How to Request a CCI Pre‑filing Consultation in India, Step‑by‑step Process for Counsel and Deal Teams

Understanding how to request a pre‑filing consultation CCI India offers is one of the most effective ways for deal teams to reduce regulatory risk before a merger notification lands on the Commission’s desk. A Pre‑Filing Consultation (PFC) is an informal, non‑binding meeting between parties to a proposed combination and officers of the Competition Commission of India (CCI), designed to clarify jurisdictional questions, identify potential competition concerns, and test the adequacy of a contemplated filing. The process is governed by the CCI’s own guidance notes issued under the framework of the Competition Act, 2002 and the CCI (Procedure in regard to the transaction of business relating to combinations) Regulations.

With industry observers noting a heightened enforcement posture from the CCI heading into 2026, a well‑documented PFC can serve as contemporaneous evidence of good faith and proactive compliance, making the pre‑merger consult India counsel increasingly rely on more strategically valuable than ever.

Overview of the CCI Pre‑Filing Consultation Process and Who It Applies To

A PFC gives parties contemplating a combination, whether by acquisition, merger, or amalgamation under Section 5 of the Competition Act, 2002, an opportunity to engage CCI officers before submitting a formal notice on Form I. The consultation is expressly non‑binding: the CCI does not issue approvals or rulings during a PFC, and its officers’ comments do not bind the Commission at the notice‑review stage. The primary contact channel is email to cci‑consult@nic.in, as set out in the CCI’s PFC Guidance Note.

Who can request a CCI consultation? Any party to a proposed combination, acquirers, target companies, joint filing parties, or foreign entities whose transaction has an Indian nexus, may initiate a PFC. Authorised external counsel may act on a party’s behalf provided a board resolution or power of attorney is furnished. For a broader overview of who may approach the Commission, see our guide on who can file information before CCI.

Before requesting a PFC, counsel should assess whether one is necessary. Consider seeking a pre‑filing consultation CCI when:

• Jurisdictional uncertainty. The transaction sits close to the turnover or asset thresholds and a mis‑assessment could trigger gun‑jumping penalties.
• Novel or complex overlaps. The parties operate in markets where product or geographic market definition is untested before the CCI.
• Anticipated remedies discussion. The deal team expects CCI to raise structural or behavioural concerns and wants early feedback on potential remedies.

Eligibility and Prerequisites for a CCI Pre‑Filing Consultation

The CCI pre‑filing process is open to all parties to a proposed combination that would require notification under Section 6 of the Competition Act, 2002. There is no restriction based on nationality, sector, or transaction structure, provided the combination meets, or is reasonably expected to meet, the statutory jurisdictional thresholds. Parties pursuing the Green Channel route (for combinations with no horizontal, vertical, or complementary overlaps in India) may also request a PFC to confirm eligibility before filing.

Before sending a request, counsel should ensure the following prerequisites are in place:

• Due diligence substantially complete, sufficient data exists to describe the transaction structure, identify overlapping products and geographies, and present turnover figures.
• Internal authorisation secured, the parties’ boards (or investment committees) have authorised counsel to approach the CCI and share transaction details.
• Minimum lead time observed, the CCI’s historic guidance recommends that substantive PFC requests be submitted at least 10 days before the intended filing date, per the CCI’s published consultation guidance.

Who May Attend or Appear at the PFC Meeting

Authorised counsel, company representatives (such as in‑house legal or the deal lead), and economists retained for market analysis may attend. There is no fixed cap on attendees, but keeping the party small, typically two to four representatives, promotes focused discussion. Video‑conferencing is available for PFC meetings, as confirmed by a Press Information Bureau announcement on virtual hearings.

When a PFC Is Not Appropriate

A PFC is designed for pre‑notification guidance. It is not the correct channel for disputes arising after a formal notice has been filed, for enforcement investigations, or for filing complaints alleging anti‑competitive agreements or abuse of dominance. Those matters follow separate procedures under Sections 3, 4, and 19 of the Competition Act, 2002.

Step‑by‑Step CCI Pre‑Filing Process, From Internal Decision to Post‑Meeting Follow‑Up

The following numbered steps walk counsel through the entire CCI pre‑filing process, from the initial internal decision through to the post‑PFC strategy update. Each step identifies who is responsible and the typical duration involved.

Step 1: Internal Pre‑PFC Preparation

Begin by assembling the core data pack that CCI officers will need to provide meaningful guidance. At a minimum, this includes a concise transaction summary (structure, rationale, timetable), turnover and asset data for all parties (Indian and worldwide), a preliminary market definition identifying overlapping products and geographies, and a shareholding chart showing the pre‑ and post‑transaction ownership structure. The deal team should also flag any competition‑sensitive issues, horizontal overlaps, vertical links, or buyer‑power concerns, and any proposed remedies the parties are willing to discuss.

This preparation phase typically takes 1–5 business days, depending on whether the data room is fully populated. Counsel should use this stage to confirm that the transaction is likely to meet the jurisdictional thresholds under Section 5 of the Competition Act, 2002, so that the PFC discussion is grounded in a realistic filing scenario.

Step 2: Draft and Send the PFC Request Email

The primary submission channel for a pre‑filing consultation CCI request is email to cci‑consult@nic.in, as specified in the CCI PFC Guidance Note. The subject line should be precise and descriptive. A recommended format is:

Subject: Request for Pre‑Filing Consultation, [Acquirer Name] / [Target Name], [Brief Transaction Descriptor, e.g., “Share Purchase Agreement”], [Green Channel, if applicable]

The body of the email should be concise, six to eight lines, identifying the parties, summarising the transaction in one or two sentences, listing the attachments by name, proposing two or three meeting dates, and providing full contact details for the lead counsel. A sample email body follows:

“Dear Sir/Madam,

We act as counsel to [Acquirer Name] in connection with its proposed acquisition of [target percentage / assets] of [Target Name]. We write to request a Pre‑Filing Consultation to discuss jurisdictional questions and potential competition issues prior to the filing of a combination notice.

Please find attached: (1) Cover letter and index; (2) Executive transaction summary; (3) Parties’ identification and authorisation; (4) Turnover table; (5) Market definition note; (6) Proposed transaction structure diagram.

We are available for a meeting (in person or via video‑conference) on [Date 1], [Date 2], or [Date 3]. Our contact details are set out below.

Yours faithfully, [Counsel name, firm, telephone, email]”

Do not attach a completed Form I at this stage unless specifically requested by the CCI. The PFC is intended for concise, focused guidance, not a full filing review.

Step 3: CCI Acknowledgement and Meeting Scheduling

After receiving the PFC request, the CCI Secretariat will acknowledge receipt and assign one or more officers to handle the consultation. This triage phase typically takes 2–10 business days, depending on the CCI’s workload. Counsel should plan the request so that the meeting can be held at least 10 days before the intended filing date for substantive issues, in line with the CCI’s historic guidance. The CCI will confirm whether the meeting will take place in person at the CCI’s offices in New Delhi or via video‑conference, a facility confirmed by the Press Information Bureau.

Step 4: Conduct the PFC Meeting, Format and Likely CCI Questions

PFC meetings typically run 30–90 minutes. CCI officers will usually open with clarifying questions and then focus on the substantive issues flagged in the parties’ written materials. Based on established practice, counsel should be prepared to address the following questions from CCI officers:

• Market definition and overlaps. “How do the parties define the relevant product and geographic markets, and what are the combined market shares in each?”
• Competitive constraints. “Who are the principal competitors, and what barriers to entry exist?”
• Vertical and conglomerate effects. “Do the parties operate at different levels of the same supply chain, and could the combination foreclose competitors?”
• Efficiency and public‑interest arguments. “Are there demonstrable efficiencies or public‑interest benefits that the parties wish the CCI to consider?”
• Remedies willingness. “Are the parties willing to offer structural or behavioural remedies to address identified concerns?”

Counsel should prepare short, evidence‑backed responses, ideally no longer than one paragraph each, and bring supporting data to the meeting. It is critical to confirm during the meeting that the PFC discussion is non‑binding and that any guidance provided does not constitute a CCI decision. Request that any written follow‑up from the CCI be sent by email so that it forms part of the contemporaneous record.

Step 5: Post‑PFC Follow‑Up and Record Keeping

Within 0–5 business days of the meeting, lead counsel should prepare an internal memo summarising the discussion, noting the CCI officers present, the questions raised, and the guidance offered. If the CCI requests additional information, respond within 3–5 business days and retain copies of all correspondence. This internal record is essential for two reasons: it provides an audit trail demonstrating good‑faith engagement with the regulator, and it captures the non‑binding nature of the CCI’s comments for the benefit of the filing team and the parties’ boards.

Recommended internal memo headings include: (a) Date, attendees and format (in person / video); (b) Summary of issues discussed; (c) CCI officer comments (with caveat that guidance is non‑binding); (d) Follow‑up actions; (e) Implications for filing strategy and timetable.

Required CCI Submission Documents for a Pre‑Filing Consultation

The PFC is deliberately lighter than a formal Form I filing. Nonetheless, the CCI’s Guidance Note expects parties to provide enough material for officers to give informed feedback. The following table lists the core CCI submission documents to include with the initial request email.

Important: Do not submit a completed Form I or the full set of Form I annexures unless the CCI specifically asks for them during the PFC process. The purpose of the pre‑filing consultation CCI has established is to provide early, focused guidance, not to conduct a full filing review. Keeping the initial submission concise improves the quality and speed of the CCI’s feedback.

Counsel should retain a complete copy of every document sent to the CCI, together with a timestamp showing when the email was dispatched. This file becomes part of the audit trail discussed under the 2026 enforcement section below.

CCI Timeline and Key Deadlines for the Pre‑Filing Consultation

There is no statutory clock governing the PFC itself, it is an informal process. However, the CCI’s published guidance and established practice provide reliable benchmarks for the CCI timeline counsel should plan around.

Because the PFC is non‑binding, the CCI timeline above is indicative rather than mandatory. Nevertheless, experienced practitioners treat these benchmarks as planning norms. Missing the 10‑day lead‑time window does not disqualify a request, but it may reduce the depth of guidance the CCI can provide and compress the time available to adjust the filing strategy.

CCI Fees and Costs for the Pre‑Filing Consultation

The CCI does not charge an official fee for the PFC itself. The consultation is initiated by email and there is no prescribed payment at the request or meeting stage, as confirmed in the CCI PFC Guidance Note. Costs arise primarily from counsel time and, where applicable, from the Form I filing fee payable if the parties proceed to a formal combination notice.

CCI 2026 Enforcement, Why a Documented Pre‑Filing Consultation Matters

Industry observers expect the CCI’s enforcement posture in 2026 to continue a trend of closer scrutiny of combination filings, stricter timelines for review, and more assertive penalty proceedings for procedural non‑compliance, including gun‑jumping. Early indications suggest that the CCI is placing greater emphasis on the quality and completeness of initial filings, making pre‑notification engagement through the PFC mechanism more strategically valuable than in prior years.

In this environment, a well‑documented pre‑filing consultation serves as contemporaneous evidence that the parties engaged proactively with the regulator, identified potential concerns, and acted in good faith. The likely practical effect is that CCI officers reviewing a subsequent Form I filing may view the parties more favourably where a PFC took place and was properly recorded.

Recommended practice for CCI 2026 enforcement preparedness:

• Maintain a contemporaneous record. Circulate draft minutes of the PFC meeting to the CCI by email within 48 hours and retain a copy.
• Include a non‑reliance clause in internal memos. State expressly that the PFC guidance is non‑binding and does not constitute a CCI approval or decision.
• Archive all correspondence. Keep every email, attachment and internal note in a single, date‑stamped file accessible to the filing team and external counsel.

Common Pitfalls in the CCI Pre‑Filing Process and How to Avoid Them

• Submitting incomplete data. Sending a PFC request without turnover figures, a market definition note, or a shareholding chart wastes the CCI’s time and delays scheduling. Mitigation: use the documents checklist in this guide before pressing send.
• Mis‑labelled subject line (Green Channel vs. standard PFC). Incorrectly referencing the Green Channel route when overlaps exist, or omitting the Green Channel tag when the transaction qualifies, creates confusion at triage. Mitigation: confirm Green Channel eligibility internally before drafting the email subject line.
• Under‑estimating lead time. Submitting a PFC request only days before the intended filing date leaves insufficient time for the CCI to schedule a meeting. Mitigation: allow at least 10 calendar days before the intended filing, per CCI guidance.
• Over‑reliance on verbal comments. Treating informal oral comments from CCI officers as binding guidance is a common and dangerous error. Mitigation: always request written confirmation; if none is provided, prepare and circulate your own written summary and invite the CCI to comment.
• Failing to record internal advice. If counsel’s internal recommendations (e.g., “proceed with filing” or “restructure the transaction”) are not documented, the parties lose a critical element of the compliance audit trail. Mitigation: prepare a formal internal memo after every PFC, using the headings suggested in Step 5 above.
• Inadvertent confidentiality waiver. Sharing commercially sensitive information without appropriate confidentiality markings or without confirming how the CCI will handle the material. Mitigation: mark documents “Confidential, Pre‑Filing Consultation” and confirm handling arrangements at the start of the PFC meeting.

Sources

1. Competition Commission of India, Pre‑Filing Consultations
2. CCI, PFC Guidance Note (official PDF)
3. CCI, Consultation Prior to Filing of Notice (historic guidance PDF)
4. CCI, Procedure for Filing (Form I and filing requirements)
5. Press Information Bureau (Government of India), PFC video‑conferencing announcement
6. National Company Law Appellate Tribunal (NCLAT), official site