Application for Registration as Registrars to issue or Share Transfer Agents or Both

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....____________________ CATEGORY FOR WHICH CERTIFICATE APPLIED FOR UNDER REGULATION 3 (AS APPLICABLE) ___________________________________________________________ INSTRUCTION: 1. APPLICANT MUST SUBMIT A COMPLETED APPLICATION FORM TOGETHER WITH SUPPORTING DOCUMENTS TO THE SECURITIES AND EXCHANGE BOARD OF INDIA. 2. ALL COLUMNS OF THE APPLICATION SHOULD BE FILLED IN. IN CASE A COLUMN IS NOT RELEVANT OR NOT APPLICABLE, THIS SHOULD BE SPECIFIED. 3. INFORMATION WHICH NEEDS TO BE SUPPLIED IN MORE DETAILS MAY BE WRITTEN ON SEPARATE SHEETS WHICH SHOULD BE ATTACHED TO THE APPLICATION FORM. 4. ORIGINAL COPY OF FORM DULY SIGNED SHOULD BE SUBMITTED. PART - I GENERAL INFORMATION 1. APPLICANTS DETAILS 1.1 Name of the Applicant _____________________....

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....roprietors / Partners / Mangers / Officers / Directors:- [Name, Qualification, Experience, Date of Appointment, Other directorship (Name & Date of Appointment), Previous positions held.] 2.6 Number of employees (General and for specific Intermediaries activity) 2.7 Name and activities of associate companies / concerns carrying out on activities of a registrar to issue or share transfer agent. Name Address/ Phone nos. Type of activity Status 2.8 In case the applicant is a body corporate, please give list of major shareholders (holding 5% or more voting rights) and percentage of their shareholdings. 3. DETAILS OF INFRASTRUCTURAL FACILITIES 3.1 Office Space (mention the extent of area available) 3.2 Office Equipment (mention the det....

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....In the case of body corporate, please enclose three years of audited annual accounts and where unaudited reports are submitted, give reasons. 5.6 Name and Address of Principal Bankers 5.7 Name and Address of the Auditors (Internal, External & Tax auditor, if any). (As applicable) 6 OTHER INFORMATION 6.1 Details of all pending disputes: Nature of dispute Name of the party Names & Places of Court / Tribunal where disputes are pending 6.2 Indictment of involvement in any offence relating to moral turpitude /economic offences in the last three years. 6.3 Any significant awards or recognition, collective grievances against the services rendered by the company. 6.4 Any other information considered relevant to the nature of services ren....

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....nd fully answered the questions above and provided all the information which might reasonably be considered relevant for the purposes of my/our grant of Certificate for registration and I/We will promptly notify the Board of any changes in the information during the period that my / our registration is being considered and if my/our registration is accepted, thereafter. I/We understand that misleading or attempting to mislead the Board shall render the applicant liable to disciplinary proceedings. I/We certify that the above information and information supplied in the application form is true, complete and correct. For and on behalf of -------------------------------------------- (Name of Applicant) PLACE Date FORM B SECURITIES AND....

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....plication for Initial/ Permanent Registration as Registrars to Issue or Share Transfer Agents or both" 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 Initial/ Permanent Registration as Registrars to Issue or Share Transfer Agents or both" were substituted for the words 'APPLICATION FOR REGISTRATION AS REGISTRARS TO ISSUE OR SHARE TRANSFER AGENTS OR BOTH', ibid.  3 Substituted for the word and number 'Regulation 8' by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 4 The words "/Regulation 8A" were omitted by the Securitie....