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 ..... TELEPHONE NO. __________________________ 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. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... atest share price: high low). 2.4 Organisation Chart stating the functional responsibility at various levels. 2.5 Particulars of all Proprietors / Partners / 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 shareho ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ear Subsequent second year (estimated) Subsequent third year (estimated) (a) Fixed Assets (b) Plant Machinery And office equipment (c) Investment (Details Should be given separately) (d) Others 5.3 Net Profit for the last three financial years (Rs. In lakhs) First Year Second Year Third year 5.4 Estimated profit from various sources. (Rs. In lakhs) ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ct entered with a person making the issue or share transfer agent. 7.4 Details of facilities for processing of application, collection and dispatch of documents, refund orders, allotment letters, space for safe custody of refund orders, certificates, reconciliation with the collecting banks. 8. EXPERIENCE 8.1 Experience in handling the activities during the last three years. (Name of the corporate body, particulars of issues handled, size of issues etc.) for: (a) Registrars to Issue (b) Share Transfer Agents 8.2 Experience in other financial services (period, area, and commencement of activity). DECLARATION ___________________________________________________ THIS DECLARATION MUST BE SIGNED BY PRINCIPAL OFFICER ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... fer agent in Category I* / registrar to an issue*/ share transfer agent* in Category II subject to the conditions in the rules and in accordance with the regulations to carry out the activities as specified therein. II. Registration Code for registrar to an issue and share transfer agent is ________________ III. 6 [This certificate of registration shall be valid unless it is suspended or cancelled by the Board.] Date: By Order For and on behalf of Securities and Exchange Board of India *Delete whichever is not applicable. *********** 1 Substituted for the words Regulation 3/Regulation 8A by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendm ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 6 Substituted 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 substitution paragraph III read as under: This certificate of registration shall be valid, from to /for permanent, unless suspended or cancelled by the Board. Prior to above paragraph III was substituted for Unless renewed, the certificate of registration is valid from .. to by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. - - statute, statutory provisions legisla ..... X X X X Extracts X X X X X X X X Extracts X X X X
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