TMI BlogFormsX X X X Extracts X X X X X X X X Extracts X X X X ..... ............................................................................... Instructions:- 1. Applicants must submit a completed application form together with supporting documents to the Securities and Exchange Board of India. 3. Information which needs to be supplied in more detail may be written on separate sheets which should be attached to the application form. 2. All columns of the application should be filled in. In case a column is not relevant then not applicable should be specified. 4. Original copy of form duly signed should be submitted for registration. PART I General Information 1. Applicant s details 1.1 Name of the applicant: 1.2 Address of the applicant: Pin code: ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... the organisation of the applicant. Day Month Year Place 2.3 Organisation chart stating the functional responsibilities at various levels. 2.4 Particulars of all directors. [Name, qualification, experience, date of appointment, other directorship, (Name date of appointment), previous positions held.] 2.5 Number of employees (mention separately the employees in the debenture trusteeship activity). 2.6 Name and activities of associate companies/concerns. Name/Address/Phone Nos./Type of activity/Ownership details/Nature and quantum of financial trading. 2.7 List of major shareholders (holding 5% or more voting rights) and percentage of their shareholdings. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ed by the applicant. 6.5 Any other information considered relevant to the nature of services rendered by the applicant. PART II 7. Business information 7.1 Describe proposed activity. 7.2 Details of key legal personnel: a. Name of the person b. Responsibility c. Experience 7.3 Existing/proposed facilities for redressal of investor grievances. (Furnish number and type of complaints received, follow-up with the companies, average time taken in resolving the complaints and overall system of handling complaints). 7.4 Details of any personnel experience in the activity of debenture trusteeship. 8. Experience 8.1 Experience as debenture trustee (Name of the body corporate, on whose behalf the appli ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... applicant liable to disciplinary proceedings. I/We certify that the above information and information supplied in the application form is true, complete and correct. We hereby declare and undertake that- (a) the applicant-company, its directors or Principal Officers is/or has not at any time been convicted for any offence involving moral turpitude or been found guilty of any economic offence (including those concerned with the securities market), (b) no person directly or indirectly connected with the applicant has applied or been granted registration by the Securities and Exchange Board of India to act as Debenture Trustee. For and on behalf of ....................................... .... ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Trustees) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 for the word and figure Regulation 3 . 3 Substituted for the words Application for Grant of Certificate of Initial/ Permanent Registration as Debenture Trustee by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to this the words Application for Grant of Certificate of Initial/ Permanent Registration as Debenture Trustee were substituted by the SEBI (Debenture Trustees) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 for the words Application for Registration as Debenture Trustee . 4 The following was omitted by the Securities and Exchange Board of India (Change ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... was acting as debenture trustees under earlier registration where defaults by the issuers in terms of delays/non-payment of interest/principal have occurred. Company Details of issue Details of defaults 11. Whether the applicant has obtained auditors certificate for end-use of funds for all public/rights issues. 12. Investor grievances relating to the debentures of companies for which the applicant acted as debenture trustees. Also, the word permanent was substituted by the SEBI (Debenture Trustees) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 for the words renewal of . 5 The words /Regulation 8 A was omitted by the Securities and Exchange B ..... X X X X Extracts X X X X X X X X Extracts X X X X
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