Schedule - 01 - Application for the grant of registration as collective - Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999

FIRST SCHEDULE FORMS FORM A SECURITIES AND EXCHANGE BOARD OF INDIA (COLLECTIVE INVESTMENT SCHEME) REGULATIONS, 1999 [Regulations 4, 5(2)] APPLICATION FOR THE GRANT OF REGISTRATION AS COLLECTIVE INVESTMENT MANAGEMENT COMPANY 1. NAME OF THE APPLICANT : 2. CONTACT PERSON : 3. NAME OF THE COMPLIANCE OFFICER : TELEPHONE NO. : FAX NO. : 4. ADDRESS OF THE REGISTERED OFFICE OF THE APPLICANT : PIN CODE : TELEPHONE NO. : FAX NO. : 5. ADDRESS OF THE APPLICANT FOR CORRESPONDENCE : PIN CODE : TELEPHONE NO. : FAX NO. : 6. ADDRESS OF BRANCH OFFICES (IN INDIA ABROAD) OF THE APPLICANT, IF ANY : (A) (B) (C) 7. WHETHER ANY OTHER APPLICATION UNDER SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992 HAS BEEN MADE FOR GRANT OF CERTIFICATE, IF SO, DETAILS THEREFOR : 8. DATE AND PLACE OF INCORPORATION OF THE COLLECTIVE INVESTMENT MANAGEMENT COMPANY : (Enclose a copy of certificate of incorporation) 9. OBJECTS OF THE COLLECTIVE INVESTMENT MANAGEMENT COMPANY : (Enclose copy of the Memorandum and Articles of Association) 10. MAIN OBJECTS : 11. ANCILLARY OBJECTS : (the Memorandum and Articles of Association should have necessary clause in respect of collective investment scheme and amendments, if any, shall have to be incorporated in the existing Memorandum and Articles of Association) 12. CAPITAL STRUCTURE AND SHAREHOLDING PATTERN : (give list of major shareholders holding 5% or more voting rights and percentage of their share holdings, as of the latest date) 13. NET WORTH OF THE COMPANY : (as of the latest date) 14. PRESENT LINE(S) OF BUSINESS ACTIVITIES: (History, major achievements and present activity) 15. FINANCIAL INFORMATION : (Enclose Balance Sheet and Profit and Loss account for the immediately preceding 3 years) 16. ACCOUNTING POLICIES: (Furnish description of significant accounting policies) 17. NAMES AND ACTIVITIES OF ASSOCIATE COMPANIES/CONCERNS CARRYING ON ACTIVITIES RELATED TO THE SECURITIES MARKET AND GRANTED REGISTRATION BY SEBI : 18. MANAGEMENT OF THE COLLECTIVE INVESTMENT MANAGEMENT COMPANY: 19. BOARD OF DIRECTORS : (Indicate name, qualifications, background, experience, whether directorship is on whole-time/part-time basis, other directorships, of the Directors. Whether any of the Directors is in full employment elsewhere; give details thereof. If any of the Directors is a member of a professional body i.e., the ICAI or ICSI, to furnish permission of the professional body for acting as director of the applicant ) 20. KEY MANAGEMENT PERSONNEL : (Furnish the names, qualifications, experience of the key management personnel indicating their experience. Also, submit proof of acceptance of appointment letter, latest salary slips) 21. OTHER EMPLOYEES : (Furnish the names, qualifications, experience of the other employees) 22. DETAILS OF INFRASTRUCTURAL FACILITIES : 23. OFFICE SPACE : (Mention extent of area available at the place where the main activity would be carried out; detail of office space available at all the locations; certified copies of relevant sale deed/lease deed/rental agreement etc. in respect of each of the premises to be enclosed.) 24. OFFICE EQUIPMENT : (mention the details of electronic office equipment, computers, fax, telephones etc; submit proof of purchase of the above equipments.) 25. INVOLVEMENT IN CASES : (a) Court cases/litigations in which the applicant may have been involved in the last 3 years. (b) Involvement in any offence relating to moral turpitude/economic offences of the directors, employees of the applicant in the last 3 years. 26. AUDITORS 27. OTHER INFORMATION : Any other information considered relevant to the nature of services rendered by the applicant. Names and addresses of the auditors of the applicant : 28. DOCUMENTS : Submit copies of : (a) Draft Trust Deed; and (b) Draft Investment Management Agreement INSTRUCTION FOR FILLING UP THE FORM :- (a) Applicants must submit a completed application form together with appropriate supporting documents to the Board. (b) It is important that this application form should be filled in accordance with the regulations. (c) An application which is not complete is liable to be rejected. (d) Answers must be typed and legible. (e) Information which needs to be supplied in more details may be given on separate sheets which should be attached to the application form. (f) The application must be signed by the competent person having authority to do so and all signatures must be in original. FORM B SECURITIES AND EXCHANGE BOARD OF INDIA (COLLECTIVE INVESTMENT SCHEME) REGULATIONS, 1999 [Regulation 10] CERTIFICATE OF REGISTRATION In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), read with the Securities and Exchange Board of India (Collective Investment Scheme) Regulations, 1999 made thereunder the Board hereby grants a certificate of registration to .................................................................. as an Collective Investment Management Company. Registration Code for the Collective Investment Management Company is CIMC/CIS/ / / Date By order Sd/- For and on behalf Securities and Exchange Board of India FORM C SECURITIES AND EXCHANGE BOARD OF INDIA (COLLECTIVE INVESTMENT SCHEME) REGULATIONS, 1999 [Regulation 18(2)] TRUSTEESHIP OF THE COLLECTION INVESTMENT SCHEME (1) Furnish the following particulars : (a) Name of the Institution (b) Address/telephone/telex/fax Nos. (c) Name of the contact person (d) SEBI Registration No.: (e) Management of the trustee Board of Directors Key Personnel Other Employees (f) Details of Infrastructure facilities Office Space Office Equipment (g) Court cases/litigations in which the trustee may have been involved in the last three years and whether the case is pending or has been adjudicated. (h) Any penalty imposed by SEBI or by other regulatory bodies during the last three years. (i) Any other information considered relevant to the nature of services rendered by the trustee. (2) INSTRUCTION FOR FILLING UP THE FORM (See Form A)