TMI BlogApplication for Grant of Certificate of RegistrationX X X X Extracts X X X X X X X X Extracts X X X X ..... ................. Telephone No. .................................. Telex No. ..................................... Fax No................................. (B) Address for Correspondence : Pin Code................................ Telephone No. ................................ Telex No. ................................ Fax No. ................................ (C) Address of Branch Offices : 2. Organisation structure (Organisation Chart separately showing functional responsibilities of Merchant Banking activities to be enclosed). 2.1 Objectives : (To be given in brief alongwith copy of Memorandum and Articles of Association). 2.2 Date and Place of Incorporation : Day Month/Year Place 2.3 Status of the Applicant : (e.g., limited company-Private/Public, unlimited company, partnership, proprietary, others. If listed, names of Stock Exchanges and latest share price to be given). 2.4 Particulars of all Directors/Partners/Proprietors: Name Qualification Experience in Merchant Banking Financial Services related areas Share in applica ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... (e) Consultants/Advisors to the Issue Name of the client Year of Issue Type and size of Issue Nature of services rendered Name of lead Merchant Banker(s) 4. Client information 4.1 List of major clients with address Name Services rendered ....................................................................................................................................................................................... ....................................................................................................................................................................................... ....................................................................................................................................................................................... 4.2 If the applicant is proposing to engage in Merchant Banking activities fo ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... (f) Others (Details of investments, Loans Advances made to Associate Companies/Firms where Promoters/Directors have an interest be separately given). 5.3 Major Sources of Income: (Rs. in lakhs) Year prior to the preceding year or current year Preceding year *Fees charged as % of issue (a) Issue Management (b) Underwriting (c) Portfolio Management (d) Consultant/Adviser to issue (e) Investment Adviser (f) Others *As fees charged by the Merchant Banker may vary from issue to issue, please indicate range within which ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Name in Block Letters Date FORM B Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992 [ 4 [Regulation 8 / Regulation 8A]] 5 [Certificate of Registration] I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the rules and regulations made thereunder the Board hereby grants a certificate of registration to......as a merchant banker in Category I 6 [***] subject to the conditions in the rules and in accordance with the regulations to carry out the following activities: *1. Management of any issue, including preparation of prospectus, gathering information relating to the Issue, determining financing structure, tie up of financiers, final allotment and refund of excess application money. *2. Investment Adviser 7 [***] *5. Manager, consultant or Adviser to any issue including corporate advisory services. *6. Consultant or Adviser. (*Delete whichever are not applicable) II. Registration Code for the merchant banker is MB. III. 8 [This certificate of registration shall be valid unless it is suspended ..... X X X X Extracts X X X X X X X X Extracts X X X X
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