TaxTMI 
TaxTMI 
Application for Grant of Certificate of Registration
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....gnature/ stamp on each page of the form. 6. Information 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), ^37[****] e-mail address of the applicant. (b) ^3[****]. (c) Name, direct line number, mobile number ^38[, e-mail of the contact person, compliance officer and principal officer.] (d) Legal structure of applicant - Whether the applicant is an individual ^5[or non-individual]. ^27[(da) Indicate whether the application for the grant of certificate of registration is for part-time investment adviser; (db) Whether the applicant is engaged in any other business activity or employment? If so, details of such other business activity or employment.] (e) Whether the applicant is a bank /NBFC. (f) Date an....
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....at it shall ensure that its ^13[principal officer and persons associated with investment advice] comply with the certification and qualification requirements under Regulation 7 at all times. 5. List of associated companies registered with SEBI, RBI, IRDA or PFRDA along with the registration number. 6. If applicant is a bank or NBFC, then copy of approval from RBI for undertaking investment advisory services. 7. ^43[****] ^14[8. Enclose identity proof and ^44[details of address] of the applicant, principal officer ^45[, compliance officer] and persons associated with investment advice.] III. In case applicant is a partnership firm or a limited liability partnership: 1. Names and Beneficial ownership pattern of the partners ^15[, principal officer and persons associated with investment advice] engaged/proposed to engage in investment advice (Enclose identity proof and ^46[details of address] of the partners ^15[, principal officer ^47[, compliance officer] and persons associated with investment advice]). ^16[2. Whether the aforesaid principal officer and persons associated with investment advice comply with certification and qualification requirem....
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.... 1. Provide a declaration that no consideration including any commission or referral fees whether embedded or indirect or otherwise by whatever name called shall be received directly or indirectly at Investment Adviser's group or family level for the said service, as the case maybe. 2. If the applicant is a non-individual, whether the applicant proposes to offer distribution services.] 6. 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 ^25[, principal officer and persons associated with investment advice] have been indicted/involved i....
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....f registration as investment adviser 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 an investment adviser subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the investment adviser is IN/IA/_____________. Date : Place : MUMBAI ^34[FORM C Securities and Exchange Board of India (Investment Adviser) Regulations, 2013 [See regulation 9] Certificate of registration as Part-Time Investment Adviser 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 investment adviser subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the part-time investmen....
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....h an experience of at least five years in activities relating to advice in financial products or securities or fund or asset or portfolio management. (Provide self certified copies of supporting documents)." 8. Omitted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "(If the applicant is an existing investment adviser applying for fresh registration, then provide a declaration stating that it shall obtain such certification within two years from the date of commencement of these regulations and submit a copy of the certification to the Board within 15 days of receipt of such certification.)" 9. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "3. Number of employees and agents of the applicant, if any, who shall render investment advice under these regulations on behalf of the applicant. Provide documents as mentioned in points (1) to (2) above for such employees/ agents." 10. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 11. Substituted vide Notification No. SEBI/LAD-NRO/GN/20....
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....commencement of these regulations and after all such partners obtain the certification, a declaration to that effect shall be submitted to SEBI.)" 18. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "partners" 19. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "net tangible assets" 20. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 21. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "employees and agents of the applicant (hereinafter referred to as 'representatives')" 22. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, "4. Declaration by the applicant that its representatives currently comply with the certification and qualification requirements under regulation 7. (If the applicant is an existing investment adviser applying for fresh registration, then provide a declaration stating that the applicant shall ensure that all its representatives obtain such certification ....
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.... "certificate by a chartered accountant, not more than six months old. Please note that membership number of the chartered accountant must be included in the certificate" 33. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/219 dated 16-12-2024 34. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/219 dated 16-12-2024 35. Inserted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f. 25-11-2025 36. Substituted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f. 25-11-2025 before it was read as, "at its head office at Mumbai" 37. Omitted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f. 25-11-2025 before it was read as, "fax number(s)," 38. Substituted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f. 25-11-2025 before it was read as, "and e-mail of the contact person(s) ^4[and principal officer]." 39. Substituted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f. 25-11-2025 before it was read as, "address proof" 40. Omitted vide F. No. SEBI/LAD-NRO/GN/2025/278 dated 25-11-2025 w.e.f.....