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 ..... attached to the application form and appropriately numbered. 7. The application must be signed. 8. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations. 1. GENERAL INFORMATION (a) Name, address of the registered office, address for correspondence and principal place of business, telephone number(s), fax number(s), e-mail address of the applicant. (b) 3 [***]. (c) Name, direct line number, mobile number and e-mail of the contact person(s) 4 [ and principal officer ] . (d) Legal structure of applicant - Whether the applicant is an individual 5 [ or non-individual ] . (e) Whether the applicant is a bank /NBFC. (f) Date and place of incorporation/ establishment, if any. If the applicant is incorporated outside India, details of such incorporation. (g) Whether the applicant is engaged in investment advisory services prior to making application under these regulations. (h) Whether the applicant is registered with SEBI, RBI, IRDA or PFRDA in any capacity. If so, details of such registration. (i) Write-up on the activities of the applicant. 6 [ **** ] 2. DETAILS OF APPLICAN ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... worth certificate by a chartered accountant, not more than six months old. Please note that membership number of the chartered accountant must be included in the certificate, 14 [ 8. Enclose identity proof and address proof of the applicant, principal officer and persons associated with investment advice. ] III. In case applicant is a partnership firm or a limited liability partnership: 1. Names and Beneficial ownership pattern of the partners 15 [ , principal officer and persons associated with investment advice ] engaged/proposed to engage in investment advice (Enclose identity proof and address proof of the partners 15 [ , principal officer and persons associated with investment advice ] ). 16 [ 2. Whether the aforesaid principal officer and persons associated with investment advice comply with certification and qualification requirements under regulation 7 and applicant has submitted a declaration with respect to the same. (Provide self-certified copies of supporting documents ). ] 17 [ 3. Copy of certification obtained by the aforesaid principal officer and persons associated with investment advice in accordance with regulation 7(2). ] 4 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... mmunication facilities, research capacity, research software for undertaking investment advisory services. 2. Declaration that the applicant has the necessary infrastructure to effectively discharge the activities of an investment adviser. 24 [ IMPLEMENTATION OF ADVICE OR EXECUTION SERVICES. 1. Provide a declaration that no consideration including any commission or referral fees whether embedded or indirect or otherwise by whatever name called shall be received directly or indirectly at Investment Adviser s group or family level for the said service, as the case maybe. 2. If the applicant is a non-individual, whether the applicant proposes to offer distribution services. ] 6. OTHER INFORMATION/DECLARATIONS/ REGULATORY ACTIONS (a) Details of all settled and pending disputes in the last 5 years. (b) Whether any previous application for grant of certificate made by any person directly or indirectly connected with the applicant has been rejected by the Board; If yes, provide details of the same. (c) Whether any disciplinary action has been taken by the Board or any other regulatory authority against any person directly or indirectly connected with the a ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... n as investment adviser 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 there under, the Board hereby grants a certificate of registration to _______________________________________________________________ as an investment adviser subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the investment adviser is IN/IA/_____________. Date : Place : MUMBAI By Order Sd/- For and on behalf of Securities and Exchange Board of India ********** 1 Substituted for the words See Regulations 3 and 11 by the Securities andExchange Board ofIndia (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations,2016 w.e.f. 08-12-2016. 2 Substituted for the words Application for Grant of Certificate of Registration/Renewal as investment adviser by the Securities andExchange Board ofIndia (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations,2016 w.e.f. 08-12-2016. 3 Omitted by the by the Securities andEx ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e documents as mentioned in points (1) to (2) above for such employees/ agents. 10. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 11. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as employees and agents of the applicant (hereinafter referred to as representatives ) 12. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as 3. Declaration by the applicant that its representatives currently comply with the certification and qualification requirements under regulation 7. (If the applicant is an existing investment adviser applying for fresh registration, then provide a declaration stating that the applicant shall ensure that all its representatives obtain such certification within two years from the date of commencement of theseregulations and after all its representatives obtain the certification, a declaration to that effect shall be submitted to SEBI.) 13. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as representatives 14. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 da ..... X X X X Extracts X X X X X X X X Extracts X X X X
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