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TMI BlogApplication for grant of certificate of registrationX X X X Extracts X X X X X X X X Extracts X X X X ..... ccordance with these regulations. 4. The application shall be considered by the Board provided it is complete in all respects. 5. All answers must be legible and all the pages must be numbered with signature/ stamp on each page of the form. 6. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form and appropriately numbered. 7. The application must be signed. 8. The application must be accompanied by an application fee as specified in the Second Schedule to these regulations. 1. GENERAL INFORMATION (a) Name, address of the registered office, address for correspondence and principal place of business, telephone number(s), fax number(s), e-mail address of the appl ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... lification for such research analysts employed). (e) Declaration by the applicant that the research analysts employed, partners of the applicant, if any, currently comply with the qualification requirements under regulation 7 . (Provide self certified copies of supporting documents) (If the applicant is an existing research analyst applying for fresh registration, then he shall provide a declaration stating that the applicant shall comply with the certification requirements for research analysts employed under these regulations and partners of the applicant, if any, within two years from the date of commencement of these regulations and shall submit a copy of the certification to the Board within fifteen days of receipt of such certificatio ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... years. (b) Whether any previous application for grant of certificate made by any person directly or indirectly connected with the applicant has been rejected by the Board; If yes, provide details of the same. (c) Whether any disciplinary action has been taken by the Board or any other regulatory authority against any person directly or indirectly connected with the applicant under the Act or the regulations made there under in the last 5 years. If yes, provide details of the action. (d) Whether the applicant/directors/promoters/ partners have been indicted/involved in any economic offence in the last 5 years. If yes, provide details of the same. (e) Declaration that the applicant, research analyst employed by it, its representatives and pa ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Research Analyst I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) , read with the regulations made there under, the Board hereby grants a certificate of registration to ___________________________________________________ as a research analyst subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number is IN/RA/_____________. III. 4 [This certificate of registration shall be valid till it is suspended or cancelled by the Board.] Date : Place : MUMBAI By Order Sd/- For and on behalf of Securities and Exchange Board of India ************* NOTES:- 1 Substituted for the words See Regulations 3(2) and ..... X X X X Extracts X X X X X X X X Extracts X X X X
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