby rejected |
| Date of signing |
OR
This e-form has been taken on file maintained by the registrar of companies through electronic mode and on the basis of statement of correctness given by the company.
|
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Form DIR-4
Verification of a applicant for application for DIN
(To be in the form of Affidavit)
[Pursuant to section 153 and rule 9(3)(a)(iv) of Companies (Appointment and Qualification of Directors) Rules, 2014]
I, .....Son*/Daughter* of ....., born on ....., resident of ........................... hereby confirm and verify that the particulars given in the Form DIR-3 are true and also are in agreement with the documents being attached to the Form DIR-3. I hereby confirm and declare that1. The photograph and documents being attached to the Form DIR-3 belong to me. I further confirm that all required documents have been duly certified by the respective government authority and are being attached to the Form DIR-3, and
2. I am not restrained, disqualified, removed of, for being appointed as director of a company under the provision of the Companies Act, 2013 including sections 164 and 169, and
3. I have not been declared as proclaimed offender by any Economic Offence Court or Judicial Magistrate Court or High Court or any other Court, and
4. I have not been already allotted a Director Identification Number (DIN) under section 154 of the Companies Act, 2013, and
5. I shall be liable under section 448 of the Act and under the relevant provisions of the Indian Penal Code, 1860 and any other law as applicable, if any statement in this application is found to be false or any material fact is found to have been omitted.
*Note: strike out whichever is not applicable.
Signature
(Name)
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| [Form No. DIR. 6] Pursuant to rule 12(1) of the Companies (Appointment and Qualification of Directors) Rules, 2014 & Rule 10 of Limited Liability Partnership Rules, 2009] |
|
Intimation of change in particulars of Director/Designated Partner to be given to the Central Government |
Note -
- All fields marked in * are to be mandatorily filled.
- In case of Indian nationals, Income-tax Permanent Account Name (Income-tax PAN) is mandatory in all cases even if there is no change in Income-tax PAN. In such cases, director details should be as per Income-tax PAN. In case the details as per Income-tax PAN are incorrect, director/ designated partner is advised to first correct the details in income-tax PAN. Refer instruction kit for details.
| 1. (a) *Director Identification Number (DIN/DPIN) |
(b) Name |
| 2. *Type of change: |
| Name of Director/Designated partners | Father's name | Nationality |
| Date of birth | Gender | Income-tax PAN |
| Voters Identity card number | Passport number | Driving licence number |
| E-mail ID/Mobile | Permanent residential address | Present residential address |
| Photograph of Director/Designated partners | Residential status | |
| Aadhaar number | ||
| Enter information that needs to be corrected. Enter only the relevant field(s) | ||
| 3. Director's name (Enter full name and do not use abbreviations) | Photograph | |||
| (a) First name | ||||
| (b) Last name | ||||
| (c) Middle name | ||||
| 4. Father's name (Enter married women must give father's name) | (a) First name | |||
| (b) Last name | (Attach a latest passport size photograph by clicking on above box.)(Refer instruction kit for details) | |||
| (c) Middle name | ||||
| 5. Whether a citizen of India Yes No | ||||
| 6. Nationality | ||||
| 6A. Whether resident of India | Yes | No |
| 7. Date of Birth | (DD/MM/YYYY) |
| 8. Gender | ; Male | Female | Transgender |
| 9. Income-tax PAN | |||||
| 10. Voter's Identity card number |
| 11. Passport number |
| 12. Driving license number |
| 13. Aadhaar number |
| *14. Mobile |
| *15. Email ID |
| 16. Permanent residential number |
| Line I |
| Line II |
| City |
| State | Pin code |
| ISO country code | Phone | Fax |
| Country |
| 17. Whether present residential address is same as permanent residential address Yes No |
| 18. Present residential address |
| Line I |
| Line II |
| City |
| State | Pin code |
| ISO country code | Phone | Fax |
| Country |
| Attachments | List of attachments |
| 1. | *Proof of change in particulars; | ||
| 2. | optional attachments, if any. | ||
Verification
I, hereby confirm and verify that the particulars given in the Form herein above are true and also are in agreement with the documents being attached to this form.| (i) | *The photograph and documents being attached to the Form DIR-6 belong to me. I further confirm that all required documents have been duly certified by the respective government authority and are being attached to the Form DIR-6 and |
| (ii) | I am not restrained, disqualified, removed of, for being appointed as director of a company under the provisions of the Companies Act, 2013 including sections 164 and 169, and |
| (iii) | I have not been declared as proclaimed offender by any Economic Offence Court or Judicial Magistrate Court or High Court or any other Court, and |
| (iv) | I have no other allotted DIN other than DIN in which changes are intimated under section 154 of the Companies Act,2013 or a Designated Partner Identification Number under section 7 of the Limited Liability Partnership Act, 2008. |
| (v) | I shall be liable under section 448 of the Act and under relevant provisions of the Indian Penal Code, 1860 and any other law as applicable, if any statement in this application is found to be false or any material fact is found to be have been omitted. |
| *To be Digitally signed by |
Certification
I declare that I have been duly engaged for the purpose of certification/verification of this form. It is hereby certified that:| *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. | |
| *I have verify and attested the photograph of the applicant: |
| *All required attachments have been completely attached to this application | |
| *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: | |
| *All the required attachments have been completely and legibly attached to this form; | |
| **I have kept a copy of this form and attachments thereto, in my records for further reference. | |
| *It is understood that I shall be liable for action under section 448 of The Companies Act, 2013 for wrong certifications, if any found at any stage. |
| *To be Digitally signed by |
| *Category | ||
| *Whether associate or fellow | Associate Fellow | |
| *Membership Number | ||
| *Certificate of Practice Number |
| Note: Attention is drawn to provisions of Section 448 and 449 which provide for punishment for false statement/ certificate and punishment for false evidence respectively. |
| For office use only: |
| e-Form Service request number (SRN) | e-Form filing date | (DD/MM/YYYY) |
| Digital Signature of the authorising officer |
| This e-Form is hereby approved | ||
| This e-Form is hereby rejected |
| Date of signing | (DD/MM/YYYY) |
Form DIR-7
Verification of applicant for change in DIN particulars
(To be in the form of Affidavit)
[Pursuant to rule 12(1)(l) of Companies (Appointment and Qualification of Directors) Rules, 2014]
| Affix recent photo |
name
Nationality
Date of birth
Income-tax permanent account number
Voter's Identity card number
Passport number
Driving licence number
Permanent residential address
Present residential address
E-mail id
(along with proof and in case of change of applicant's name or date of birth, a copy of notification published in the Gazette) I further confirm and declare thata. The photograph and documents being attached to the Form DIR-6 belong to me. I further confirm that all required documents have been duly certified by the respective government authority and are being attached to the Form DIR-6 and
b. I am not restrained, disqualified, removed of, for being appointed as director of a company under the provisions of the Companies Act, 2013 including sections 164 and 169, and
c. I have not been declared as proclaimed offender by any Economic Offence Court or Judicial Magistrate Court or High Court or any other Court, and
d. I have not been already allotted a Director Identification Number (DIN) under section 154 of the Companies Act, 2013, and
e. I shall be liable under section 448 of the Act and under relevant provisions of the Indian Penal Code, 1860 and any other law as applicable, if any statement in this application is found to be false or any material fact is found to have been omitted.
*Note: strike out whichever is not applicable.
Signature:
(Name)
Form 'DIR-8'
Intimation by Director
[Pursuant to Section 164(2) and rule 14(1) of Companies (Appointment and Qualification of Directors) Rules, 2014]
Registration No. of Company ______________________ Nominal Capital Rs. ______________________ Paid-up Capital Rs. ______________________ Name of Company ___________________________ Address of its Registered Office ______________________ To The Board of Directors of ______________________ I ______________________ son/daughter/wife of ______________________ resident of ______________________ director/managing director/manager in the company hereby give notice that I am/was a director in the following companies during the last three years:-|
Name of the Company |
Date of Appointment |
Date of Cessation |
|
1. ..... |
|
|
|
2. ...... |
|
|
or
I further confirm that I have incurred disqualifications under section 164(2) of the Companies Act, 2013 in the following company(s) in the previous financial year, and that I, at present stand disqualified from being a director.|
Name of the Company |
Date of Appointment |
Date of Cessation |
|
1. ..... |
|
|
|
2. ...... |
|
|
Signature
(Full Name)
Form 'DIR-9'
Report by the company to Registrar
[Pursuant to Section 164(2) read with rule 14(2) of the Companies (Appointment and Qualification of Directors) Rules, 2014]
Registration No. of Company ________________ Nominal Capital Rs. ________________ Paid-up Capital Rs. ________________ Name of Company ______________________ Address of its Registered Office, _____________________ To The Registrar of Companies, It is hereby reported under section 164(2) of Companies Act, 2013 that M/s. ___________ have failed to (i) file the financial statements and annual returns for the last three financial years, or (ii) repay deposits or pay interest thereon on due date being ________ or redeem its debentures on due date being __________ or pay dividend declared by the company since __________ or both. The period of one year has expired on ____________. The name and address of directors at the relevant period are as under :-(a) Director's name in full, without abbreviations
(b) Director's name as per company's records
(abbreviations may be expanded and shown)
(c) Address of the Director: - (i) Permanent
(ii) Present
(d) Positions held by the director in the last 5 years, prior to disqualification :
Signature
Designation*
Dated this ________ day of __________*State whether Director, Managing Director, Manager or Secretary
Form 'DIR-10'
Form of Application for Removal of Disqualification of Directors
[Pursuant to Section 164(2) read with rule 14(5) of Companies (Appointment and Qualification of Directors) Rules, 2014]
Registration No. of Company _________________ Nominal Capital Rs. _________________ Paid-up Capital Rs. _________________ Name of Company _________________ Address of its Registered Office _________________ Grounds under which director(s) are disqualified _________________ Date of disqualification _________________ Details of the application _________________Signature
Designation*
Dated this ________ day of __________*State whether Director, Managing Director, Manager or Secretary
| Form No. DIR. 11 [Pursuant to proviso to section 168(1) of The Companies Act, 2013 & Rule 16 of the Companies (Appointment and Qualification of Directors) Rules, 2014] |
|
Notice of resignation of a director to the Registrar |
| Form language (Radio button) | English Hindi |
| Refer the language kit for filing the form. | |
| Notice is hereby given that I, |
| the director of M/s |
| have registered from the office of director of the company with effect from |
| the details of which are given below: |
| 1. Details of the company |
| (a) *CIN |
| (b) GLN |
| (c) Name of the company |
| (d) Registered office address |
| (e) E-mail ID of the company |
| 2. Details o the director resigning from such category |
| (a) *Director Identification Number (DIN) |
| (b) Name |
| 3.(a) *Date of appointment |
| (b) *Designation |
| (c) *Category |
| (d) *DIN of the director to whom the appointee was alternate |
| Name of the original director |
| 4.(a) *Date of filing of resignation with the company |
| (b) Effective date of resignation specified in the notice of resignation, if any |
| 5. *Reasons for resignation |
| 6. *Whether confirmation is received from the company | Yes | No |
| Attachment(s) |
| (1) *Notice of resignation filed with the company; |
| (2) *Proof of dispatch; |
| (3) Acknowledgement received from company; |
| (4) Optional attachment(s) - If any |
Declaration
| I |
| do solemnly declare that to the best of my/our knowledge and belief the information given in this return is correct and complete. |
| *To be digitally signed by Director | DSC Box |
| DIN |
Note: Attention is also drawn to provisions of Section 448 and 449 which provide for punishment for false statement and punishment for false evidence respectively.
This e-form has been taken on file maintained by the registrar of companies through electronic mode and on the basis of statement of correctness given by the company.
| [FORM DIR-12] [Pursuant to sections 7(1)(c), 168 & 170(2) of the Companies Act, 2013, rule 17 of Companies (Incorporation) Rules, 2014 and rule 8, 15 & 18 of the Companies (Appointment and Qualification of Directors) Rules, 2014] |
|
Particulars of appointment of directors and the key managerial personnel and the changes among them |
| Form language (Ration button) | English Hindi | |
| Refer the instruction kit for filing the form. | ||
| 1. | *This form is for | New Company | Existing Company |
| 2. | (a) *Corporate Identification number (CIN) of the company |
| (b) Global location number(GLN) |
| 3. | (a) Name of the company |
| (b) Address of the registered office of the company |
| (c) e-mail ID of the company |
| 4. | Number of Managing Director, director(s) for which the form is being filed |
| 5. | Details of the Managing Director, directors of the company |
| I. Details of the Managing Director, directors of the company | |||||
| Director identification Number (DIN) | |||||
| Name | |||||
| Father's name | |||||
| Present residential address | |||||
| Nationality | Date of birth | ||||
| Gender | |||||
| Appointment Cessation Change in designation | |||||
| Designation | |||||
| Date of appointment or change in designation | |||||
| Category | |||||
| Whether chairman, executive director, non-executive director | |||||
| Chairman Executive director Non-executive director | |||||
| DIN of the director to whom the appointee is alternate | |||||
| Name of the director to whom the appointee is alternate | |||||
| Name of the company or institution whose nominee the appointee is | |||||
| e-mail ID of director | |||||
| In case of cessation | |||||
| Hereby confirmed that the above mentioned Director Managing Director is not associated with the company | |||||
| with effect from | (DD/MM/YYYY) | ||||
| due to | |||||
| Interest in other entities | |||||
| Number of such entities | |||||
| *CIN/LLPIN/FCRN/Registration Number | |||||
| *Name | |||||
| *Address | |||||
| Nature of Interest | *Designation | ||||
| Percentage of Shareholding | |||||
| Amount | |||||
| Others (specify) | |||||
| 6. | Number of manager(s), secretary(s), Chief Financial Officer or Chief Executive Officer for |
| which the form is being filed |
| 7. | Details of manager, secretary, Chief Financial Officer or Chief Executive Officer of the Company |
| I. | |||
| Director Identification Number (DIN), if any | |||
| Income-tax permanent account number (PAN) | |||
| Appointment Cessation | |||
| Membership number of the secretary | |||
| First name | |||
| Middle name | |||
| Last name | |||
| Father's name | |||
| First name | |||
| Middle name | |||
| Last name | |||
| Present residential address | |||
| Line I | |||
| Line II | |||
| City | |||
| State | Pin code | ||
| ISO country code | |||
| Country | |||
| Phone | Fax | ||
| Date of birth | (DD/MM/YYYY) | ||
| Designation | |||
| Date of appointment or cessation | (DD/MM/YYYY) | ||
| e-mail ID | |||
| Attachments | List of attachments |
| (1) Declaration by the first director; | ||
| (2) Declaration by appointee director; | ||
| (3) In Form No. DIR-2 Notice of resignation; |
||
| (4) Evidence of cessation; | ||
| (5) Interest in other entities; | ||
| (6) Optional attachment(s), if any; |
Declaration
| I * |
| A person named in the articles as a director / manager / company secretary) of the company; or |
| have been authorized by the Board of Directors of the Company vide resolution |
| *To be digitally signed by |
| *Designation |
| *DIN of the director; or DIN or PAN of the manager or | ||
| CEO or CFO; or Membership number of the secretary |
Certificate by practicing professional
I declare that I have been duly engaged for the purpose of certification of this form. It is hereby certified that I have gone through the provision of the Companies Act, 2013 and Rules made thereunder for the subject matter of this form and matters incidental thereto and I have verified the above particulars (including attachments(s)) form the original/ certified 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:| The said records have been properly prepared, signed by the required officers of the Company and maintained as per the relevant provisions of the Companies Act, 2013 and were found to be in order |
| All the required attachments have been completely and legibly attached to this form |
| It is understood that I shall be liable for action under section 448 of the Companies Act, 2013 for wrong certificatio, if any found at any stage |
| Chartered accountant (in whole-time practice) or Cost accountant (in whole time practice) or Company secretary (in whole-time practice) |
| Whether associate or fellow Associate Fellow |
| Membership number | ||
| Certificate of Practice number |
| For office use only: |
| e-Form Service request number (SRN) | e-Form filing date | (DD/MM/YYYY) |
| This e-Form is hereby approved | ||
| This e-Form is hereby rejected |
| Date of signing | (DD/MM/YY) |
OR
This e-form has been taken on file maintained by the registrar of companies through electronic mode and on the basis of statement of correctness given by the company.
