9911796707
TMI BlogFormsX X X X Extracts X X X X X X X X Extracts X X X X ..... ....................................................…………. Telephone No. : ...................................................... Fax No. .................................... Instruction for filling up form:- 1. Applicants must submit a completed application form together with appropriate supporting documents to the Board. 2. It is important that this application form should be filled in accordance with the regulations. 3. An application which is not complete is liable to be rejected. 4. Answers must be typed and legible. 5. Information which needs to be supplied in more details may be given on separate sheets which should be attached to the application form. 6. The application must be signed by the ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e auditors of the sponsor 15. Court cases/litigations in which the sponsor may have been involved in the last three years 16. An application for registration of mutual fund shall be accompanied by a copy each of (A) Draft trust deed; (B) Draft investment management agreement; and (C) Draft custodian agreement CONDENSED FINANCIAL INFORMATION (A) Income statement Years (Rs.) 1 2 3 4 5 Income: Dividend Trading Management Fee Other income Total ___________________ Expenses: Director's remuneration Trusteeship fees Custodian fees Registrar's fees Other expenses Total _____________________ Gross Profit Depreciation Net profit before tax Tax Profit after tax Dividends Retained earnings (B) Assets an ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e and qualification (d) Key personnel (e) Systems and procedures, record maintenance, etc. (f) Names of auditors and bankers (2) If the trusteeship of the mutual fund is with a debenture trustee, bank, or financial institution then please furnish the following particulars (a) Name of the Institution (b) Address/telephone/telex/fax Nos. (c) Name of the contact person (d) Background information i.e. (number of companies, trusts for which it has or has been acting as trustees, names of those companies, trusts, number of years of experience as trustees, total volume of business, trusteeship fee record for last three years, organisational infrastructure to handle trusteeship function including record maintenance, computer faciliti ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... structions for filling up the form. (See Form A) FORM D Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 [Regulation 19(1)] Asset management company 1. Name of the Asset Management Company 2. Proposed registered office/correspondence address Telephone Nos. Telex Nos. Fax Nos. 3. Name of the contact person 4. Proposed objects of the asset management company (enclose copy of the draft Articles and Memorandum of Association for approval) Main objects Ancillary objects 5. (a) Proposed capital structure (b) The net worth of the company to be represented by (necessary auditors certificate to be furnished) 6. Proposed systems and procedures for the asset management company (furnish description of systems a ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... r three years) 9. Accounting policies (furnish description of significant accounting policies) 10. Systems and procedures (furnish description of systems and procedures in the company and essential internal controls in order to carry on the business of the company) 11. Names of the associate organisations/group companies/subsidiaries, etc. 12. Management of the asset management company Board of the asset management company with names, experience, qualification, profession of the Directors. Names of key personnel Organisational structure Board of Directors of associate organisations, companies and subsidiaries 13. Names and addresses of the Bankers of the asset management company 14. Names and addresses of the auditor ..... X X X X Extracts X X X X X X X X Extracts X X X X
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