Intermediary registration requires comprehensive disclosure, audited financials and regulatory undertakings for grant of certificate under applicable regulations. Form A for grant of certificate requires submission of notarised supporting documents, complete disclosures of corporate identity, governance, affiliates, registrations, audited financial statements and tax identifiers, and particulars of litigation or show-cause notices. Applicants must supply director and management details, promoter contacts and regulatory registration data. The application must be complete, typed, initialed and signed, and accompanied by undertakings that information is true, that changes will be notified, and that the applicant will comply with applicable laws, regulations and operational directives issued by the regulator.
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Intermediary registration requires comprehensive disclosure, audited financials and regulatory undertakings for grant of certificate under applicable regulations.
Form A for grant of certificate requires submission of notarised supporting documents, complete disclosures of corporate identity, governance, affiliates, registrations, audited financial statements and tax identifiers, and particulars of litigation or show-cause notices. Applicants must supply director and management details, promoter contacts and regulatory registration data. The application must be complete, typed, initialed and signed, and accompanied by undertakings that information is true, that changes will be notified, and that the applicant will comply with applicable laws, regulations and operational directives issued by the regulator.
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