Schedule - I - Application Form for seeking Registration - Securities and Exchange Board of India (Issue and Listing of Securitized Debt Instruments and Security Receipts) Regulations, 2008

SCHEDULE I 1 [Securities and Exchange Board of India (Issue and Listing of Securitised Debt Instruments and Security Receipts) Regulations, 2008] [See regulations 4(3) and 6(2)] FORMS FORM A APPLICATION FORM FOR SEEKING REGISTRATION Name of applicant....................... .. .. Contact person. ................................ .. .. Name of the Compliance officer............................................................... . Telephone No. : ...................................................Fax No. ..................................... e-mail. Website: .. Instruction for filling up form:- 1. Applicants must 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. Information which needs to be supplied in more details may be given on separate sheets which should be attached to the application form. 4. The application must be signed by the competent person having authority to do so and all signatures must be in original. DETAILS OF SPONSOR 1. Name of the sponsor- 2. Address of the registered office/correspondence address- Telephone Nos. Telex Nos. Fax Nos. E-mail address Website address 3. Name of the contact person- 4. Date and place of incorporation of the sponsor (Enclose a copy of certificate of incorporation) 5. Objects of the sponsor. (Enclose copy of the Memorandum and Articles of Association) Main objects- Ancillary objects- 6. Capital structure and shareholding pattern. 7. Present line of business activities- Number of years in that line 8. Condensed financial information. (Enclose balance sheets and profit and loss account for five years) 9. Accounting policies. (Furnish description of significant accounting policies) 10. Systems and procedures (Furnish description of systems and procedures in the company and essential internal controls in order to carry on the business of the company) 11. Names of the associate organisations/group companies/subsidiaries, etc. 12. Management of the sponsor Board of the company with names, experience, qualification, and profession of the Directors. Names of key personnel- Organisational structure- Board of Directors of associate organisations, companies and subsidiaries. 13. Names and addresses of the bankers of the sponsor. 14. Names and addresses of the auditors of the sponsor. 15. Court cases/litigations in which the sponsor may have been involved in the last three years. CONDENSED FINANCIAL INFORMATION (A) Income statement Years (Rs.) 1 2 3 4 5 Income: Dividend Trading Management Fee Other income Total ___________________ Expenses: Director s remuneration Trusteeship fees Custodian fees Registrar s fees Other expenses Total _____________________ Gross Profit Depreciation Net profit before tax Tax Profit after tax Dividends Retained earnings (B) Assets and liabilities Years (Rs.) 1 2 3 4 5 Assets: Fixed Assets Gross Depreciation Net value Current assets ______________________ Investments* Others (please specify) Cash and bank balances Less: Current liabilities and Provisions Net worth _______________________ Represented by: Issued and paid up capital Free reserves (excluding revaluation reserves) Total _______________________ *Provide full particulars of investments. FORM B Format of letter of registration In exercise of the powers conferred by section 17A of the Securities Contracts (Regulation) Act, 1956 read with regulation 6 of the Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008 made thereunder, the Board hereby grants registration to.................... as a trustee entitled to act as a trustee to a special purpose distinct entity offering securitised debt instruments to the public and / or seeking listing for such instruments on a recognised stock exchange. Date.................... By order Sd/- For and on behalf of the Securities and Exchange Board of India *************** NOTES:- 1. Substituted vide Notification No. SEBI/LAD-NRO/GN/2018/26 dated 26-06-2018 before it was read as, Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008