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Form guide · Source checked 21 October 2026
Show-cause reply and hearing: completed late-filing response and evidence record
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Answer the actual allegation paragraph by paragraph, acknowledge the proven delay, separate mitigation from exemption and record a hearing without inventing an authority order.
Source checked 21 October 2026; the cited current instrument and its commencement govern this selected example.
Download and read the completed example
Same fictional Disclosure Components company and three-day-late June 2026 shareholding filing as paired settlement example. SCN served 18 September, notice-specific reply deadline 23 October 2026. Model written reply 20 October and hypothetical hearing record 20 October; no actual notice, hearing, legal representation or order exists.
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
The page catalogue identifier is not an official prescribed SEBI reply form. The completed record uses the actual allegation, statutory deadline, reply date, evidence and prayer, with a separate hearing log.
The delay is 3 days under the shareholding rule. A portal outage or automatic legal excuse is not invented. Mitigation and corrective controls a represented as submissions for consideration, not as proof of no offence.
Adjudication requires opportunity and consideration of applicable facts/factors. No fixed₹1 lakh-per-day penalty is multiplied as if automatically ordered; the authority must apply the operative provision and reasoned assessment.
Notice-specific reply/hearing directions, settlement limitation and appeal periods are different clocks. The model does not invent a stay, accepted settlement or final order from an unsigned application.
The completed fields
Reply heading, authority and chronology
| Prescribed field / section | Completed fictional entry |
|---|---|
| Addressee / proceeding / authorised party | To: Adjudicating Officer, SEBI ; reference SCN -model-001; respondent Illustration Disclosure Components Ltd, synthetic invalid CIN/ PAN . Model authorised compliance officer Arun Mehta; board authority identified but not executed. Reply dated 20 October 2026, Pune; actual service/channel must match the SCN . |
| Issue and each date admitted | SCN alleges June-quarter shareholding filed late under LODR 31(1)(b). Quarter end 30 June; deadline 21 July; actual model upload 24 July; delay 3 days admitted. SCN service 18 September; notice-specific reply deadline 23 October; model reply 20 October is in advance. No assertion that every SEBI SCN has this reply period. |
| Documents requested / evidence supplied | Annex A quarter filing/acknowledgement dated 24 July; Binter nal responsibility handover record; Cem ail/escalation log; Dcurrentmaker-checker/due-date tracker; Eau thorised representative evidence. These a renamed fictional working documents, not fake exchange emails, server outage certificates or signed resolutions. |
Paragraph-wise merits, mitigation and relief
| Prescribed field / section | Completed fictional entry |
|---|---|
| Allegation 1 due date / allegation 2 filing | Admit applicable regulation and 21-day deadline; admit upload 24 July. Do not deny the three-day breach or misstate governance/financial-result deadlines as applicable to shareholding. Actual document version and receipt from each exchange must be reconciled. |
| Explanation / factual limits | Delay resulted from internal handover and failed escalation, not claimed automatic legal exemption. Required report filed before SCN ; model data had no omitted holdings. No identified quantified gain/loss avoided or investor loss on model records; absence of quantification does not establish no harm. |
| Factors / proportionality / requested relief | Ask AO to consider actual corrective filing, limited 3-day duration, genuine prior history and current controls with applicable statutory factors. No prior AO /Board/settlement order assumed in the selected first-time case. Request reasoned decision and hearing; do not claim that good intention, zero quantified gain or settlement application automatically cancels liability. |
| Prayer / verification / signature | Take written reply and annexures on record, permit hearing/evidence clarification and apply lawful proportionate decision. No automatic fixed penalty or compounding rate computed. Actual truth verification and representative signature NOTEXECUTED; no apology used as false demand for withdrawal. |
Separate hypothetical hearing record
| Prescribed field / section | Completed fictional entry |
|---|---|
| Attendance / opportunity / issues | Educational hearing log 20 October 2026,11:00–11:30, virtual; Arun Mehta fictional representative. AO role unnamed, no forged signature. Issues: applicable deadline, upload date,3-day delay, handover controls and gain/loss/prior history. This is a model minute, not proof a hearing occurred. |
| Submissions / evidence / follow-up | Respondent maintains admitted chronology and submits annex index; asks permission for any specific additional record identified by AO . No imagined concession by regulator. Model status hearing concluded, order reserved; no professional opinion, exoneration, penalty order or accepted settlement issued. |
| Independent settlement / preservation | Paired settlement application is a separate optional process with its own form, fee/clock and discretion; filing it does not by itself stay SCN proceedings. Preserve original notices, service, email/files and genuine hearing directions; later appeal/deadline follows actual served order, not this fictional log. |
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: Quarter deadline 30 June+21 days=21 July; filing 24 July=3 days late. Reply 20 October precedes specified 23 October deadline by 3 days. No penalty or hearing outcome is calculated as automatic.
Official source and version
OfficialSEBIAct,sections15-I/15J:hearingopportunity,adjudicationandpenaltyfactors
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?
Answer the actual allegation paragraph by paragraph, acknowledge the proven delay, separate mitigation from exemption and record a hearing without inventing an authority order. The URL’s form-028 is this website’s catalogue identifier, not an official SEBI statutory form number.