TMI BlogSecurities And Exchange Board Of India (Foreign Institutional Investors) (Second Amendment) Regulations, 2006.X X X X Extracts X X X X X X X X Extracts X X X X ..... corporated outside India as pension fund, mutual fund, investment trust, insurance company or reinsurance company; (b) after sub-clause (i), the following sub-clause shall be inserted, namely : (ia) an International or Multilateral Organisation or an agency thereof or a Foreign Governmental Agency or a Foreign Central Bank; (c) sub-clause (ii) shall be substituted with the following, namely: (ii) an asset management company, investment manager or advisor, nominee company, bank or institutional portfolio manager, established or incorporated outside India and proposing to make investments in India on behalf of broad-based funds and its proprietary funds, if any; ( ii ) in regulation 12, for sub-regulation (3), the following sub-regulation shall be substituted, namely : (3) An application for registration as sub-account shall be made in Form AA. ( iii ) in regulation 13, in sub-regulation (1)- (a) clause (e) shall be substituted with the following, namely : (e) the applicant and the Foreign Institutional Investor through whom the application for registration is made, have submitted joint undertakings as required by Form AA of the First S ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Postal Code Country Telephone No. Fax No. E-mail address 2. Category of the applicant 2.1.1 If the applicant is a fund : Pension Fund University fund Mutual Fund Endowment Investment Trust Foundation Bank Charitable Trust ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Category (e.g. Mutual fund, Pension fund) Country of incorporation/establishment 3. Details of regulatory authority by which the applicant is regulated/with whom the applicant is registered 3.1 Contact details : Name Address Country Postal Code Telephone No. Fax No. Web-site E-mail address 3.2 Please mention briefly the activities which the applicant is permitted to undertake under the registration/license granted by the regulatory authority as indicated in Item No. 3.1@: ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Name of the entity Registered as SEBI Registration No. Period of registration From To dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy (Please attach separate sheet in the same format, if the space provided here is not sufficient) 6. Undertaking and declarations Declaration : We hereby declare that the applicant has not incurred any of the disqualifications mentioned in regulation 3(2) of the SEBI (Criteria for Fit and Proper Person) Regulations, 2004. Undertaking : 1. We hereby agree and declare that the information supplied in the application, including the attachment sheet ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... pplicant : 1.2 Date of incorporation/establishment dd/mm/yyy 1.3 Legal form of the applicant and the law under which it is incorporated, established of registered, if any : 1.4 Place of incorporation/establishment: 2. Category of the applicant 2.1 Please tick whether the applicant is : Pension Fund Mutual Fund Investment Trust Proprietary fund of the FII Any other, please specify ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... E-mail address, if any 3.2 Permanent Account Number/Registration Number/Code given by tax authority (if any) : 4. Details of domestic custodian and designated bank appointed in India 4.1 Details of the domestic custodian Name Address Postal Code Country UIN 4.2 Details of designated bank : Name Address Postal Code Country 5. Undertaking and Declarations A. Declaration : We hereby declare that the applicant has not incurred any of the disqualifications mentioned in regulation 3(2) of the SEBI (Criteria for Fit and Proper Person) Regulations, 2004. We ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Date dd/mm/yyyy Note : 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Applications along with necessary documents should be submitted at Securities and Exchange Board of India, Mittal Court B Wing, 1st Floor, Nariman Point, Mumbai-400 021, India. [F.No. SEBI/LAD/DOP/2108/2006 M. DAMODARAN, Chairman Footnotes : 1. The Securities and Exchange Board of India (Foreign Institutional Investors) Regulations, 1995 was published in the Gazette of India on November 14, 1995 vide S.O. No. 918 (E). 2. The Securities and Exchange Board of India (Foreign Institutional Investors) Regulations, 1995 was subsequently amended a. on October 9, 1996 by the Securities and Exchange Board of India (Foreign Institutional Investors) (Amendment) Regulations, 1996 vide S.O. No.702(E). b. on November 19, 1996 by the Securities and Exchange Board of India (Foreign Institutional Investors) (Second Amendment) Regulations, 1996 vide S.O. No.799(E). c. on February 12, 1997 by the Securities an ..... X X X X Extracts X X X X X X X X Extracts X X X X
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