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SCHEDULE - I - APPLICATION FORM FOR GRANT OF CERTIFICATE OF REGISTRATION AS FOREIGN VENTURE CAPITAL INVESTOR WITH THE SECURITIES AND EXCHANGE BOARD - Securities and Exchange Board of India (Foreign Venture Capital Investors) Regulations 2000Extract FIRST SCHEDULE FORMS FORM A SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN VENTURE CAPITAL INVESTORS) REGULATIONS, 2000 [See Regulation 3] APPLICATION FORM FOR GRANT OF CERTIFICATE OF REGISTRATION AS FOREIGN VENTURE CAPITAL INVESTOR WITH THE SECURITIES AND EXCHANGE BOARD OF INDIA SECURITIES AND EXCHANGE BOARD OF INDIA Mittal Court `B' Wing, 1st Floor Nariman Point, Bombay - 400 021, INDIA 1. Name, address, telephone no., telex no. and fax no. of the applicant. In case the applicant has a representative office in India, the particulars may also be given for that office. 2. Please indicate whether the applicant belongs to any one or more of the following categories: Pension Fund, Mutual Fund, Investment Trust, Investment company, Investment trust, Investment partnership, Asset Management Company, Investment manager, Investment Management Company, Endowment fund, University fund, Charitable institutions or any other investment vehicle incorporated and established outside India 3.(a) The date and place of incorporation of the applicant. (Details of statute under which incorporated). (b) Brief description of the principal activities of the applicant and the year of commencement of such activities. (c) Brief description of the group, if any, to which the applicant belongs. 4. Whether any of the following documents are submitted? i. Copy of certificate of registration with home regulator; or ii. Copy of income tax return filed in the home country; or iii. Copy of bankers certificate fair track record of the applicant 5. Please also state whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent/ holding company or affiliate may have been subjected to economic, or criminal liability or suspended from carrying out its operations, or the registration has been revoked, temporarily or permanently. If no, submit an undertaking. 6. Please indicate the names of the clients on whose behalf you propose to invest in India. 7. Please indicate the manner in which you propose to conduct your investments in India i.e. whether through an establishment in India or through any other office outside India. Please give details, and also the name of the contact person/compliance officer. 8. Name and address of the designated bank branch in India through whom investment is proposed to be made. 9. a) Name, address, telephone no., telex no., and fax no. of the domestic custodian. Please also present the background information on the custodian, including volume of business handled, organisational infrastructure and the number of investment companies for which the domestic custodian is acting, or has acted, as custodian. b) Particulars of the agreement entered into with the domestic custodian. We hereby agree and declare that the information supplied in the application, including the attachment sheets, is complete and true. And we further agree that we will immediately notify the Securities and Exchange Board of India of any change in the information provided in the application. We further agree that we shall comply with the provisions of the Act, and regulations issued thereunder and all other relevant laws. We further agree that as a condition of grant of certificate of registration, we shall abide by such operational instructions/ directives as may be issued by Securities and Exchange Board of India under the provisions of the Act from time to time. 1 [10. Please furnish firm commitment letter(s) from your investors for contribution of an amount aggregating to at least US$ 1 million. 11. Please furnish copies of your financial statements as well as those of your investors‟ who have provided firm commitment letter(s), for the financial year preceding the one during which this application is being made. 12. Please furnish name, address, contact number and the e-mail address of all your directors. 13. Please furnish name, address, contact number and the e-mail address ofall your investor(s) who have provided firm commitment letter(s)required to be furnished under paragraph 10 of this Form.] For and on behalf of _______________________________________ ____________________________________ (Name of the applicant) Authorised Signatory ___________________ ___________________ ______________________________________ (Name) (Signature) Date: Place: Note: 1. Securities and Exchange Board of India (SEBI) reserves the right to call for any further information from the applicant regarding his application. 2. Applications, super scribed Application for Registration of Foreign Venture Capital Investors , should be submitted in duplicate, in sealed envelopes, at Securities and Exchange Board of India's office. Documents to be enclosed with the application: a. Documents to support registration or regulation by a Securities Commission and/or Self Regulatory Organisation, or any other appropriate regulatory/registering authority or b. Copy of income tax return filed in the home country; or c. Copy of bankers certificate for fair track record of the applicant FORM B SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN VENTURE CAPITAL INVESTORS) REGULATIONS, 2000 [See Regulation 7(3)] Certificate of Registration as Foreign Venture Capital Investor I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, (15 of 1992) read with the regulations made thereunder the Board hereby grants a certificate of registration to ------------------------------------------------------------------------ as a Foreign Venture Capital Investor subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the foreign venture capital 2 [investor] is IN/FVCI/ / Date: Place: MUMBAI By order Sd/- For and on behalf of SECURITIES AND EXCHANGE BOARD OF INDIA ******** 1 Inserted by the SEBI (Foreign Venture Capital Investors) (Amendment) Regulations, 2010, w.e.f. 21-12-2010. 2 Substituted for fund by the SEBI (Foreign Venture Capital Investors) (Amendment) Regulations, 2001, w.e.f. 7-6-2001.
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