FORMS

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....ANT 1.1 Name of the Applicant: 1.2 Address - Principal place of business/registered office: Pin code: _____________________ Telephone No: ______________ Telex No: _____________________ Fax No: ___________________ 1.3 Address for Correspondence: Pin code: ______________________ Telephone No: _____________ Telex No: ______________________ Fax No: __________________ Address of Branch Offices (in India & Abroad): 1.4 Application to Board for any other intermediary activity: ___________ 2.0 ORGANISATION STRUCTURE (Organisation Chart separately showing functional responsibilities of portfolio management activities to be enclosed) 2.1 Objectives: In brief. (Memorandum and Articles of Association to be enclosed). 2.2 Date and Place of Incorporation/Establishment: Day                        Month                  Year                       Place 2.3 Stat....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....r Sources of Income: (Rs. in lakhs)   Year prior to the preceding year of current year Preceding year Current year * Fees charged as % of issue 5.4 Net Profit (Rs. in lakhs)   Year prior to the preceding year of current year Preceding year Current year 5.5 Name and Address of the Principal Bankers 5.6 Name and Address of the Auditors 6.0 OTHER INFORMATION 6.1 Details of all settled and pending disputes: Nature of dispute Name of the party Pending/settle 6.2 Indictment of involvement in any economic offences in the last three years. 6.3 Indicate dealing/ trading with any Intermediary who has defaulted with or suspended by any stock exchange authorities or any other authorities. 6.4 Any other information considered relevant to the nature of services rendered by the company. 6.5 Names of two references from bankers (For applicants other than financial institutions & banking companies) PART II SPECIFIC INFORMATION 7.0 BUSINESS INFORMATION 7.1 Indicate type of activity carried on/ proposed to be carried on. 7.2 Indicate the facilities for making decision on portfolio investment. 7.3 ^5[* * *] ....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....________________________            __________________________        Name in Block Letters                                             Name in Block Letters Place:                                                                                    Place: Date:                                        &....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....nbsp;                                                                                                       Signature of the Principal Officer Place:                                                                                          &nb....