Application for grant of certificate of registration

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....ered, only if it is complete in all respects. 4. All answers must be typed. 5. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form. 6. All signatures on the application must be original. 7. Every page of the form as well as every additional sheet must be initialed by the authorised signatory of the applicant. 1.0 PARTICULARS OF THE APPLICANT 1.1 Name, address of the registered office, address for correspondence, telephone number(s), fax number(s) and name of the contact person of the company. Address of branch offices, if any. 1.2 Date of incorporation of the Applicant company (enclose certificate of incorporation and memorandum and articles of associa....

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.... experience, date of appointment in the company and functional areas. 4.0 INFRASTRUCTURE 4.1 Details of infrastructure including computing facilities, facilities for research and database available with the company and whether the existing infrastructure is adequate to carry on the rating activities proposed to be undertaken by the company. Any further plan for additional/ improved infrastructure to be indicated. 5.0 MAJOR SHAREHOLDERS 5.1 List of major shareholders (holding 5% and above of applicant directly or along with associates) Shareholding as on: Name of shareholder No. of Shares held % age of total paid up capital of the company 6.0 ASSOCIATE CONCERNS 6.1 Particulars of associate companies/concerns which shall include nam....

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....th (a)+(b)- (c)-(d) 8.2 Please enclose audited annual accounts for the last three years. Where unaudited reports are submitted, give reasons. If minimum networth requirement has been met after last audited annual accounts, audited statement of accounts of a later date also be submitted. 8.3 Name and Address of the Principal bankers of the Applicant company. 8.4 Name and address of the Auditors. 9.0 OTHER INFORMATION 9.1 Details of all pending litigations against the applicant company, directors and employees: Nature of dispute Name of the party Status 9.2 Indictment or involvement in any fraud or economic offences by the applicant or any of its Directors, or key managerial Personnel, in the last three years. 10.0 DECLARATION 10....

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....n Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to this, the words "Regulation 3(3)/Regulation 8A(3)" was substituted for "Regulation 3(3)" by the SEBI (Credit Rating Agencies) (Amendment) Regulations, 2011 w.e.f. 05.07.2011. 2 Substituted for the words "Application for Grant of Certificate of Initial/ Permanent Registration" by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to this, the words "Application for Grant of Certificate of Initial/ Permanent Registration" were substituted for "APPLICATION FOR GRANT OF CERTIFICATE / RENEWAL OF CERTIFICATE" by the SEBI (Credit Rating Agencies) (Am....