FIRST SCHEDULE - Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)] - Securities And Exchange Board of India (Foreign Institutional Investors) Regulations, 1995

FIRST SCHEDULE FORMS 1 [FORM A] Securities and Exchange Board of India (FII) Regulations, 1995 Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)] 1. Details of the Applicant: 1.1 Name of the applicant: 1.2 Address of the Applicant: Address Postal Code Country Telephone No. Fax No Web-site 1.3 Date of incorporation/establishment: 1.4 Place and Country of Incorporation: Place Country 1.5 Legal form of the applicant and the law, under which it is incorporated, established or registered, if any: 1.6 Brief description of the principal activities: 1.7 Date of commencement of such activities: 1.8 Brief description of the group, if any, to which the applicant belongs: 1.9 Information pertaining to Compliance Officer: Name Job Title Telephone no Fax No E-mail id 2 Category of the applicant 2.1 If the applicant is a fund:  Pension Fund  University fund  Mutual Fund  Endowment  Investment Trust  Foundation  Bank  Charitable Trust  Charitable society  Insurance/Reinsurance Company  Foreign Central Bank  Foreign Governmental Agency  Sovereign Wealth Fund  International/Multilateral organization/agency  Broad Based Fund (only if it does not satisfy any other category) (Please state the corpus of the fund, Generic type and Number of investors in the fund along with their respective proportionate holdings in a separate annexure in the following format) Sr. No. Generic Type of Investors No. of Investors Percentage of Holding Total Corpus of the Fund 2.2 If the applicant is not a fund:  Asset Management Company  Institutional Portfolio Manager  Investment Manager/Advisor  Trustee of a Trust 3. Classification of the applicant:  70:30 (Equity: Debt)  100% Debt 4. Details of Regulatory authority by which the applicant is regulated 4.1 Contact details: Name Country Web-site 4.2 Registration Number/Code: 4.3 Please mention briefly the activities which the applicant is permitted to undertake under the registration/license granted by the above regulatory authority: 5. Details of Proposed Investments to be made in Indian Securities markets: 5.1 Nature of Investments to be made by the applicant:  On behalf of Self  On behalf of client(s)/fund(s)  Both 5.2 In case of investments being made on behalf of clients/ funds, details of the same: Name Category Country 6. Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent / holding company or affiliate may have been subjected to economic or criminal liability or suspended from carrying out its operations or the registration, has been revoked, temporarily or permanently. Yes  No If yes, please furnish details in annexure 7. Details of the domestic custodian and designated bank appointed 7.1 Details of the domestic custodian Name SEBI Reg. No. 7.2 Details of designated bank: Name of the Bank and Branch Address 8. Details of prior association with the Indian securities market. 8.1 Whether the applicant was anytime registered as FII or Sub account with Securities and Exchange Board of India.  Yes  No If yes, then please provide details: Name of the entity Registered as SEBI Registration No. Period of registration From To 8.2 Whether any of your associate/s or group company/s, having office in India, have ever been registered with Securities and Exchange Board of India  Yes  No If yes, then please provide details: Name of the entity Registered as SEBI Registration No. Period of registration From To (Please attach separate sheet, in the same format, if the space provided here is not sufficient) 9. Declaration and Undertaking We declare that: a. No winding up orders have been passed against the applicant. b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the applicant which has a bearing on the securities market has been passed by any authority in the preceding five years; d. any penalty imposed (including monetary penalty) by any regulatory authority has been undergone or paid. e. the information supplied in the application, including the attachment sheets, is complete and true. Undertaking: We undertake to: 1. notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided in the application promptly. 2. comply with the provisions of the Act, and regulations issued there under and all other relevant laws including guidelines issued by the Reserve Bank of India and the Government of India. 3. abide by operational instructions/ directives as may be issued by Securities and Exchange Board of India and by the Reserve Bank of India from time to time under provisions of the Act or any other law for the time being in force. 4. be held responsible and liable for all acts of commission and omission of all its sub-accounts and other deeds and things done by such sub accounts under these regulations, irrespective of whether discretion is exercised by us in respect of the sub-account. For and on behalf of applicant ____________________________________________ Signature of Authorized Signatory Name Designation Date dd/mm/yyyy Notes: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding this application. 2. Applications along with necessary documents should be submitted at: Securities and Exchange Board of India, Division of Foreign Institutional Investors Custodians, Plot No. C4-A, G Block, Bandra Kurla Complex, Mumbai-400051. 3. Documents Instruments to be enclosed with the application: (i) Certified copy of the relevant clause of Articles of the Memorandum and Articles of Association or the agreement authorizing the applicant to invest on behalf of its clients. (ii) Audited financial statements/ annual report for the previous financial year, (period covered shall not be less than twelve months) (iii) Draft of US $ 10,000 in favor of Securities and Exchange Board of India payable in New York. 2 [Form AA] Application Form for Grant of Certificate of Registration as Sub account [See regulation 12(1)] 1. Details of the applicant: Name Address Postal Code Country Telephone no Fax No 1.1 Name and Address of the applicant: 1.2 Date of incorporation/establishment: 1.3 Place and Country of Incorporation/ establishment: ________________________________________________________ Note: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Applications along with necessary documents should be submitted at * SECURITIES AND EXCHANGE BOARD OF INDIA, Division of FIIs Custodians, Mittal Court B Wing, 1st Floor, Nariman Point, Mumbai-400021, INDIA. Place Country 1.4 Legal form of the applicant : 2. Category of the applicant 2.1 Please select the most appropriate category of the applicant:  Broad Based Fund  Broad Based Portfolio  Proprietary fund of the FII  University Fund  Foreign Corporate  Endowment  Foundation  Charitable Trust  Charitable Society  Sovereign Wealth Fund  Foreign Individual (Please furnish requisite information in 2.4) 2.2 In case of broad based fund / broad based Portfolio, please specify the constitution:  Mutual Fund  Pension Fund  Insurance  Investment Trust  Others (only if it does not satisfy any other category): (Please state the corpus of the fund, Generic type and Number of investors in the fund along with their respective proportionate holdings in a separate annexure in the following format) SrNo. Generic Type of Investors No. of Investors Percentage of Holding Total Corpus of the Fund 2.3 In case of Foreign Corporate please specify the name of the Exchange/s where the applicant is listed: 2.4 In case of an Foreign Individual applicant, please specify the nationality and passport no. of the applicant: Nationality Passport No. 2.5 Classification of the applicant:  70:30 (Equity: Debt)  100% Debt 2.6 If the applicant is applying as a Proprietary fund of the FII, whether such funds would be invested through Multi-Managed Structure?  Yes  No 3. Details of the taxation authority 3.1 Name and Address of the tax Authority where the applicant is subject to taxation: 3.2 Unique Taxation-Id/Number (if any): 4. Details of domestic custodian and designated bank appointed in India 4.1 Details of the domestic custodian: Name SEBI Reg. No. 4.2 Details of designated bank: Name of the Bank Branch Address 5. Declaration to be furnished by the Foreign Institutional Investor A. We declare that: a. no winding up orders have been passed against the applicant. b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the applicant which has a bearing on the securities market has been passed by any authority in the preceding five years; d. any penalty imposed (including monetary penalty) by any regulatory authority has been undergone or paid. B. In case the sub-account applicant is a Foreign Corporate: a) its securities are listed on a stock exchange outside India; b) it has a asset base of not less than two billion US dollars; c) it has an average net profit of not less than fifty million US dollars during the three financial years preceding the date of the application, OR In case the sub-account applicant is a Foreign Individual: a) has a networth of not less than fifty million US dollars; b) holds the passport of a foreign country for a period of at least five years preceding the date of application; c) holds a certificate of good standing from a bank; d) is a client of the foreign institutional investor or any other entity which belongs to the same group as the foreign institutional investor, for a period of at least three years preceding the date of the application; 6. Undertaking A. Undertakings to be submitted by FII (i) In case the sub-account applicant is a broad based fund: We undertake that the proprietary funds of _______________________ (name of FII) shall not be invested through ____________________ (name of the sub account applicant). OR (ii) In case the sub-account applicant is a proprietary fund of the Foreign Institutional Investor: We undertake that only the proprietary funds of _______________________ (name of FII) shall be invested through _________________ (name of the sub account applicant). (Please Strike off which is not applicable) B. Further declaration and undertaking: 1. We further declare that: a. the Foreign Institutional Investor through whom an application for registration of sub-account is made, is authorized to invest on behalf of the sub-account; b. the income of the applicant is from known and legitimate sources; c. the applicant is not a non-resident Indian. d. the foreign institutional investor through whom the application for registration of sub-account is made shall be responsible and liable for all acts of commission and omission of this sub-account and other deeds and things done by such sub accounts under these regulations, irrespective of whether discretion is exercised or not by the foreign institutional investor in respect of the sub-account. e. the above obligation of the foreign institutional investor shall, however, not be deemed to detract from any responsibility or liability which the sub account shall incur under the Regulations made by the Board or under any law for the time being in force in India. 2. We hereby agree and declare that the information provided and the undertakings given above are complete and true. 3. We further undertake that we will immediately notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided. Authorized Signatory of the Sub Account Applicant Authorized Signatory of the Foreign Institutional Investor Name: Name: Date: Date: Note: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Applications along with necessary documents should be submitted at Securities and Exchange Board of India, Division of Foreign Institutional Investors Custodians, Plot No. C4-A, G Block, Bandra Kurla Complex, Mumbai-400051. India FORM B (Regulation 7) SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995 CERTIFICATE OF REGISTRATION I. In exercise of the powers conferred by sub-section (1A) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the regulations made thereunder the Board hereby grants a certificate of registration to _________________________________ as a Foreign Institutional Investor, subject to the conditions specified in the Act and in the regulations made thereunder. II. Registration Number for the Foreign Institutional Investor is IN/.../.../.../.... 3 [III. This certificate shall be valid till it is suspended or cancelled in accordance with the regulations.] Date: Place: Mumbai By Order For and on behalf of Securities and Exchange Board of India Authorised Signatory ----------------------- Notes: 1. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22-5-2008. Prior to substitution Form A read as under: FORM A Application Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)] 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: dd/mm/yyyy 1.3 Legal form of the applicant and the law, under which it is incorporated, established or registered, if any: 1.4 Place of incorporation/establishment: 1.5 Brief description of the principal activities: 1.6 Year of commencement of such activities: 1.7 Brief description of the group, if any, to which the applicant belongs: 1.8 Registered office address: Address Postal Code Country Telephone no Fax No Web-site E-mail address 1.9 Compliance officer: Name Job Title Business Address Postal Code Country Telephone no Fax No E-mail address 2 Category of the applicant 2.1.1 If the applicant is a fund: Pension Fund University fund Mutual Fund Endowment Investment Trust Foundation Bank Charitable Trust Charitable society Insurance/Reinsurance Company Central Bank Foreign Governmental Agency International or Multilateral organization Nominee company Any other, in the nature of fund, please specify 2.1.2 Name of the investment manager/advisor of the fund: 2.2 If the applicant is not a fund: Asset Management Company Institutional Portfolio Manager Investment Manager/Advisor Trustee Power of attorney holder Any other, please specify 2.3 Details of the broad-based funds on whose behalf the applicant proposes to invest in Indian Securities markets : Name of the fund/s Category (e.g. Mutual fund, Pension fund) Country of incorporation/establishment 3. Details of regulatory authority by which the applicant is regulated /with whom the applicant is registered. 3.1 Contact details: Name Address Country Postal Code Telephone no Fax No Web-site E-mail address 3.2 Please mention briefly the activities which the applicant is permitted to undertake under the registration/license granted by the regulatory authority as indicated in Item No. 3.1 @: @ (for the applicants falling under item no. 2.2) 3.3 Registration Number/Code (if any): 3.4 Period of registration (if any): Perpetual Fixed Validity, if yes then give details: From: dd/mm/yyyy To: dd/mm/yyyy 3.5 Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent / holding company or affiliate may have been subjected to economic or criminal liability or suspended from carrying out its operations or the registration, has been revoked, temporarily or permanently. Yes No If yes, then please provide details: 4 Details of the domestic custodian and designated bank appointed 4.1 Details of the domestic custodian Name Address Postal Code Country UIN 4.2 Details of designated bank: Name Address Postal Code Country 5. Details of association with the Indian securities market. 5.1 Whether the applicant or its associate/s or group company/s, having office in India, have ever been registered with SECURITIES AND EXCHANGE BOARD OF INDIA Yes No If yes, then please provide details: Name of the entity Registered as SEBI Registration No. Period of registration From To dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy (Please attach separate sheet, in the same format, if the space provided here is not sufficient) 6. Undertaking and declarations Declaration: We hereby declare that the applicant has not incurred any of the disqualifications mentioned in regulation 3(2) of the SEBI (Criteria for Fit and Proper Person) Regulations, 2004. Undertaking : 1. We hereby agree and declare that the information supplied in the application, including the attachment sheets, is complete and true. 2. We further undertake that we will immediately notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided in the application. 3. We further undertake that we shall comply with the provisions of the Act, and regulations issued thereunder and all other relevant laws including guidelines issued by the Reserve Bank of India and the Government of India. 4. We further undertake that as a condition of grant of certificate of registration, we shall abide by such operational instructions/ directives as may be issued by Securities and Exchange Board of India and by the Reserve Bank of India from time to time under provisions of the Act or any other law for the time being in force. [See regulation 3(2)] FORM A For and on behalf of (Name of the applicant) Name of the applicant Signature Name of signatory Position Date dd/mm/yyyy --------x-------- Notes: 1. Documents Instruments to be enclosed with the application: (i) Certified copy of the relevant clause of Articles of the Memorandum and Articles of Association or the agreement authorizing the applicant to invest on behalf of its clients (ii) Audited financial statements/ annual report for the previous financial year, (period covered shall not be less than twelve months) (iii) Draft of US $ 5000 in favor of Securities and Exchange Board of India payable in New York. 2. Applications along with necessary documents should be submitted at * SECURITIES AND EXCHANGE BOARD OF INDIA, Division of FIIs Custodians, Mittal Court B Wing, 1 st Floor, Nariman point, Mumbai-400021. 3. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22- 5-2008. Prior to substitution Form AA read as under: Form AA Application Form for Grant of Certificate of Registration as Sub account (SA) [See regulation 12(1)] PART - I (For the applicants under category broad-based fund and proprietary fund of the FII ) 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: 1.3 Legal form of the applicant and the law under which it is incorporated, established or registered, if any: 1.4 Place of incorporation/establishment: 2. Category of the applicant 2.1 Please tick whether the applicant is: Pension Fund Mutual Fund Investment Trust Proprietary fund of the FII any other, please specify 2.2 Please declare that the applicant is: a broad-based fund proprietary fund of the FII 2.3 If the applicant is proprietary fund of the FII, whether application is made for multi-managed structure Yes No Not applicable ---------------------------------x--------------------------------- PART II (For the applicants under the category foreign corporate and foreign individual ) 1. Details of the applicant 1.1 Name of the applicant: 1.2 Citizenship of the applicant: 1.3 Present address of the individual/registered office address of the foreign corporate: Address Country Postal Code Telephone no Fax No Web-site, if any E-mail address, if any 1.4 Constitution of the applicant (in case of foreign corporate ): 2 Business/occupation of the applicant Brief description of the business/job of the applicant: ---------------------------------x--------------------------------- PART III (For the all the applicants) 3. Details of the taxation authority 3.1 Please provide following details of the authority where the applicant is subject to taxation: Name of the authority Address Country Postal Code Telephone no Fax No Web-site, if any E-mail address, if any 3.2 Permanent Account Number/Registration Number/Code given by tax authority (if any): 4. Details of domestic custodian and designated bank appointed in India 4.1 Details of the domestic custodian Name Address Postal Code Country UIN 4.2 Details of designated bank: Name Address Postal Code Country 5. Undertaking and Declarations A. Declaration: We hereby declare that the applicant has not incurred any of the disqualifications mentioned in regulation 3(2) of the SEBI (Criteria for Fit and Proper Person) Regulations, 2004. We further declare that: a. no winding up orders have been passed against the applicant b. no order suspending or debarring the applicant from permanently carrying on activities in the financial sector has been passed by any regulatory authority; c. no order withdrawing or refusing to grant any license/approval to the applicant which has a bearing on the securities market has been passed by any authority in the preceding five years; d. any penalty imposed (including monetary penalty) by any regulatory authority has been undergone or paid. B. Undertakings (i) In case the client / sub-account is a broad based fund: We undertake that the proprietary funds of name of the FII (give name of the Foreign Institutional Investor) shall not be invested through _______ (give name of the applicant). OR (ii) In case the client / sub-account is a proprietary fund of the Foreign Institutional Investor: We undertake that only the proprietary funds of the name of the FII shall be invested through _______ (give name of the applicant). C. Further declaration and undertaking: 1. We further declare that: (i) the Foreign Institutional Investor through whom an application for registration of sub-account is made is authorized to invest on behalf of the sub-account; (ii) the income of the applicant is from known and legitimate sources; (iii) the applicant is not a non-resident Indian or an overseas body corporate. 2. We hereby agree and declare that the information provided and the undertakings given above are complete and true. 3. And we further undertake that we will immediately notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided. For and on behalf of (Name of the applicant) Signature Name of signatory Position Date dd/mm/yyyy For and on behalf of Name of the FII Regn No. Signature Name of signatory Position Date dd/mm/yyyy 3. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f.22-5-2008. Prior to omission item no. III of Form B read as under: Unless renewed, the certificate of registration is valid from ....... to.....