TaxTMI 
TaxTMI 
Application for settlement
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....oposed settlement amount must be filled, else application shall be returned. Put 'NA' only where NOT APPLICABLE.) Before the Securities and Exchange Board of India In the matter of ................................ 1. Name/Trade name of the applicant/co-applicants: (a) Registration no., if applicable : (b) Date of Registration, if applicable : (c) PAN/DIN/CIN number, as available: (d) Paid-up capital of applicant: 2. If stock broker, name of the stock exchange: 3. If sub-broker/authorised person, name of stock broker with whom affiliated and name of the stock exchange: 4. Name of the segment (Cash/derivative etc.): 5. Form of organization: corporate body/ ....
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....the loss caused, profit made, loss avoided, gross fees, brokerage, commissions, etc., in respect of the cause of action, with manner of calculation thereof): [APPLICANT TO TAKE INTO ACCOUNT THE GUIDELINES PROVIDED IN SCHEDULE-II] 18. Specific charges alleged: 19. Submissions in respect of sub-regulations (2), (3) & (4) of Regulation 5: 20. Terms of settlement proposed by the Applicant:- (a) Monetary terms, with manner of calculation:- (b) Non-monetary terms, including manner of calculation of terms of disgorgement due:- 21. Original documents to be enclosed: (a) Undertakings and waivers (as per Format specified in Part C). (b) Authority letter/Board resolution.....
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........son/daughter/wife of (Name in block letters) Shri .........................................being the applicant/authorised representative (in case of body corporate) of ......................... do hereby verify and affirm on oath that this application and the contents thereof are true to my knowledge and belief and as per the records and that I have not suppressed any material facts and shall keep the Board informed without delay, of any other relevant information that may come to my notice. (Signature of the applicant) Date: Place : Part-B Every applicant under Chapter II of these regulations shall pay a non-refundable processing fee of fifteen thousand rupees, ^1[****] by way of ^4[payment through the dedicated payment ....
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....on who is not a party to these proceedings, against me/us. (6) The settlement amount including legal costs, if any, shall be paid by me/us to the Board within the period stipulated by the Board. (7) The settlement order shall be construed and enforced in accordance with the Securities and Exchange Board of India (Settlement Proceedings) Regulations, 2018, as amended from time to time. (8) I/We agree that subsequent to the passing of the settlement order, I/We shall not take any action or make or permit to be made any public statement denying, directly or indirectly, any finding of the Board including that recorded in the settlement order or creating impression that the settlement order is without factual basis. (9) I/We hereby d....
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....relating to such provisions of the regulations or other requirements of law, including conflict of interest, as may be construed to prevent any member or officer of the Securities and Exchange Board of India from participating in the proceedings, including settlement proceedings or assisting or advising the Internal Committee, High Powered Advisory Committee or Panel of Whole Time Members, as to, any order, opinion, finding of fact, or conclusion of law, etc.; (f) any plea of bias or pre-judgment by the Securities and Exchange Board of India, the officers or the High Powered Advisory Committee, based on the consideration of or discussions concerning settlement of all or any part of the internal proceedings; and (g) any ple....