TMI BlogFORMSX X X X Extracts X X X X X X X X Extracts X X X X ..... 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 competent person having authority to do so and all signatures must be in original. APPLICATION BY SPONSOR OF THE MUTUAL FUND FOR REGISTRATION 1. Name of the sponsor 2. Address of the registered office/correspondence address Telephone Nos. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... f (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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 [Regulation 16(1)(d)] Trusteeship of the mutual fund (1) If the trusteeship of the mutual fund is with a 2 [ trustee company ] , then please furnish the following particulars (a) the draft articles and Memorandum of Association for approval (b) Objects of the 2 [ trustee company ] (c) Board of Directors of the trustee company with age, experience 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 t ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... mes of the fund. (f) Right of the trustees to obtain necessary information from asset management company besides obtaining a quarterly report from the asset management company. (g) Right to make spot checks on the asset management company regarding pricing of units and payment into and out of the fund and proper accounting of the income of the fund and charging of expenses as permitted, distribution as permitted. (h) Public availability of the trust deed. (5) Instructions 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/corre ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ) Main objects Ancillary objects (the Memorandum and Articles of Association would need the approval of SEBI and necessary amendments shall have to be incorporated in the existing Memorandum and Articles of Association) 6. Capital structure and shareholding pattern (as of the latest date) Net worth of the company (as of the latest date) To be represented by 7. Present line(s) of business activities Number of years in that line 8. Condensed financial information (enclose balance sheets and profit and loss account for three years) 9. Accounting policies (furnish description of significant accounting policies) 10. Systems and procedures (furnish description of systems and procedures in the compan ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Assets and liabilities Years (Rs.) 1 2 3 4 5 Assets: Fixed Assets Gross Depreciation Net value _______________________ Current assets Investments* Others (please specify) Cash and bank balances Less: Current liabilities and Provisions _______________________ Net worth Represented by : Issued and paid up capital Free reserves (excluding revaluation reserves) Total __________________ ..... X X X X Extracts X X X X X X X X Extracts X X X X
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