TaxTMI 
TaxTMI 
Application for grant of certificate of registration
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....ormation that is required to be provided in more detail may be given on separate sheets which should be attached to the application form. 6. All signatures shall be original. PART: I GENERAL INFORMATION 1.0 PARTICULARS OF THE APPLICANT 1.1 Name of the Applicant (Name of Manager of Alternative Investment Fund in case applicant is offering Co-investment services only): 1.2 PAN No. (Attach Copy of PAN Card) 1.3 Address of Registered office: (Attach proof of address) Pin Code:_____________ Mobile No: _______________Telephone No:____________________ Fax No:__________________ Email:_____________________ 1.4 Address for Correspondence: Pin Code:__________________ Mobile No: __________________Telephone No:_________________ Fax No: ___________________Email: _______________________ 1.5 Address - Principal place of business: (Where PMS activity shall be carried out) Pin Code:______________________ Mobile No: _______________________ Telephone No: ______________________ Fax No: __________________Email:_________________________ 1.6 If PMS activity is proposed to be carried out from any branch of....
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....e (Individual/ Corporate); Name; PAN (Copy of PAN Card); Address; Telephone No.; Mobile; Email] 2.8 Particulars of Compliance Officer [Name; PAN (Copy of PAN Card); Qualification, Date of Appointment; Address;] Experience: Company Name Designation Area of Work Nature of Work Experience (In yrs) (Separate sheet may be attached for information on work experience) 2.9 Particulars of Principal Officer [Name; PAN (Copy of PAN Card); Qualification, Date of Appointment; Address;] Certification Details: Certification Program Date of Test Result Percentage Certificate No. Validity From Validity Till Following documents to be provided: 1. Bio-Data detailing the relevant experience as per Regulation 7(2)(d) of the Securities and Exchange Board of India (Portfolio Managers ) Regulations, 2020. 2. Copy of Certifications. 3. Certificate stating that the Principal Officer has been appointed and is compliant with the requirements and is not otherwise disqu....
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....) Others (6) Computer facility: (a) Hardware configuration (b) Software Environment (7) Details of Disaster Recovery Set up / Business Continuity Plan 3.2 Branch Office (1) Office Space (2) Office Equipment (3) Furniture and Fixtures (4) Communication Facilities (5) Data Processing Capacity a. In-house: b. Others: (6) Computer facility: a. Hardware configuration b. Software Environment (7) Details of Disaster Recovery Set up / Business Continuity Plan 4.0 BUSINESS PLAN (FOR THREE YEARS) (1) History, Major events and present activities (2) Proposed business plan and means of achieving the same. (3) Projected Profitability (Next three years) (4) (Targets, modus operandi to achieve targets, Resultant Income) 5.0 FINANCIAL INFORMATION 5.1 Capital Structure (Rs. in Crore) Year prior to the preceding year of current year Preceding year Current Year (a) Paid-up capital (b) Free reserves (excluding revaluation reserves) ....
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.... if in past any such action was taken by the stock exchange PART II SPECIFIC INFORMATION 7.0 BUSINESS INFORMATION 7.1 Indicate type of activity carried on/ proposed to be carried on. 7.2 Indicate the facilities for making decision on portfolio investment. 7.3 Details of risk profiling procedure to be followed by the Portfolio Manager. 7.4 Details of grievance redressal and dispute resolution mechanism to be followed by the Portfolio Manager. 7.5 Provide list of approved share brokers through whom orders shall be placed, involved for Portfolio Management activities and state whether any of them were suspended/had defaulted with any Stock Exchange authority. 7.6 Describe Accounting system followed/to be followed for Portfolio Management Services. 7.7 Indicate various research and database facilities provided. 7.8 Details of activities proposed to be outsourced. 8.0 EXPERIENCE 8.1 Experience in financial services rendered: Details of Activity Area Period 9.0 ADDITIONAL INFORMATION 9.1. Copy of Draft Agreement with Client to be provided 9.....
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....sp; Director/Designated Partner __________________ ______________ Name in Block Letters Name in Block Letters Place: Place: Date: Date:] FORM B Securities and Exchange Board of India (Portfolio Managers) Regulations, 2020 [Regulation 10] 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 regulations made thereunder for portfolio managers, the Board hereby grants a certificate of registration to___________________as a portfolio manager subject to the conditions specified in the Act and in the regulations made thereunder. II. Registration Number for the portfo....
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....e Officer / Principal Officer only) Designation of Contact Person: ___________________________ Mobile No: ___________________________ Email: ___________________________ Instructions: 1. Applicants shall submit a completed application form together with appropriate supporting documents to the Board. 2. It is important that this application form should be filled in accordance with the regulations. 3. Application for registration shall be considered provided it is complete in all respects. 4. Answers shall be typewritten. 5. Information that is requir....
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.... Particulars of Key Management Personnel [Name; Address; Qualification; Designation; Date of Appointment; PAN no. (Certified PAN Copy); Telephone No.; Mobile; Email] Experience: Entity Name Designation Area of Work Nature of Work Experience (In yrs) (Separate sheet may be attached for information on work experience) Other directorship details: Name of the Entity Date of Appointment No. of Shares Percentage of Shareholding Following documents to be provided: (1) Declaration that the personnel mentioned above is currently employed with the organization. (2) Undertaking by the personnel concerned that the details provided regarding them are true to the best of their knowledge and belief. (3) Supporting documents for work experience 2.7 Particulars of Promoters: [Type (Individual/ Corporate); Name; PAN (Copy of PAN Card); Address; Telephone No.; Mobile; Email] 2.8 Particulars of Compliance Officer [Name; PAN (Copy of PAN Card); Qualification, Date of Appointment; Address;] Experi....
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....ding 5% or more voting rights): [Name; Type; Address; Telephone No.; Mobile; Email; Share holding pattern/ partnership interest/ voting rights as on Date] * DETAILS OF INFRASTRUCTURAL FACILITIES 3.1 Principal Place of Business (1) Office Space (2) Office Equipment (3) Furniture and Fixtures (4) Communication Facilities (5) Data Processing Capacity • In-house • Others (6) Computer facility: • Hardware configuration • Software Environment (7) Details of Disaster Recovery Set up / Business Continuity Plan 3.2 Branch Office (1) Office Space (2) Office Equipment (3) Furniture and Fixtures (4) Communication Facilities (5) Data Processing Capacity • In-house: • Others: (6) Computer facility: • Hardware configuration • Software Environment (7) Details of Disaster Recovery Set up / Business Continuity Plan 4.0 BUSINESS PLAN (FOR THREE YEARS) (1) History, Major events and present activities (2) Proposed business plan and means of achieving the same. (3) Projected Profitability (Next three years) (4) (Targets, modus operan....
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....hanges? b. Broker Registration Number c. Details regarding payment of fees to SEBI d. Whether the member is facing any charges/ disciplinary action or if in past any such action was taken by the stock exchange PART II SPECIFIC INFORMATION 7.0 BUSINESS INFORMATION 7.1 Indicate type of activity carried on/ proposed to be carried on. 7.2 Indicate the facilities for making decision on portfolio investment. 7.3 Details of risk profiling procedure to be followed by the Portfolio Manager. 7.4 Details of grievance redressal and dispute resolution mechanism to be followed by the Portfolio Manager. 7.5 Provide list of approved share brokers through whom orders shall be placed, involved for Portfolio Management activities and state whether any of them were suspended/had defaulted with any Stock Exchange authority. 7.6 Describe Accounting system followed/to be followed for Portfolio Management Services. 7.7 Indicate various research and database facilities provided. 7.8 Details of activities proposed to be outsourced. 8.0 EXPERIENCE 8.1 Experience in financial services rendered: Details of Activity Area Period ....