TaxTMI 
TaxTMI 
FORMS
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.... with the regulations. 3. Application for registration will be considered provided it is complete in all respects. 4. Answers must be typed/ printed. 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. All signatures must be original. PART: I GENERAL INFORMATION 1.0 PARTICULARS OF THE APPLICANT 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: _______....
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.... to its % to total capital) 3.0 DETAILS OF INFRASTRUCTURAL FACILITIES 3.1 Office Space 3.2 Office Equipment 3.3 Furniture & Fixtures 3.4 Communication Facilities 3.5 Data Processing Capacity (a) In-house: (b) Others: 3.6 Computer facility: (a) Hardware configuration (b) Software Environment 4.0 BUSINESS PLAN (FOR THREE YEARS) (a) History, Major events and present activities (b) Proposed business plan & means of achieving the same. (c) Projected Profitability (Next three years) (Physical targets, modus operandi to achieve targets, Resultant Income) 5.0 FINANCIAL INFORMATION 5.1 Capital Structure (Rs. in lakhs) Year prior to the preceding year of current year Preceding year Current year (a) Paid-up capital (b) Free res....
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....hare brokers, involved for Portfolio Management 6[* * *] activities and state whether any of them were suspended/had defaulted with any Stock Exchange authority.] 7.5 Describe Accounting system followed/to be followed for Portfolio Management Services 7[* * *]. 7.6 Indicate various research & database facilities provided. 8.0 EXPERIENCE 8.1 Experience in Portfolio management activities. Indicate period also. 8.2 Experience in other financial services rendered: (Period, Area and Date of Commencement of Activity). 8.3 Business handled during the last year: (a) Portfolio Management (DISCRETIONARY NATURE) For Resident/Non- Resident Individual Client Corporate Client 1. Types of services offered 2. No. of portfolio clients 3. Total....
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....d of India Act, 1992, read with the regulations made thereunder for the portfolio managers the Board hereby grants a certificate of registration to _____________ as a portfolio manager subject to the conditions in the rules and in accordance with the regulations. II. Registration Code for the portfolio manager is PM / / III. 13[This certificate of registration shall be valid till it is suspended or cancelled by the Board.] Place: Date: By Order For and on behalf of Securities and Exchange Board of India Authorised signatory 14[FORM C Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993 [Regulation 14] _______________________________________________________ (Name of the Portfolio Manager) (Address of th....
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....nt) Regulations, 2008, w.e.f. 11-08-2008. 4 Notes omitted by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008. Prior to their omission, notes read as under: "1. In case of partnership or proprietary concerns, please indicate capital minus drawings. 2. In case of partnership or proprietary concerns, please indicate the financial position, means and" 5 Omitted by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008. Prior to omission, clause 7.3 read as under: "7.3 Describe portfolio management schemes floated during last years/ proposed to float during next year. (Enclose a copy of typical contract entered with the client for Portfolio Management Services)" 6 The word "scheme" omitted by ....