SCHEDULE - 26 - ADDITIONAL INFORMATION FOR RENEWAL OF REGISTRATION AS MERCHANT BANKER - SEBI (Disclosure and Investor Protection Guidelines) 2000

SCHEDULE XXVI [CLAUSE 16.3.1.1(c)] ADDITIONAL INFORMATION FOR RENEWAL OF REGISTRATION AS MERCHANT BANKER 1.0 Key personnel 1.1 Detailed bio-data clearly giving following information for the key personnel who joined merchant banking division after the previous registration. (a) Name (b) Qualification (c) Designation in the applicant company. (d) Experience Details giving information about: name of the organisation, duration, area of work [including of applicant company, if any]. 1.2 A copy of experience certificate from previous employers, copy of Appointment letter, acceptance letter, copy of experience certificates and copy of salary slip in the applicant company. 2.0 Details of directors 2.1 If any of the Directors are wholetime directors the same to be indicated. 3.0 Details of membership of stock exchange 3.1 If the applicant company / associate company /group company / subsidiary company of these are member of any recognised stock exchange, the following be submitted: i) A conduct certificate from the concerned stock exchange regarding its functioning as member. ii) Details regarding payment of fees and also whether the member is facing any charges/disciplinary action or if in past any such action has been taken by the concerned stock exchange/ Board. iii) NOC from the stock exchange for functioning as a merchant banker (in case applicant company holds a corporate membership)/ Director/ full time employee. 4.0 Final accounts 4.1 A Copy of Audited annual accounts (including Auditors report and schedules) as on ...... ......... (latest F.Y.)/ as on date of meeting the networth criteria. 5.0 State whether issuer company is registered as Non Banking Finance Company with RBI. If yes, state the place where it is registered and give the registration number and details about any comment of RBI for their inspection for latest three financial years. 6.0 Declarations to be furnished: (to be signed by two Directors) We hereby declare and undertake as under: i) That the applicant company, its promoter, director, partner or employee has not at any time been convicted for any offence involving moral turpitude or has been found guilty of any economic offence. ii) That the applicant company/associate company, its promoters, directors, partners or employees are not involved in any litigation connected with the securities market and there are no charges against them as on date. iii) That none of the associate, subsidiary, inter-connected or group company of the applicant company has applied or has been granted registration by the board to undertake merchant banking activities. iv) That the applicant company/associate company, its directors, partners are not facing any charges/ disciplinary action from any stock exchange. v) That the applicant company, its associates, its director, partner or principal officer is not involved in the securities scam and are not named in the Janakiraman Committee Report/ J P C Report. (If involved, detailed comments may be forwarded). vi) That all investments indicated in the certified annual accounts are held in the name of the company only. (If not, details of such holdings may be forwarded).