FORMS

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....s of the application should be filled in. In case a column is not relevant then 'Not applicable' 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 for registration. PART I GENERAL INFORMATION     1. Applicant's details :   1.1 Name of the Applicant :   1.2Address of the Applicant :   Pin Code: ................     Telephone No. : ...... :     Telex No. : .............. Fax No.: ............     1.3 Address of the applicant for correspondence :....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....loyees : :   2.7 Name and activities of associate companies/concerns :   Name, Address/Phone number/Type of activity/Ownership details/Nature and Quantum of Financial Trading. :   2.8 In case the applicant is a body corporate, please give list of major shareholders (holding 5% or more voting rights) :   3. Details of infrastructural facilities :   3.1 Office space (mention the extent of area and ownership details available) :   3.2 Office equipment (mention the details of electronic office equipment, typewriters, telecommunication equipment, furniture and fixtures, other communication facilities, etc.) :   4. Business plan (for three years) ....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....nal, external and tax auditor, if any, as applicable) :   6. Other information : :   6.1 Indicate involvement in any offence relating to moral turpitude/economic offences in the last three years :   6.2 Any other information considered relevant to the nature of services rendered by the company :   PART II 7. Business information : :   7.1 Indicate marketing capability for capital issues: :   7.2 Indicate how decision on underwriting is usually taken : :   7.3 Indicate various research and database facilities available : :   7.4 Enclose a copy of typical contract entered into with the issuer for underwriting activity : &nb....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....on form is true, complete and correct. For and on behalf of ............................................................                                                ........................................................ (Name of the Applicant)                                           &nbsp....

X X   X X   Extracts   X X   X X

Full Text of the Document

X X   X X   Extracts   X X   X X

....sp;            Date : FORM B Securities and Exchange Board of India (Underwriters) Regulations, 1993 ^3[Regulation 8 ^4[***]] ^5[Certificate of Registration] I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the rules and regulations made thereunder for the underwriters, the Board hereby grant a certificate of registration to..................................as an underwriter subject to the conditions in the rules and in accordance with the regulations. II. Registration Code for the underwriter is................... ^6[III. This certificate of registration shall be valid unless ....