SCHEDULE - 01 (FORM E) - Application for Grant of Certificate of Initial/ Permanent Registration as Participant

Guide to Applying for Initial or Permanent Registration Under SEBI (Depositories and Participants) Regulations, 1996

The application process for obtaining a certificate of initial or permanent registration as a participant under the Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996. Applicants must submit the form to the relevant depository, which forwards it to SEBI. The application requires detailed information about the applicant's business activities, affiliations, regulatory registrations, financial status, and compliance with securities laws. It also demands specifics on operational systems, risk management, and insurance coverage. An undertaking from the depository confirming the applicant's eligibility and compliance with regulations is mandatory. The application must be signed, accompanied by a fee, and include a declaration of truthfulness.