TaxTMI 
TaxTMI 
Forms
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........................................ Instruction for filling up form:- 1. Applicants must submit a completed application form together with appropriate supporting documents to the Board. 2. It is important that this application form should be filled in accordance with the regulations. 3. An application which is not complete is liable to be rejected. 4. Answers must be typed and legible. 5. Information which needs to be supplied in more details may be given on separate sheets which should be attached to the application form. 6. The application must be signed by the competent person having authority to do so and all signatures must be in original. APPLICATION BY SPONSOR OF THE MUTUAL....
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....3. Names and addresses of the bankers of the sponsor 14. Names and addresses of the auditors of the sponsor 15. Court cases/litigations in which the sponsor may have been involved in the last three years 16. An application for registration of mutual fund shall be accompanied by a copy each of (A) Draft trust deed; (B) Draft investment management agreement; and (C) Draft custodian agreement CONDENSED FINANCIAL INFORMATION (A) Income statement Years (Rs.) 1 2 3 4 5 Income: Dividend Trading Management Fee Other income &nbs....
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........... as a Mutual Fund. II. Registration Code for the Mutual Fund is MF/ / /. Date.................... By order Sd/- For and on behalf of the Securities and Exchange Board of India FORM C Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 [Regulation 16(1)(d)] Trusteeship of the mutual fund (1) If the trusteeship of the mutual fund is with a ^2[trustee company], then please furnish the following particulars (a) the draft articles and Memorandum of Association for approval (b) Objects of the ^2[trustee company] (c) Board of Directors of the trustee company with age, experience and qualification (d) Key personnel (e) Systems and procedures, re....
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....including payment of fees and distribution of income and gains and accounting. (e) Policies for disclosures of scheme objectives and investment objectives in offer documents and advertisements and annual and half-yearly reporting requirements to the investors of various schemes of the fund. (f) Right of the trustees to obtain necessary information from asset management company besides obtaining a quarterly report from the asset management company. (g) Right to make spot checks on the asset management company regarding pricing of units and payment into and out of the fund and proper accounting of the income of the fund and charging of expenses as permitted, distribution as permitted. (h) Public availabilit....
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....ss Telephone Nos. Telex Nos. Fax Nos. 3. Name of the contact person 4. Date and place of incorporation of the asset management company (enclose a copy of certificate of incorporation) 5. Objects of the asset management company (enclose copy of the Memorandum and Articles of Association) Main objects Ancillary objects (the Memorandum and Articles of Association would need the approval of SEBI and necessary amendments shall have to be incorporated in the existing Memorandum and Articles of Association) 6. Capital structure and shareholding pattern (as of the latest date) Net worth of the company (as of the lat....
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.... Other income Total _______________________ Expenses: Director's remuneration Trusteeship fees Custodian fees Registrar's fees Other expenses Total ________________________ Gross Profit Depreciation Net Profit before tax Tax Profit after tax Dividends Retained earnings (B) Assets and liabilities Years (Rs.) 1 2 3 4 5 Assets: Fixed Assets Gross Depreciation Net value Current assets Investments* _______________________ Others (please specify) ....