AI Drafter 
TaxTMI 
TaxTMI 
Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)]
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.... 1.8 Brief description of the group, if any, to which the applicant belongs: 1.9 Information pertaining to Compliance Officer: Name Job Title Telephone no Fax No E-mail id 2 Category of the applicant 2.1 If the applicant is a fund:  Pension Fund  University fund  Mutual Fund  Endowment  Investment Trust  Foundation  Bank  Charitable Trust  Charitable society  Insurance/Reinsurance Company  Foreign Central Bank  Foreign Governmental Agency  Sovereign Wealth Fund  International/Multilateral organization/agency  Broad Based Fund (only if it does not satisfy any other category) (Please state the corpus of the fund, Generic type and Number of investors in the fund along with their respective proportionate holdings in a separate annexure in the following format) Sr. No. Generic Type of Investors No. of Investors Percentage of Holding Total Corpus of the Fund ....
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....ing office in India, have ever been registered with Securities and Exchange Board of India  Yes  No If yes, then please provide details: Name of the entity Registered as SEBI Registration No. Period of registration From To (Please attach separate sheet, in the same format, if the space provided here is not sufficient) 9. Declaration and Undertaking We declare that: a. No winding up orders have been passed against the applicant. b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the applicant which has a bearing on the securities market has been passed by any authority in the preceding five years; d. any penalty imposed (including monetary penalty) by any regulatory authority has been undergone or paid. e. the information supplied in the application, including the attachment sheets, is complete and true. Undertakin....
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....incorporation/establishment: 1.3 Place and Country of Incorporation/ establishment: ________________________________________________________ Note: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Applications along with necessary documents should be submitted at *"SECURITIES AND EXCHANGE BOARD OF INDIA, Division of FIIs & Custodians, Mittal Court 'B' Wing, 1st Floor, Nariman Point, Mumbai-400021, INDIA." Place Country 1.4 Legal form of the applicant : 2. Category of the applicant 2.1 Please select the most appropriate category of the applicant:  Broad Based Fund  Broad Based Portfolio  Proprietary fund of the FII  University Fund  Foreign Corporate  Endowment  Foundation  Charitable Trust  Charitable Society  Sovereign Wealth Fund  Foreign Individual (Please furnish requisite information in 2.4) 2.2 In case of broad based fund / broad based Portfolio, please s....
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....an two billion US dollars; c) it has an average net profit of not less than fifty million US dollars during the three financial years preceding the date of the application, OR In case the sub-account applicant is a Foreign Individual: a) has a networth of not less than fifty million US dollars; b) holds the passport of a foreign country for a period of at least five years preceding the date of application; c) holds a certificate of good standing from a bank; d) is a client of the foreign institutional investor or any other entity which belongs to the same group as the foreign institutional investor, for a period of at least three years preceding the date of the application; 6. Undertaking A. Undertakings to be submitted by FII (i) In case the sub-account applicant is a broad based fund: "We undertake that the proprietary funds of _______________________ (name of FII) shall not be invested through ____________________ (name of the sub account applicant)." OR (ii) In case the sub-account applicant is a proprietary fund of the Foreign Institutional Investor: "We undertake that only the proprietary funds of _______________________ (name of FII)....
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....he regulations made thereunder the Board hereby grants a certificate of registration to _________________________________ as a Foreign Institutional Investor, subject to the conditions specified in the Act and in the regulations made thereunder. II. Registration Number for the Foreign Institutional Investor is IN/.../.../.../.... ^3[III. This certificate shall be valid till it is suspended or cancelled in accordance with the regulations.] Date: Place: Mumbai By Order For and on behalf of Securities and Exchange Board of India Authorised Signatory ----------------------- Notes: 1. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22-5-2008. Prior to substitution Form A read as under: "FORM A Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)] 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: dd/mm/yyyy 1.3 Legal form of the applicant and the law, under which it is incorporated, established or registered, if any: ....
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....No. 3.1 @: @ (for the applicants falling under item no. 2.2) 3.3 Registration Number/Code (if any): 3.4 Period of registration (if any): Perpetual Fixed Validity, if yes then give details: From: dd/mm/yyyy To: dd/mm/yyyy 3.5 Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent / holding company or affiliate may have been subjected to economic or criminal liability or suspended from carrying out its operations or the registration, has been revoked, temporarily or permanently. Yes No If yes, then please provide details: 4 Details of the domestic custodian and designated bank appointed 4.1 Details of the domestic custodian Name Address Postal Code Country UIN 4.2 Details of designated bank: Name Address Postal Code Country 5. Details of association with the Indian securiti....
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....us financial year, (period covered shall not be less than twelve months) (iii) Draft of US $ 5000 in favor of 'Securities and Exchange Board of India' payable in New York. 2. Applications along with necessary documents should be submitted at *"SECURITIES AND EXCHANGE BOARD OF INDIA, Division of FIIs & Custodians, Mittal Court 'B' Wing, 1^st Floor, Nariman point, Mumbai-400021." 3. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application." 2. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22- 5-2008. Prior to substitution Form AA read as under: "Form AA Application Form for Grant of Certificate of Registration as Sub-account (SA) [See regulation 12(1)] PART - I (For the applicants under category "broad-based fund" and "proprietary fund of the FII") 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: 1.3 Legal form of the applicant and the law under which it is incorporated, established or registered, if any: ....
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.... We hereby declare that the applicant has not incurred any of the disqualifications mentioned in regulation 3(2) of the SEBI (Criteria for Fit and Proper Person) Regulations, 2004. We further declare that: a. no winding up orders have been passed against the applicant b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the applicant which has a bearing on the securities market has been passed by any authority in the preceding five years; d. any penalty imposed (including monetary penalty) by any regulatory authority has been undergone or paid. B. Undertakings (i) In case the client / sub-account is a broad based fund: "We undertake that the proprietary funds of name of the FII (give name of the Foreign Institutional Investor) shall not be invested through _______ (give name of the applicant)." OR (ii) In case the client / sub-account is a proprietary fund of the Foreign Institutional Investor: "We undertake that only the proprietary funds of the name of the FII shall be inv....