SCHEDULE - VI - Declarations for Eligible Fund Managers - Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993

1 [SCHEDULE VI Declarations for Eligible Fund Managers [Chapter II-A] 1. Declaration by an existing portfolio manager which intends to act as an eligible fund manager (must be signed by two directors or designated partners, as the case may be) We hereby declare that we are a SEBI registered portfolio manager with Registration Number We intend to provide our services to eligible investment funds. In this regards, we declare that: a) We comply with subsection 4(a) of section 9A of Income-tax Act, 1961 (We are not an employee of the eligible investment fund or a connected person of the fund); b) We comply with subsection 4(c) of section 9A of Income-tax Act, 1961 (We are acting in the ordinary course of our business as a portfolio manager); c) We comply with subsection 4(d) of section 9A of Income-tax Act, 1961 (We along with our connected persons shall not be entitled, directly or indirectly, to more than twenty per cent of the profits accruing or arising to the eligible investment fund from the transactions carried out by the fund through us); and d) We shall comply with any other requirements as may be specified by the Government and/or any regulatory body from time to time. For and on behalf of (Name of Applicant) ________________ ________________ Director 1/ Designated Partner 1 Director 2/ Designated Partner 2 ____________________ _________________ Name in Block Letters Name in Block Letters Place: Place: Date: Date: 2. Declaration by an applicant who intends to act as a portfolio manager to eligible investment funds (must be signed by two directors or designated partners, as the case may be) We hereby declare that we are applying to SEBI to be registered as a portfolio manager. We intend to provide our services to eligible investment funds. In this regards, we declare that: a) We comply with subsection 4(a) of section 9A of Income-tax Act, 1961 (We are not an employee of the eligible investment fund or a connected person of the fund); b) We comply with subsection 4(c) of section 9A of Income-tax Act, 1961 (We are acting in the ordinary course of our business as a portfolio manager); c) We comply with subsection 4(d) of section 9A of Income-tax Act, 1961 (We along with our connected persons shall not be entitled, directly or indirectly, to more than twenty per cent of the profits accruing or arising to the eligible investment fund from the transactions carried out by the fund through us); d) We may engage in the activity of fund management for eligible investment funds, subject to registration provided by SEBI under SEBI (Portfolio Managers) Regulations, 1993; and e) We shall comply with any other requirements as may be specified by the Government and/or any regulatory body from time to time. For and on behalf of ________________________ ________________________ (Name of Applicant) ____________________ _______________________ Director 1/ Designated Partner 1 Director 2/ Designated Partner 2 ____________________ _______________________ Name in Block Letters Name in Block Letters Place: Place: Date: Date:] ****** 1 Inserted by the SEBI (Portfolio Managers) (Amendment) Regulations, 2016, w.e.f. 02-01-2017.