Application for Grant of Certificate of Registration as Banker to the Issue

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.......................... Designation:.............................................................................................................................................................. Telephone No.:........................................................................................................................................................ 1. Applicants must submit a completed application form together with appropriate supporting documents to the Securities and Exchange Board of India. 2. It is important that this application form should be read in conjunction with rules and regulations and the code of conduct for the banker to an issue. 3. Applications for registration will only be considered provided all ....

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....sitions held.] 2.4 Number of employees 2.5 List of major shareholders (holding 5% or more voting shares) Name, Shareholding pattern i.e. No. of shares and its % to total capital) 3.0 Details of infrastructural facilities (To be used for specific activity) 3.1 Data processing capacity (a) Inhouse: (b) Others : 3.2 Computer facility : (a) Hardware configuration (b) Software used 3.3 Communication and manpower facilities available at controlling branch/head office and at various branches 4.0 Financial Information           4.1 Capital Structure (Rs. in lakhs)   Year prior to the Preceding year of Current year Preceding....

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....ankers as to the issue (period to be indicated) (Services provided during last year) 7.2 List of clients (Corporate clients only) (For specific activity) Name Services rendered Declaration THIS DECLARATION MUST BE SIGNED BY TWO AUTHORISED OFFICIALS OF THE APPLICANT We hereby apply for registration. We warrant that we have truthfully and fully answered the questions above and provided all the information which might reasonably be considered relevant for the purposes of our registration. We hereby declare that the information furnished is true and correct and neither the applicant nor any of its Directors and key-executive personnel have been involved in or convicted of economic offences during the last three years or ....

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....: Place : By Order For and on behalf of Securities and Exchange Board of India Authorised Signatory   ************** NOTES:- 1 The words "/Regulation 7A" were omitted 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 and figure "Regulation 3" were substituted for the words "Regulation 3/ Regulation 7A " by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2011, w.e.f. 05-07-2011. 2 Substituted the words and sign "Application for grant / renewal of certificate of registration as bankers to issue" by the Securities and Exchange ....