TMI BlogApplication for Grant of Certificate of Registration as Alternative Investment FundX X X X Extracts X X X X X X X X Extracts X X X X ..... complete this form, and submit it, along with all supporting documents to the Board at its head office at Mumbai. 3. This application form should be filled in accordance with these regulations. 4. The application shall be considered by the Board provided it is complete in all respects. 5. All answers must be legible and all the pages must be numbered with signature/ stamp on each page of the form. 6. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form and appropriately numbered. 7. The application must be signed and all signatures must be original. 8. The application must be accompanied by an application fee as specified in the Second Sched ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... authority in any capacity along with the details of its registration. (h) Details of infrastructure for conducting activities as an Alternative Investment Fund (i) Copy of the draft placement memorandum. 2. DETAILS OF APPLICANT I. In case applicant is a Trust: 1. Write-up on the activities of the applicant 2. Whether the Trust Deed is registered under the provisions of the Registration Act, 1908. (Enclose relevant extract of the Registered Trust Deed) 3. Whether the Trust Deed permits the carrying on of the activity of an Alternative Investment Fund 4. Whether the applicant is prohibited by its trust deed from making an invitation to the public to subscribe to its units; 5. Provide details of Trustees/ Trustee ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... hip Act, 2008 and permits carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the Partnership Deed) 4. Whether the applicant is prohibited by its partnership deed from making an invitation to the public to subscribe to its securities; IV. In case applicant is a Body Corporate 1. Write-up on the activities of the applicant 2. Shareholding pattern and profile of the directors (Enclose Identity proof and address proof of the directors) 3. Whether the applicant is set up or established under the laws of the Central or State Legislature 4. Whether the applicant is permitted carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the relevant Statute/Act ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... he business of buying, selling and dealing of securities or other financial assets. (h) Copies of the financial statements for the previous financial year (i) Whether, the Sponsor has floated any Alternative Investment Funds/ Venture Capital Funds previously, which are registered with the Board. If yes, details of the same. 4. DETAILS OF MANAGER (a) Name, address of the registered office address for correspondence, telephone number(s), fax number(s), of the Manager(s). (b) Name, direct line number, mobile number and e-mail of the contact person(s). (c) Legal status of the Manager (whether Manager(s) is/are individual/company/limited liability partnership/body corporate) and date and place of incorporation/ establishment, ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Sponsor or its directors/ partners or Manager or its Directors/ Partners or Trustees/ Trustee Company or its directors are/ were involved in any litigation connected with the securities market and any order has/ had been passed against them for violation of securities laws. (If Yes, provide details. If No, enclose a declaration to that effect). (b) Whether the applicant/ Sponsor/ Trustee/ Manager or its directors or Partners or employees are / have been involved in any litigation connected with the securities market which may have an adverse bearing on the business of the applicant or any order has/ had been passed against them for violation of securities laws. (If Yes, provide details. If No, enclose a declaration to that effect). (c ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... , and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012, and Government of India guidelines/instructions as may be announced by the Securities and Exchange Board of India from time to time. We further agree that as a condition of registration, we shall abide by such operational instructions/directives as may be issued by the Securities and Exchange Board of India from time to time. For and on behalf of____________________________________________________ (Name of the applicant) Authorized signatory (Signature) FORM B Securities and Exchange Board of India (Alternative Investment Funds) Regulatio ..... X X X X Extracts X X X X X X X X Extracts X X X X
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