TMI BlogApplication Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)]X X X X Extracts X X X X X X X X Extracts X X X X ..... Country 1.5 Legal form of the applicant and the law, under which it is incorporated, established or registered, if any: 1.6 Brief description of the principal activities: 1.7 Date of commencement of such activities: 1.8 Brief description of the group, if any, to which the applicant belongs: 1.9 Information pertaining to Compliance Officer: Name Job Title Telephone no Fax No E-mail id 2 Category of the applicant 2.1 If the applicant is a fund: Pension Fund University fund Mutual Fund Endowment Investment Trust Foundation Bank ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Name Category Country 6. Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent / holding company or affiliate may have been subjected to economic or criminal liability or suspended from carrying out its operations or the registration, has been revoked, temporarily or permanently. Yes No If yes, please furnish details in annexure 7. Details of the domestic custodian and designated bank appointed 7.1 Details of the domestic custodian Name SEBI Reg. No. 7.2 Details of designated bank: Name of the Bank and Branch Address ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... India of any change in the information provided in the application promptly. 2. comply with the provisions of the Act, and regulations issued there under and all other relevant laws including guidelines issued by the Reserve Bank of India and the Government of India. 3. abide by operational instructions/ directives as may be issued by Securities and Exchange Board of India and by the Reserve Bank of India from time to time under provisions of the Act or any other law for the time being in force. 4. be held responsible and liable for all acts of commission and omission of all its sub-accounts and other deeds and things done by such sub accounts under these regulations, irrespective of whether discretion is exercised by us in respect of the sub-account. For and on behalf of applicant ____________________________________________ Signature of Authorized Signatory Name Designation Date dd/mm/yyyy ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... priate category of the applicant: Broad Based Fund Broad Based Portfolio Proprietary fund of the FII University Fund Foreign Corporate Endowment Foundation Charitable Trust Charitable Society Sovereign Wealth Fund Foreign Individual (Please furnish requisite information in 2.4) 2.2 In case of broad based fund / broad based Portfolio, please specify the constitution: Mutual Fund Pension Fund Insurance Investment Trust Others (only if it does not satisfy any other category): (Please state the corpus of the fund, Generic type and Number of investors in the fund along with their respective proportionate holdings in a separate annexure in the following format) SrNo. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... a) its securities are listed on a stock exchange outside India; b) it has a asset base of not less than two billion US dollars; c) it has an average net profit of not less than fifty million US dollars during the three financial years preceding the date of the application, OR In case the sub-account applicant is a Foreign Individual: a) has a networth of not less than fifty million US dollars; b) holds the passport of a foreign country for a period of at least five years preceding the date of application; c) holds a certificate of good standing from a bank; d) is a client of the foreign institutional investor or any other entity which belongs to the same group as the foreign institutional investor, for a period of at least three years preceding the date of the application; 6. Undertaking A. Undertakings to be submitted by FII (i) In case the sub-account applicant is a broad based fund: We undertake that the proprietary funds of _______________________ (name of FII) shall not be invested through ____________________ (name of the sub account applicant). OR (ii) In case the sub-account applicant is a proprietary fund of the Foreig ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995 CERTIFICATE OF REGISTRATION I. In exercise of the powers conferred by sub-section (1A) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the regulations made thereunder the Board hereby grants a certificate of registration to _________________________________ as a Foreign Institutional Investor, subject to the conditions specified in the Act and in the regulations made thereunder. II. Registration Number for the Foreign Institutional Investor is IN/.../.../.../.... 3 [III. This certificate shall be valid till it is suspended or cancelled in accordance with the regulations.] Date: Place: Mumbai By Order For and on behalf of Securities and Exchange Board of India Authorised Signatory ----------------------- Notes: 1. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22-5-2008. Prior to substitution Form A read as under: FORM A Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulat ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... y 2.1.2 Name of the investment manager/advisor of the fund: 2.2 If the applicant is not a fund: Asset Management Company Institutional Portfolio Manager Investment Manager/Advisor Trustee Power of attorney holder Any other, please specify 2.3 Details of the broad-based funds on whose behalf the applicant proposes to invest in Indian Securities markets : Name of the fund/s 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. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... iation with the Indian securities market. 5.1 Whether the applicant or its associate/s or group company/s, having office in India, have ever been registered with SECURITIES AND EXCHANGE BOARD OF INDIA Yes No If yes, then please provide details: 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 here ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... EBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22- 5-2008. Prior to substitution Form AA read as under: Form AA Application Form for Grant of Certificate of Registration as Sub account (SA) [See regulation 12(1)] PART - I (For the applicants under category broad-based fund and proprietary fund of the FII ) 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: 1.3 Legal form of the applicant and the law under which it is incorporated, established or 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 2.2 Please declare that the applicant is: a broad-based fund proprietary fund of t ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 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 further declare that: a. no winding up orders have been passed against the applicant b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the ap ..... X X X X Extracts X X X X X X X X Extracts X X X X
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