TaxTMI 
TaxTMI 
Application for Grant of Certificate of Registration
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....mbered. 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), fax number(s), e-mail address of the applicant. (b) 3[***]. (c) Name, direct line number, mobile number and e-mail of the contact person(s) 4[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 and place of incorporation/ establishment, if any. If the applicant is incorporated outside India, details of such incorporation. (g) Whether the applicant is engaged in investment advisory services prior to making application under these regulations. (h) Whether the applicant is r....
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....th the registration number. 6. If applicant is a bank or NBFC, then copy of approval from RBI for undertaking investment advisory services. 7. Net worth 30[details], 14[8. Enclose identity proof and address proof of the applicant, principal 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 address proof of the partners 15[, principal 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 requirements under regulation 7 and applicant has submitted a declaration with respect to the same. (Provide self-certified copies of supporting documents).] 17[3. Copy of certification obtained by the aforesaid principal officer and persons associated with investment advice in accordance with regulation 7(2).] 4. Declaration that the aforesaid 18[principal officer a....
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....l 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 in any economic offence in the last 5 years. If yes, provide details of the same. (e) A credit report/ score from CIBIL for the applicant.(For applicants other than financial institutions & banking companies) (f) Declaration that the applicant, its 26[directors, principal offic....
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...._______________________________________________________ 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 investment adviser is IN/IA/_____________. III. This certificate of registration shall be valid till it is suspended or cancelled by the Board Date: Place: MUMBAI] By Order Sd/- For and on behalf of Securities and Exchange Board of India *************** NOTES:- 1 Substituted for the words "See Regulations 3 an....
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....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/2020/22 dated 03-07-2020 before it was read as "employees and agents of the applicant (hereinafter referred to as 'representatives')" 12. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as "3. 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 ....
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.... 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 within two years from the date of commencement of these regulations and after all its representatives obtain the certification, a declaration to that effect shall be submitted to SEBI.)" 23. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as "representatives" 24. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as "5. EXECUTION SERVICES 1. If the applicant is a body corporate, whether the applicant proposes to offer distribution or execution services to its clients. 2. If yes, provide a declaration that the ....