FORMAT FOR HALF YEARLY REPORT TO BE SUBMITTED BY MERCHANT BANKERS

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.... 3. Name of the Compliance Officer. 4. Addition / deletion / change in address etc. of branch offices from last submitted report. 5. Change, if any, in constitution of the organisation (private limited, public limited, partnership, merges, acquisition etc.) 6. Change, if any, in directorship details since the last report. Name Induction/retirement/resignation Reasons Effecti....

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....es Activity When commenced/ discontinued Object of the new activities/reasons for discontinuation.       10. Details of all pending litigations involving the merchant banker. 11. Issue management activities (Attach separate sheet if required): Name of issuer Companies Type of issue  (public/rights/composite) Instrument Offer Amount (Rs. In La....

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....nt devolved (Rs. In lakhs) Devolvement met yes/no If not met, the reasons thereof & how dispute was settled Penalty/ warning if any issued by SEBI                                 14. Redressal of Investor Grievances 14.1 System of redressal of investor grie....

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....  v) Misc. exp. not written off     vi) Others     TOTAL     (Please enclose the copy of latest audited financial results alongwith schedules) 16. Changes, if any in major share holding (more than 5%) Name of the shareholder Investment/ disinvestment Percentage of total paid-up capital       17.....