Application for grant of certificate of registration

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....tion which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form and appropriately numbered. 7. The application must be signed. 8. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations. 1. GENERAL INFORMATION (a) Name, address of the registered office, address for correspondence and principal place of business, telephone number(s), ^18[****] e-mail address of the applicant. (b) PAN of the applicant. (c) ^3[****] (d) Name, direct line number, mobile number ^19[and e-mail of the contact persons(s), compliance officer and principal officer]. (e) Date and place of incorporation/ establishment, if any. If the applicant is incorporated outside India, details of such incorporation. ^5[(ea) Indicate whether the application for the grant of certificate of registration is for part-time research analyst. (eb) Whether the applicant is engaged in any other business activity or employment? If so, details of such other business activity or employment.] (f) Whether the applicant is engaged in preparation of research reports or research an....

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....rd disclosures to be provided (d) Any other relevant information pertaining to research services provided ^23[4. DECLARATION OF NECESSARY INFRASTRUCTURE Declaration that the applicant has the necessary infrastructure to effectively discharge the activities of a research analyst.] 5. OTHER INFORMATION/DECLARATIONS/ REGULATORY ACTIONS (a) Details of all settled and pending disputes in the last 5 years. (b) Whether any previous application for grant of certificate made by any person directly or indirectly connected with the applicant has been rejected by the Board; If yes, provide details of the same. (c) Whether any disciplinary action has been taken by the Board or any other regulatory authority against any person directly or indirectly connected with the applicant under the Act or the regulations made there under in the last 5 years. If yes, provide details of the action. (d) Whether the applicant/directors/promoters/ partners have been indicted/involved in any economic offence in the last 5 years. If yes, provide details of the same. (e) Declaration that the applicant, research analyst' employed by it, its representatives and partners, if any, are fit an....

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.... sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), read with the regulations made there under, the Board hereby grants a certificate of registration to ___________________________________________________ as a research analyst subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number is IN/RA/_____________. III. ^4[This certificate of registration shall be valid till it is suspended or cancelled by the Board.] Date : Place : MUMBAI ^15[FORM C Securities and Exchange Board of India (Research Analysts) Regulations, 2014 [See regulation 9] Certificate of registration as Part-Time Research Analyst I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), read with the regulations made there under, the Board hereby grants a certificate of registration to _________________as a part-time research analyst subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the part-time research analyst is IN/RA/_____________....

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....ituted vide Notification No. SEBI/LAD-NRO/GN/2024/220 dated 16-12-2024 before it was read as,  "(e) Declaration by the applicant that the research analysts employed, partners of the applicant, if any, currently comply with the qualification requirements under regulation 7. (Provide self certified copies of supporting documents) (If the applicant is an existing research analyst applying for fresh registration, then he shall provide a declaration stating that the applicant shall comply with the certification requirements for research analysts employed under these regulations and partners of the applicant, if any, within two years from the date of commencement of these regulations and shall submit a copy of the certification to the Board within fifteen days of receipt of such certification.)" 9.  Substituted vide Notification No. SEBI/LAD-NRO/GN/2024/220 dated 16-12-2024 before it was read as,  "(f) Declaration by the applicant that it shall ensure that the research analyst employed and partners of the applicant, if any, comply with the certification and qualification requirements under the regulation 7 at a....