Schedule - 01 - Application for Grant of Certificate of Registration as Alternative Investment Fund - Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012

FIRST SCHEDULE-FORM FORM A Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012 See regulation 3 Application for Grant of Certificate of Registration as Alternative Investment Fund Securities and Exchange Board of India SEBI Bhavan, C4-A, G Block, Bandra Kurla Complex, Mumbai 400051 - India INSTRUCTIONS 1. This form is meant for use by the applicant for grant of certificate of registration as an Alternative Investment Fund. 2. The applicant should complete this form, and submit it, along with all supporting documents to the Board at its head office at Mumbai. 3. This application form should be filled in accordance with these regulations. 4. The application shall be considered by the Board provided it is complete in all respects. 5. All answers must be legible and all the pages must be numbered with signature/ stamp on each page of the form. 6. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form and appropriately numbered. 7. The application must be signed and all signatures must be original. 8. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations. 1. GENERAL INFORMATION (a) Name, address of the registered office, address for correspondence and principal place of business, telephone number(s), fax number(s), e-mail address of the applicant. (b) Name, direct line number, mobile number and e-mail of the contact person(s). (c) Legal structure of applicant - Whether the applicant is a company or trust or limited liability partnership or a body corporate. (d) Date and place of incorporation/ establishment. 3 [ (e) Category under which the application is made 1. Category I Alternative Investment Fund-Venture Capital Fund 2. Category I Alternative Investment Fund-Social 4 [ Impact ] Fund 3. Category I Alternative Investment Fund-SME Fund 4. Category I Alternative Investment Fund-Infrastructure Fund 5. Category I Alternative Investment Fund - Special Situation Fund 6. Category I Alternative Investment Fund-Other 7. Category II Alternative Investment Fund 8. Category III Alternative Investment Fund ] 5 [ 9. Specified Alternative Investment Fund as provided under Regulation 19 of these regulations: Corporate Debt Market Development Fund ] (f) In case the applicant proposes to register as a Category III Alternative Investment Fund, whether the fund shall be open ended or close ended. (g) Whether the applicant or its associates or its sponsor(s) or its manager(s) is/ are registered with the Board, Reserve Bank of India or any other regulatory authority in any capacity along with the details of its registration. (h) Details of infrastructure for conducting activities as an Alternative Investment Fund (i) Copy of the draft placement memorandum. 2. DETAILS OF APPLICANT I. In case applicant is a Trust: 1. Write-up on the activities of the applicant 2. Whether the Trust Deed is registered under the provisions of the Registration Act, 1908. (Enclose relevant extract of the Registered Trust Deed) 3. Whether the Trust Deed permits the carrying on of the activity of an Alternative Investment Fund 4. Whether the applicant is prohibited by its trust deed from making an invitation to the public to subscribe to its units; 5. Provide details of Trustees/ Trustee Company as below: a. Whether Trustee is an individual or a Trustee company. b. Name, registered office address, telephone number(s) and fax number(s) of the Trustees/ Trustee Company. c. Name, direct line number, mobile number and e-mail of the contact person(s). d. Identity and Address proof of Trustees/ Directors of the Trustee Company e. Whether the Trustee Company is registered with Board, Reserve Bank of India or any other regulatory authority in any capacity along with the details of its registration. f. Brief write up on the activities of the Trustee Company/ Profile of Trustees. II. In case applicant is a Company: 1. Write-up on the activities of the applicant 2. Shareholding pattern and profile of the directors (Enclose Identity proof and address proof of the directors) 3. Whether the Memorandum of Association permits carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the Memorandum of Association) 4. Whether the applicant is prohibited by its memorandum and articles of association from making an invitation to the public to subscribe to its securities; III. In case applicant is a limited liability partnership: 1. Write-up on the activities of the applicant 2. Beneficial ownership pattern and profile of the partners (Enclose Identity proof and address proof of the partners) 3. Whether the partnership deed is 1 [duly filed] under the provisions of the Limited Liability Partnership Act, 2008 and permits carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the Partnership Deed) 4. Whether the applicant is prohibited by its partnership deed from making an invitation to the public to subscribe to its securities; IV. In case applicant is a Body Corporate 1. Write-up on the activities of the applicant 2. Shareholding pattern and profile of the directors (Enclose Identity proof and address proof of the directors) 3. Whether the applicant is set up or established under the laws of the Central or State Legislature 4. Whether the applicant is permitted carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the relevant Statute/Act) 5. Whether the applicant is prohibited by its memorandum and articles of association from making an invitation to the public to subscribe to its securities; 3. DETAILS OF SPONSOR(S) (Sponsor shall be as defined in 2 [clause (w) of sub-regulation (1) of regulation 2]), (a) Name, address of registered office, address for correspondence and principal place of business, telephone number(s), fax number(s), e-mail address of the sponsor. (b) Name, direct line number, mobile number and e-mail of the contact person(s). (c) Legal status of the sponsor (whether sponsor(s) is/are individual/company/limited liability partnership/body corporate) and date and place of incorporation/ establishment, wherever applicable. (d) In case of Sponsor being individual(s), provide a brief profile of the Sponsor including professional qualification. In case of Sponsor(s) being other than individual, write up on shareholding pattern/ Partnership interests and profile of the directors/partners including their professional qualification. (e) Identity proof and address proof of the Sponsor (if sponsor is an individual)/ directors of Sponsor(is sponsor is a company)/ partners of the Sponsor (if sponsor is an limited liability partnership). (f) Whether the Sponsor or its director(s)/ partner(s) is/are registered with the Board. (g) Details of past experience of the Sponsor(s) in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling and dealing of securities or other financial assets. (h) Copies of the financial statements for the previous financial year (i) Whether, the Sponsor has floated any Alternative Investment Funds/ Venture Capital Funds previously, which are registered with the Board. If yes, details of the same. 4. DETAILS OF MANAGER (a) Name, address of the registered office address for correspondence, telephone number(s), fax number(s), of the Manager(s). (b) Name, direct line number, mobile number and e-mail of the contact person(s). (c) Legal status of the Manager (whether Manager(s) is/are individual/company/limited liability partnership/body corporate) and date and place of incorporation/ establishment, wherever applicable. (d) Write up on the activities of the Manager including past experience in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling dealing of securities or other financial assets. (e) Identity proof and address proof of the Manager (if manager is an individual)/ directors of Manager (if manager is a company)/ partners of the Manager (if manager is an limited liability partnership). (f) In case of Manager being a company or limited liability partnership, shareholding pattern /Partnership interests and profile of the directors /Partners (g) Brief profile of Key Investment Team including experience and professional qualification (h) Copies of the financial statements for the previous financial year (i) Whether, the Manager has managed/advised any Alternative Investment Funds/ Venture Capital Funds previously, which are registered with the Board. If yes, details of the same. 5. DETAILS OF BUSINESS PLAN AND INVESTMENT STRATEGY (a) Investment objective and investment style/ strategy of the fund. (b) The target investors (c) The target industries/ sectors, if any (d) Proposed corpus (e) Proposed fees to the Sponsor and Manager (f) Tenure of the fund or scheme (g) Details of proposed use of leverage in case of Category III Alternative Investment Fund 6. DETAILS OF REGULATORY ACTION TAKEN IN THE PAST, IF ANY (a) Whether the applicant or Sponsor or its directors/ partners or Manager or its Directors/ Partners or Trustees/ Trustee Company or its directors are/ were involved in any litigation connected with the securities market and any order has/ had been passed against them for violation of securities laws. (If Yes, provide details. If No, enclose a declaration to that effect). (b) Whether the applicant/ Sponsor/ Trustee/ Manager or its directors or Partners or employees are / have been involved in any litigation connected with the securities market which may have an adverse bearing on the business of the applicant or any order has/ had been passed against them for violation of securities laws. (If Yes, provide details. If No, enclose a declaration to that effect). (c) Whether applicant/ Sponsor/ Trustee/ Manager or its directors or Partners has/ have been refused a certificate by the Board or its/ their certificate has been suspended at any time prior to this application. (If Yes, provide details. If No, enclose a declaration to that effect). 7. OTHER INFORMATION/DECLARATIONS (a) Amount contributed/ proposed to be contributed by the Sponsor(s)/Manager(s) as per clause (d) of regulation 10 along with details of the same. (Provide copies of commitment letters from the sponsor(s)/manager(s)). (b) Whether the applicant, Sponsor and Manager are fit and proper persons based on the criteria specified in the Securities and Exchange Board of India (Intermediaries) Regulations, 2008; (Enclose a declaration to that effect). (c) Declaration that the applicant shall comply with the provisions of regulation 10 with respect to investment in the Alternative Investment Fund. (d) Declaration that the applicant shall comply with the provisions of regulation 15 and 16 with respect to general investment conditions and conditions for the applicable category. DECLARATION STATEMENT (TO BE GIVEN AS BELOW) We hereby agree and declare that the information supplied in the application, including the attachment sheets, is complete and true. AND we further agree that, we shall notify the Securities and Exchange Board of India immediately any change in the information provided in the application. We further agree that we shall comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012, and Government of India guidelines/instructions as may be announced by the Securities and Exchange Board of India from time to time. We further agree that as a condition of registration, we shall abide by such operational instructions/directives as may be issued by the Securities and Exchange Board of India from time to time. For and on behalf of____________________________________________________ (Name of the applicant) Authorized signatory (Signature) FORM B Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012 See regulation 6 Certificate of registration as Alternative Investment Fund I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), read with the regulations made thereunder, the Board hereby grants a certificate of registration to _______________________________________________________________as an Alternative Investment Fund subject to the conditions specified in the Act and in the regulations made thereunder. II. The Category of the Alternative Investment Fund shall be -__________________________________________. III. The Registration Number of the Alternative Investment Fund is IN/AIF/Category__/_____________. Date : Place : MUMBAI By Order Sd/- For and on behalf of Securities and Exchange Board of India *************** NOTES:- 1 Substituted by the SEBI (Alternative Investment Fund) (Amendment) Regulations, 2013, w.e.f 16-09-2013, for the words duly registered . 2 Substituted by the SEBI (Alternative Investment Fund) (Amendment) Regulations, 2013, w.e.f 16-09-2013, for the words, symbols and number sub-regulation (w) of regulation 2 3. Substituted vide Notification No. SEBI/LAD-NRO/GN/2022/68 dated 24-01-2022 before it was read as, (e) Category under which the application is made 1. Category I Alternative Investment Fund- Venture Capital Fund 2. Category I Alternative Investment Fund- Social Venture Fund 3. Category I Alternative Investment Fund- SME Fund 4. Category I Alternative Investment Fund- Infrastructure Fund 5. Category I Alternative Investment Fund- Other 6. Category II Alternative Investment Fund 7. Category III Alternative Investment Fund 4. Substituted vide F. No. SEBI/LAD-NRO/GN/2022/89 dated 25-07-2022 before it was read as, Venture 5. Inserted vide Notification No. SEBI/LAD-NRO/GN/2023/132 dated 15-06-2023