First Schedule - Application for Grant of Certificate of Registration - Securities and Exchange Board of India (Index Providers) Regulations, 2024

FIRST SCHEDULE FORM A SECURITIES AND EXCHANGE BOARD OF INDIA (INDEX PROVIDERS) REGULATIONS, 2024 [See Regulation 4(2)] APPLICATION FOR GRANT OF CERTIFICATE OF REGISTRATION NAME OF APPLICANT: CONTACT NAME: TELEPHONE NO: FAX NO: INSTRUCTIONS FOR FILLING UP FORM 1. Applicants shall submit to the Board a completed application form together with appropriate supporting documents. Supporting documents shall be attested as true by a notary public. 2. This application form shall be filled in accordance with the regulations. 3. Application for registration shall be considered, only if it is complete in all respects. 4. All answers shall be typed. 5. Information that needs to be supplied in more detail may be given on separate sheets which shall be attached to the application form. 6. All signatures on the application shall be original. 7. Every page of the form as well as every additional sheet shall be initialled by the authorised signatory of the applicant. 1.0 PARTICULARS OF THE APPLICANT 1.1 Name, address of the registered office, address for correspondence, telephone number(s), fax number(s) and name of the contact person of the company. Address of branch offices, if any. 1.2 Date of incorporation of the Applicant company (enclose certificate of incorporation and memorandum and articles of association). Specify the following: (a) Objects (Main Ancillary) of the Applicant company. (b) Authorized, issued, subscribed and paid up capital. 1.3 Category to which the Applicant company belongs to: (a) Limited company - Private/Public. (b) Unlimited company. If listed, names of Stock Exchanges and latest share price to be given. 1.4 Category to which the Applicant company belongs to (refer regulation 4) (a) Company already in the business as Index Provider 2.0 ELIGIBILITY CRITERIA 2.1. Net worth of the company as per the last audited accounts not earlier than three months from the date of application [refer regulation 5 (b )]. Enclose a certificate by Chartered Accountant/Certified Public Accountant certifying the same. 3.0 PARTICULARS OF DIRECTORS/KEY PERSONNEL 3.1 Particulars of Directors of the company, which shall include name, qualification, experience, shareholding in the company and directorship in other companies. 3.2 Particulars of Key Personnel of the company, which shall include the name, designation in the company, qualification, previous positions held, experience, date of appointment in the company and functional areas. 4.0 INFRASTRUCTURE 4.1 Details of infrastructure including computing facilities, facilities for research and database available with the company and whether the existing infrastructure is adequate Any further plan for additional/ improved infrastructure to be indicated. 5.0 MAJOR SHAREHOLDERS 5.1 List of major shareholders (holding 5% and above of applicant directly or along with associates) Shareholding as on: . Name of shareholder No. of Shares held % age of total paid up capital of the company 6.0 ASSOCIATE CONCERNS 6.1 Particulars of associate companies/concerns which shall include name, address, type of activity handled, nature of interest of the Applicant company in the associate, nature of interest of promoter(s) of the applicant in the associate. 6.2 Whether the Board has granted/ refused registration as Index Provider to any associate of the applicant, wherever applicable. 6.3 Give the details like date of application, date of refusal/registration, reasons for refusal etc. 7.0 BUSINESS INFORMATION OF THE COMPANY 7.1 History, major events and present activities. Details of experience in Index Provider related activities. 7.2 If the company is proposing to undertake the activity as an Index Provider for the first time, business plan of the company with projected volume of activities and income for which registration is sought to be specifically given. 7.3 Indices Related information (for use in Indian securities market) (a) List and types of Indices offered / proposed to be offered, (b) Date of launch of 1st index (c) Detail in brief about 1st index. (d) Details of significant Indices administered. (e) List and types of Indices currently used in Indian markets (f) List and types of Indices currently used globally (g) List and types of Indices Index Provider intends to offer in Indian markets (h) Date of launch and detailed methodology of Indices intended to be offered in Indian markets 7.4 Any other information considered relevant to the nature of services rendered by the applicant. 8.0 MISCELLANEOUS INFORMATION (a) Whether, governed by any regulatory authority; if so, provide details. (b) Authorization in different jurisdictions (if any). (c) Any disciplinary action taken against Index Provider in last 5 years. (d) Any refusal or withdrawal of authorization by a regulatory authority. (e) How many employees are involved in Index administration? (f) Educational Qualification of such employees. 9.0 FINANCIAL INFORMATION ABOUT THE APPLICANT 9.1 Net worth Items Year prior to the preceding year of the current year Preceding year Current year (a) Paid-up capital (b) Free reserves (excluding revaluation reserves) Total (a) + (b) (c) Accumulated losses (d) Deferred revenue expenditure not written off. Net worth (a)+(b)- (c)-(d) 9.2 Enclose audited annual accounts for the last three years. Where unaudited reports are submitted, give reasons. If minimum net worth requirement has been met after last audited annual accounts, audited statements of accounts of a later date shall also be submitted. 9.3 Name and Address of the Principal bankers of the Applicant company. 9.4 Name and address of the Auditors. 10.0 OTHER INFORMATION 10.1 Details of all pending litigations against the applicant company, directors and employees: Nature of dispute Name of the party Status 10.2 Indictment or involvement in any fraud or economic offences by the applicant or any of its Directors or Key Managerial Personnel, in the last three years. 11.0 DECLARATION 11.1 Give the following declarations signed by two directors: I/We hereby apply for registration. 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 registration. I/We declare that the information supplied in the application form is complete and correct. For and on behalf of _________________________________________________________________________ (Name of Applicant) _________________________________________________________________________ Director Director Enclosure: 1. Certificate of registration/ incorporation 2. Detailed recent report on adherence to International Organization of Securities Commissions Principles of Financial Benchmarks where compliance assessment is carried out by independent audit conducted by external professional FORM B SECURITIES AND EXCHANGE BOARD OF INDIA (INDEX PROVIDERS) REGULATIONS, 2024 [See Regulation 9(1)] [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 the Board hereby grants a certificate of registration to as an Index Provider in accordance with and subject to the conditions in the regulations to carry out the activity of the Index administration: - II. Registration Code for the Index Provider is . III. This certificate of registration shall be valid unless it is suspended or cancelled by the Board. Place: Date: By Order Sd/- For and on behalf of Securities and Exchange Board of India