TaxTMI 
TaxTMI 
Application for grant of certificate of registration as depository
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....he application must be signed and all signatures must be original. viii. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations and by the draft bye-laws. ix. Every page of the form and every additional sheet must be initialed by the authorised signatory of the applicant. x. All copies of documents should be ^1[self-attested]. Items 1-6 pertain to an applicant 1. Name, address of the registered office, address for correspondence, telephone number(s), fax number(s), telex number(s) and the name of the contact person of the applicant. 2. Please indicate the name of the depository which is proposed to be established by the applicant. 3. Please indicate the names of other depositories, if any, which have been sponsored by the applicant, or in which the applicant is acting as participant. 4. Please indicate the category to which the applicant belongs as per regulation 6 read with sub-regulation (1) and (2) of regulation 21. 5. Please provide the following details of each applicant: (a) Date of incorporation or establishment, and the statute, if any, under which established (enclose certificat....
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....of the depository. (c) Proposed net worth of the depository. (d) Details of proposed shareholding of each applicant. 9. The following details may be given for each director of the depository, and for its principal officer. (a) Name, age, nationality. (b) Details of educational and other qualifications. (c) Details of experience. (d) Details of other directorships held. (e) Details of any litigation connected with the securities market which has an adverse bearing on the business of the depository, involving the director or principal officer, and details of any conviction of the director or principal officer for a crime involving moral turpitude or of any economic offence for which the director or principal officer has been found guilty. 10. Please indicate the details of staff and organisation structure that is proposed to be set- up prior to commencement of business. 11. Details of infrastructure such as premises and automatic data processing, storage and back up systems and procedures, communication systems that are proposed to be set-up prior to commencement of business. 12. Internal evaluation and monito....
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.... grant of certificate of commencement of business as depository Securities and Exchange Board of India, C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (East) Mumbai 400051 - India INSTRUCTIONS i. This form is meant for use by a depository granted a certificate of registration by the Securities and Exchange Board of India. ii. The applicant should complete this form, and submit it, along with all supporting documents to the Board at its head office at Mumbai. iii. This application form should be filled in accordance with the regulations. iv. Application for grant of certificate of commencement of business will be considered provided it is complete in all respects. v. All answers must be typed. vi. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form. vii. The application must be signed and all signatures must be original. viii. Every page of the form and every additional sheet must be initialled by the authorised signatory of the applicant. ix. All copies of documents should be ^2[self-attested]. 1. Name and registration number of the applicant. 2. Date of grant....
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....instructions/directives as may be issued by the Securities and Exchange Board of India from time to time. For and on behalf of............................................................................................................................................ (Name of the applicant) Authorised signatory.......................... ............................... (Name) (Signature) Date: Place: FORM D Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018 [See regulation 16] Certificate of commencement of business as depository In exercise of the powers conferred by section 3 of the Depositories Act, 1996 (22 of 1996) read with the regulations, the Board hereby grants a certificate of commencement of business to..............................................................as a depository subject to the conditions specified in the Act, the Depositories Act and the regulations made thereunder. Date: Place : Mumbai By order Sd/- For and on behalf of the Securities and Exchange Board of India FORM E Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018....
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.... Participants) Regulations, 2018, and such other guidelines/instructions which may be announced by the Securities and Exchange Board of India from time to time. For and on behalf of............................................. (Name of the applicant) Authorised signatory.................. .......................... (Name) (Signature) Date: Place: FORM F Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018 [Regulation 32] Application for Grant of Certificate of Registration as Participant Securities and Exchange Board of India, C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (East) Mumbai 400051 - India INSTRUCTIONS i. This form is meant for use by an applicant for grant of registration as participant. ii. The form should be filled in by the applicant and submitted to the depository in which it is acting as participant, who shall forward it, along with all supporting documents to the Board at its head office at Mumbai. iii. This application form should be filled in accordance with the regulations. iv. Application for grant of registration, as the case may be, will be considered provi....
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....een convicted for any moral turpitude or at any time has been found guilty of any economic offence. 6. Please also state 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 or holding company or affiliate may have been subject to economic, or criminal liability, or suspended from carrying out its operations, or the registration revoked temporarily. 7. Please indicate the net worth and paid-up capital in rupees crore as per the latest audited financial statements of the applicant. 8. Please indicate services that the applicant is already providing to beneficial owners on whose behalf the applicant proposes to act as participant, and services proposed to be provided to beneficial owners. 9. Please provide the following details regarding staff involved in activities as participant: (i) organisation structure; (ii) experience and background of key personnel. 10. Please provide the following details regarding safekeeping and security systems and procedures: (i) risk control and operations manuals; (ii) give details....