9911796707
TMI BlogApplication for grant of certificate of registration as depositoryX X X X Extracts X X X X X X X X Extracts X X X X ..... st be original. viii. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations and by the draft bye-laws. ix. Every page of the form and every additional sheet must be initialed by the authorised signatory of the applicant. x. All copies of documents should be attested as true by an authorised notary. Items 1-6 pertain to an applicant 1. Name, address of the registered office, address for correspondence, telephone number(s), fax number(s), telex number(s) and the name of the contact person of the applicant. 2. Please indicate the name of the depository which is proposed to be established by the applicant. 3. Please indicate the names of other depositories, if any, which have been sponsored by the applicant, or in which the applicant is acting as participant. 4. Please indicate the category to which the applicant belongs as per regulation 6 read with sub-regulation (1) and (2) of regulation 21 . 5. Please provide the following details of each applicant: (a) Date of incorporation or establishment, and the statute, if any, under which established (enclose certificate of incorporation, memorandum and articles of association or s ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... and for its principal officer. (a) Name, age, nationality. (b) Details of educational and other qualifications. (c) Details of experience. (d) Details of other directorships held. (e) Details of any litigation connected with the securities market which has an adverse bearing on the business of the depository, involving the director or principal officer, and details of any conviction of the director or principal officer for a crime involving moral turpitude or of any economic offence for which the director or principal officer has been found guilty. 10. Please indicate the details of staff and organisation structure that is proposed to be set- up prior to commencement of business. 11. Details of infrastructure such as premises and automatic data processing, storage and back up systems and procedures, communication systems that are proposed to be set-up prior to commencement of business. 12. Internal evaluation and monitoring systems that are proposed to be set-up prior to the commencement of business. 13. Arrangements for indemnification of beneficial owners that are proposed to be put in place, including details of insurance cover proposed to be taken prior to the commencement of ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e this form, and submit it, along with all supporting documents to the Board at its head office at Mumbai. iii. This application form should be filled in accordance with the regulations. iv. Application for grant of certificate of commencement of business will be considered provided it is complete in all respects. v. All answers must be typed. vi. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form. vii. The application must be signed and all signatures must be original. viii. Every page of the form and every additional sheet must be initialled by the authorised signatory of the applicant. ix. All copies of documents should be attested as true by an authorised notary. 1. Name and registration number of the applicant. 2. Date of grant of certificate of registration to the applicant. 3. Please indicate whether bye-laws have been approved by the Board. 4. Please indicate the details of staff and organisation structure that has been set-up. 5. Please indicate the background and experience of key personnel. 6. Internal evaluation and monitoring systems including details of background and experience of per ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... (Depositories and Participants) Regulations, 2018 [See regulation 16] Certificate of commencement of business as depository In exercise of the powers conferred by section 3 of the Depositories Act, 1996 (22 of 1996) read with the regulations, the Board hereby grants a certificate of commencement of business to..............................................................as a depository subject to the conditions specified in the Act, the Depositories Act and the regulations made thereunder. Date: Place : Mumbai By order Sd/- For and on behalf of the Securities and Exchange Board of India FORM E Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018 [See regulation 22(2) and 22(3)] Application for grant of approval for acquisition of shares of a depository Securities and Exchange Board of India, C4-A, G Block, Bandra-Kurla Complex, Bandra (East) Mumbai 400051 India INSTRUCTIONS i. This form is meant for use by a person who acquires shares of a depository in terms of sub-regulation (2) or sub-regulation (3) of regulation (22) . ii. The applicant should complete this form, and submit it, along with all supporting documents, if any to the Board through ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... a Complex, Bandra (East) Mumbai 400051 India INSTRUCTIONS i. This form is meant for use by an applicant for grant of registration as participant. ii. The form should be filled in by the applicant and submitted to the depository in which it is acting as participant, who shall forward it, along with all supporting documents to the Board at its head office at Mumbai. iii. This application form should be filled in accordance with the regulations. iv. Application for grant of registration, as the case may be, will be considered provided it is complete in all respects. v. All answers must be typed. vi. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form. vii. The application must be signed and all signatures must be original. viii. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations. ix. Every page of the form and every additional sheet must be initialed by the authorised signatory of the applicant. x. All copies of documents should be attested as true by an authorised notary. 1. Name, address of the registered office, address for correspondenc ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... owners on whose behalf the applicant proposes to act as participant, and services proposed to be provided to beneficial owners. 9. Please provide the following details regarding staff involved in activities as participant: (i) organisation structure; (ii) experience and background of key personnel. 10. Please provide the following details regarding safekeeping and security systems and procedures: (i) risk control and operations manuals; (ii) give details of independent internal control mechanisms for monitoring evaluation and review of accounting, and reporting systems and procedures. 11. Please provide the following details regarding automatic data processing systems and record keeping : (i) details of hardware, software and communications systems, their capability, function and location; (ii) details of data storage and back up procedures and sites, their capability, function and location; (iii) details of disaster recovery systems and procedures. 12. Details of insurance cover to be taken up. 13. Please indicate the applicant s shareholding for each depository in which it has such shareholding and whether any shareholding is proposed to be acquired in the depository through whi ..... X X X X Extracts X X X X X X X X Extracts X X X X
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