Settlement application: completed operative 2018 form and separate fee/proposal

Fill every current settlement-application block, apply the sixty-day clock, distinguish processing fee from proposed terms and avoid premature use of the 2026 replacement.

Source checked 21 October 2026; the cited current instrument and its commencement govern this selected example.

Download and read the completed example

Download filled sample PDF

Fictional listed Illustration Disclosure Components Ltd seeks settlement 20 October 2026 of a three-day-late June-quarter shareholding filing. Notice served 18 September 2026; no supplementary notice, prior adjudication order or prior settlement. This is an unsigned application/terms example, not a settlement order or promise of acceptance.

Fictional, unsigned completed illustration. It demonstrates this form’s fields; it is not a filed return, medical opinion, official order or proof of an actual transaction.

When and how this form is used

Current 2018 Part A has 22 numbered blocks, Part B processing fee and Part C undertakings. The example fills its selected facts and proposed terms; it does not invent executed waivers or accepted Board terms.

The corporate processing fee is₹25,000 and is distinct from settlement terms. The₹3 lakh first-time indicative minimum is not a fixed price for every violation; actual Schedule II factors and Board consideration remain necessary.

The current application clock is 60 days from later original/supplementary SCN service; the old extended condonation provision was omitted in January 2022. Here 32 days have elapsed and the ordinary deadline is 17 November.

The October 2026 replacement has deferred commencement. The model therefore uses operative 2018 form/fee/limitation rather than presenting a published future instrument as already law.

The completed fields

Schedule I Part A: applicant and proceeding details

Prescribed field / section	Completed fictional entry
1–10 applicant / capital / contacts / registrations	Illustration Disclosure Components Ltd, Indian listed company, paid-up capital₹1 crore, synthetic invalid CIN/ PAN . Directors Ravi Kumar/Meera Rao; CFO Priya Sharma and compliance officer Arun Mehta; 14 Example Road, Pune 411001, compliance@example.invalid. Not stockbroker/sub broker; broker exchange/segment/other intermediary registrations N/A. Listing assumed NSE / BSE , not a genuine issuer identifier.
11–16 cases / stage / notice / history	One pending SEBI adjudication SCN -model-001 served 18 September 2026, alleged LODR 31(1)(b)late quarterly filing; reply/hearing stage, no final order. No SAT/court proceeding, interim order or other applicant/associate/director action on the fictional facts. Copies of actual SCN /service and hearing record would be enclosures; none authentic created.
17–19 complete facts / charges / eligibility	Quarter ended 30 June 2026; 21-day deadline 21 July; filing 24 July,3 days late because internal handover failure. Filing corrected before application; no false outage excuse. Model record shows no identified quantified gain/loss avoided/investor loss from delay; that does not prove absence of harm. No earlier rejection, repetitive fraud, market wide impactor other disqualifying circumstance assumed; Board retains regulation 5 discretion.

Terms, enclosures and verification

Prescribed field / section	Completed fictional entry
20 monetary / non-monetary proposal	Applicant proposes₹3,00,000 monetary settlement as first-time Schedule II minimum-based offer, not an automatically computed Board demand. Actual base amount/count/stage/aggravating/mitigating factors can produce higher terms; acceptance is discretionary. Non-monetary proposal: documented maker-checker and due-date controls, identified responsibility and periodic exception reports. No disgorgement amount assumed where gain not identified.
21–22 originals / full financial enclosures	Actual Part C undertakings/waivers, board authority, SCN /service, corrected filing proof, three-year annual reports/tax returns, current quarterly financials, identity documents and gain/loss/fees/networth information as applicable. Model financials: FY 24/25/26 revenue₹8/9/10 crore, PAT ₹0.4/0.5/0.6 crore; these are fictional, not certified accounts. Foreign/nonresident proof N/Afor Indian company.
Applicant verification / Part C / office use	Application/verification and undertakings must be actually executed by a responsible authorised person; none executed here. Pune,20 October 2026; company seal/signature NOTAFFIXED. Receipt date/registration number are office use, not invented. Settlement request does not itself stay the proceedings or create an accepted settlement.

Part B fee, deadline and operative law

Prescribed field / section	Completed fictional entry
Processing fee / payment separation	Body corporate processing fee₹25,000, non-refundable, through current dedicated payment gateway; not₹15,000 individual/other-applicant fee. ₹25,000 fee plus₹3,00,000 proposal=₹3,25,000 possible cash outlay if those proposed terms are accepted, not a current combined statutory settlement demand. No fake transaction receipt.
Sixty-day service clock	Service 18 September→application 20 October=32 days; ordinary 60-day limit 17 November 2026. No supplementary SCN changes clock. Current 2018 regulation 4 uses later original/supplementary service and does not retain the deleted 180-day condonation route. Tribunal/court proceedings are a separate rule branch.
2026 replacement / decision responsibility	2026 Settlement of Administrative and Civil Proceedings Regulations commence on day succeeding the thirtieth day after Gazette notification, not immediately on publication; not operative 21 October 2026. No automatic settlement amount, waiver of all future law enforcement or real Board order claimed.

Supporting records and reconciliation

Retain the actual records identified in each field block, approvals/authority, reporting-period reconciliation and genuine submission or delivery evidence. The fictional entries do not establish those underlying facts.

Worked calculation: 30 June+21 days=21 July; 24 July−21 July=3 days late.18 September→20 October=32 days; service+60 days=17 November 2026. Corporate fee₹25,000; proposed terms₹3,00,000; separate sum₹3,25,000.

Official source and version

Settlement Proceedings Regulations 2018, current regulations 3–5 and Schedule I, physical PDF pp 24–29; Schedule II minimum and calculation factors; 2026 replacement not yet operative on 21 October.

2026replacement,Englishphysicalpp70–71,clause1(2):deferredcommencement

CurrentLODR31(1)(b),physicalp62,quarterlyshareholdingwithin21days

Download the official requirement and format pages. The named annexure/regulation governs; adjacent material may share a page. This completed PDF is an educational field transcription, not an exchange XBRL import file or executed certificate.

Use the identified reporting period and entity/transaction branch. A genuine filing must use the competent current exchange/ SEBI /depository channel. Website catalogue numbers are not legal form numbers.

Practical questions

Can I submit the sample as my own completed form?

No. Replace the fictional facts with accurate records, use the competent filing or record-keeping route described above and complete genuine signatures or certifications where required.

What makes the example specific to this form?

Fill every current settlement-application block, apply the sixty-day clock, distinguish processing fee from proposed terms and avoid premature use of the 2026 replacement. The URL’s form-027 is this website’s catalogue identifier, not an official SEBI statutory form number.