SCHEDULE - I - FORMS - Securities and Exchange Board of India (Underwriters) Regulations, 1993

SCHEDULE I FORMS FORM A Securities and Exchange Board of India (Underwriters) Regulations, 1993 1 [Regulation 3A] 2 [ Application for Grant of Certificate of Registration] Name of Applicant and its Status : (Whether proprietary concern/ firm/ association of persons/ body of persons/body corporate) : Name and designation of Principal Officer : : Designation : Telephone No. : Instructions: 1. Applicants must submit a completed application form together with supporting documents to the Securities and Exchange Board of India. 2. All columns of the application should be filled in. In case a column is not relevant then Not applicable should be specified. 3. Information which needs to be supplied in more details may be written on separate sheets which should be attached to the application form. 4. Original copy of form duly signed should be submitted for registration. PART I GENERAL INFORMATION 1. Applicant s details : 1.1 Name of the Applicant : 1.2Address of the Applicant : Pin Code: ................ Telephone No. : ...... : Telex No. : .............. Fax No.: ............ 1.3 Address of the applicant for correspondence : Pin Code: ................ Telephone No. : ...... : Telex No. : .............. Fax No. :............ : 1.4 Address of Branch Offices (in India) of the Applicant, if any : 1.5 Whether any other application under Securities and Exchange Board of India Act, 1992 has been made for grant of Certificate, if so, details thereof : 2. Organisation structure : 2.1 Objects of the organisation of the applicant. : (Attach extracts from relevant documents like, Partnership deed/Charter/Memorandum of Association/Articles of Association, etc.) in support of objects of the organization : : 2.2 Date and place of Incorporation/Establishment of the organization of the applicant Day Month Year Place 2.3 Status of the applicant (specify whether proprietary, partnership, association of persons, body of individuals, limited company - public/private, others. If listed, name the stock exchange and latest share price : high and low) : : 2.4 Organisation Chart stating the functional responsibility at various levels : 2.5 Particulars of all Proprietors/Partners/Managers/ Officers/Directors : [Name, Qualification, Experience, Date of Appointment, Other directorship, (Name and Date of Appointment), Previous positions held]. : 2.6 Number of employees : : 2.7 Name and activities of associate companies/concerns : Name, Address/Phone number/Type of activity/Ownership details/Nature and Quantum of Financial Trading. : 2.8 In case the applicant is a body corporate, please give list of major shareholders (holding 5% or more voting rights) : 3. Details of infrastructural facilities : 3.1 Office space (mention the extent of area and ownership details available) : 3.2 Office equipment (mention the details of electronic office equipment, typewriters, telecommunication equipment, furniture and fixtures, other communication facilities, etc.) : 4. Business plan (for three years) 4.1 History, major achievements and present activity : 5. Financial information : 5.1 Capital structure (Rs. in lakh) : Current year Last year Previous year Second year Third year (a) Paid-up capital (b) Free reserves (excluding revaluation reserves) (c) Total (a) + (b) (d) Loans (details) (e) Net profit: (i) General (ii) Specific Note : In case of partnership or proprietary concerns, please indicate capital minus drawings. 5.2 Deployment of resources : (a) Fixed assets : (b) Plant and machinery and office equipment : (c) Investments (details should be given separately) : (d) Others : 5.3 Major source of estimated profit from various sources : (Rs. in lakh) : Current year Last year Previous year Second year Third year 5.4 Please enclose three years of audited annual accounts and where unaudited reports are submitted, give reasons : 5.5 Name and address of the principal bankers 5.6 Name and address of the auditors (internal, external and tax auditor, if any, as applicable) : 6. Other information : : 6.1 Indicate involvement in any offence relating to moral turpitude/economic offences in the last three years : 6.2 Any other information considered relevant to the nature of services rendered by the company : PART II 7. Business information : : 7.1 Indicate marketing capability for capital issues: : 7.2 Indicate how decision on underwriting is usually taken : : 7.3 Indicate various research and database facilities available : : 7.4 Enclose a copy of typical contract entered into with the issuer for underwriting activity : 8. Experience : : 8.1 Experience in underwriting activities (Indicate name of the company, particulars of the issue, amount of underwriting done in the last three years) : 8.2 Experience in other financial services rendered (period area and date of commencement of activity) 8.3 Details of all unsettled and pending Nature of Name Pending/ development/disputes regarding underwriting of the settled dispute party 8.4 Indicate underwriting defaulted with any company and reasons for the same Declaration THIS DECLARATION MUST BE SIGNED BY THE PRINCIPAL OFFICER/S: I/We hereby apply for grant of certificate of registration by the Board. I/We warrant that I/we will carry out my/our duties in accordance with the Act, Rules and Regulations. I/We warrant that I/we have truthfully and fully answered the questions above and provided all the information which might reasonably be considered relevant for the purposes of my/our grant of certificate for registration and I/we will promptly notify the Board of any changes in the information during the period that my/our registration is being considered and if my/our registration is accepted, thereafter. I/We understand that misleading or attempting to mislead the Board shall render the applicant liable to disciplinary proceedings. I/We certify that the above information and information supplied in the application form is true, complete and correct. For and on behalf of ............................................................ ........................................................ (Name of the Applicant) (Name of the Applicant) Place : Place : Date : Date : FORM B Securities and Exchange Board of India (Underwriters) Regulations, 1993 3 [Regulation 8 4 [***]] 5 [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 rules and regulations made thereunder for the underwriters, the Board hereby grant a certificate of registration to..................................as an underwriter subject to the conditions in the rules and in accordance with the regulations. II. Registration Code for the underwriter is................... 6 [III. This certificate of registration shall be valid unless it is suspended or cancelled by the Board.] Place : Date : By Order For and on behalf of the Securities and Exchange Board of India Authorised signatory ********** 1 Substituted for Regulation 3A/Regulation 8A by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12- 2016. Prior to this the words Regulation 3A/Regulation 8A were substituted for the words Regulation 3 by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 2 Substituted for the words Application for Grant of Initial/ Permanent Registration by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to this the words Application for Grant of Initial/ Permanent Registration shall be substituted with the words substituted the words Application for registration as underwriter , by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 3 Substituted for Regulation 8 by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7- 2011. 4 The words /Regulation 8A omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 5 Substituted for the words Certificate of Initial/ Permanent Registration by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior this the words Certificate of Initial/ Permanent Registration were substituted for the words Certificate of Registration , by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 6 Substituted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to substitution Paragraph III as substituted by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 read as under: III. This certificate shall be valid from .. to . / for permanent, unless suspended or cancelled by the Board. Prior substitution by the SEBI (Underwriters) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 paragraph III read as under: III. Unless renewed, the certificate of registration is valid from........to........... , ibid.