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TMI BlogApplication for Registration as Registrars to issue or Share Transfer Agents or BothX X X X Extracts X X X X X X X X Extracts X X X X ..... _____ CATEGORY FOR WHICH CERTIFICATE APPLIED FOR UNDER REGULATION 3 (AS APPLICABLE) ___________________________________________________________ INSTRUCTION: 1. APPLICANT MUST SUBMIT A COMPLETED APPLICATION FORM TOGETHER WITH SUPPORTING DOCUMENTS TO THE SECURITIES AND EXCHANGE BOARD OF INDIA. 2. ALL COLUMNS OF THE APPLICATION SHOULD BE FILLED IN. IN CASE A COLUMN IS NOT RELEVANT OR NOT APPLICABLE, THIS SHOULD BE SPECIFIED. 3. INFORMATION WHICH NEEDS TO BE SUPPLIED IN MORE DETAILS MAY BE WRITTEN ON SEPARATE SHEETS WHICH SHOULD BE ATTACHED TO THE APPLICATION FORM. 4. ORIGINAL COPY OF FORM DULY SIGNED SHOULD BE SUBMITTED. PART - I GENERAL INFORMATION 1. APPLICANTS DETAILS 1.1 Name of the Applicant _____________________________ 1.2 C ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... rtners / Mangers / Officers / Directors:- [Name, Qualification, Experience, Date of Appointment, Other directorship (Name & Date of Appointment), Previous positions held.] 2.6 Number of employees (General and for specific Intermediaries activity) 2.7 Name and activities of associate companies / concerns carrying out on activities of a registrar to issue or share transfer agent. Name Address/ Phone nos. Type of activity Status 2.8 In case the applicant is a body corporate, please give list of major shareholders (holding 5% or more voting rights) and percentage of their shareholdings. 3. DETAILS OF INFRASTRUCTURAL FACILITIES 3.1 Office Space (mention the extent of area available) 3.2 Office Equipment (mention the details of electro ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ame and Address of Principal Bankers 5.7 Name and Address of the Auditors (Internal, External & Tax auditor, if any). (As applicable) 6 OTHER INFORMATION 6.1 Details of all pending disputes: Nature of dispute Name of the party Names & Places of Court / Tribunal where disputes are pending 6.2 Indictment of involvement in any offence relating to moral turpitude /economic offences in the last three years. 6.3 Any significant awards or recognition, collective grievances against the services rendered by the company. 6.4 Any other information considered relevant to the nature of services rendered by the company. 6.5 Name of two references. (For applicants other than institutions & corporate bodies) Part II 7. BUSINESS INFORMATION 7 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... t of Certificate for registration and I/We will promptly notify the Board of any changes in the information during the period that my / our registration is being considered and if my/our registration is accepted, thereafter. I/We understand that misleading or attempting to mislead the Board shall render the applicant liable to disciplinary proceedings. I/We certify that the above information and information supplied in the application form is true, complete and correct. For and on behalf of -------------------------------------------- (Name of Applicant) PLACE Date FORM B SECURITIES AND EXCHANGE BOARD OF INDIA (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENT) REGULATIONS 1993 3[(Regulation 8 4[***])] Certificate of 5[***] Registra ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... itions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to this the words "Application for Initial/ Permanent Registration as Registrars to Issue or Share Transfer Agents or both" were substituted for the words 'APPLICATION FOR REGISTRATION AS REGISTRARS TO ISSUE OR SHARE TRANSFER AGENTS OR BOTH', ibid. 3 Substituted for the word and number 'Regulation 8' by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 4 The words "/Regulation 8A" were omitted 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. 5 The words "Initial/Pe ..... X X X X Extracts X X X X X X X X Extracts X X X X
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