Chapter 8: Regulatory Agencies and Administration
Part A: Regulatory agency offices and functions

R168: Filing documents

  • (1) A regulatory agency-
    • (a) must assign a distinctive number to each document filed for the first time with the recording officer of that body;
      • (b) must ensure that every document subsequently filed in respect of a matter is marked with the same distinguishing number;
        • (c) may refuse to accept a document subsequently filed in respect of the same matter that is not properly marked with the assigned distinguishing number;
        • (2) Before serving a copy of an initiating document on any person, the initiating party must-
          • (a) obtain a distinguishing number for that document from the recording officer of the Tribunal; and
            • (b) note the distinguishing number on every copy of that document.
            • (3) A person who files any document with a regulatory agency in terms of the Act or these regulations must provide to that regulatory agency the person's-
              • (a) legal name;
                • (b) address for delivery of documents;
                  • (c) telephone number;
                    • (d) if available, email address and fax number; and
                      • (e) if the person is not an individual, the name of the individual authorised to deal with the regulatory agency on behalf of the person filing the document.
                      • (4) The recording officer of a regulatory agency-
                        • (a) must take reasonable steps to-
                          • (i) confirm the identity of any person filing a document with that regulatory agency;
                            • (ii) verify that the person filing a document on behalf of, or in relation to a juristic person, has the right to file that document in their own name, or is authorised to file the document on behalf of another person who has the right to file the document;
                              • (iii) verify the authenticity of every document being filed;
                              • (b) may demand that the person seeking to file a document supply reasonable evidence for the purposes contemplated in paragraph (a); and
                                • (c) may reject any document on the grounds that the requirements of paragraph (a), or a demand issued in terms of paragraph (b), have not been satisfied.
                                • (5) If the Commission has refused to accept a document in terms of sub-regulation (4) (c), the person who was prevented from filing that document may apply to the Tribunal for an order requiring the recording officer to accept the document for filing, and the Tribunal may grant an appropriate order in the circumstances.
                                  • (6) A company may challenge any document filed with the Commission within 10 business days by filing a notice in Form CoR 168.
                                    • (7) A filing that has been challenged in terms of sub-regulation (6) is a nullity and must be removed from the register.

                                      Related Regulations

                                      No related regulations.

                                      Related Sections

                                      No related sections.

                                      Related Notes

                                      No related note.

                                      Related Forms

                                      No related forms.