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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 ..... red. 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 applicant. (b) 3 [***]. (c) Name, direct line number, mobile number and e-mail of the contact person(s) 4 [ and principal officer ] . (d) Legal structure of applicant - Whether the applicant is an individual 5 [ or non-individual ] . (e) Whether the applicant is a bank /NBFC. (f) Date and place of incorporation/ establishment, if any. If the applicant is incorporated outside India, details of such incorporation. (g) Whether the applicant is engaged in investment advisory services prior to making application under these regulations. (h) Whether the applicant is registered with SEBI, RBI, IRDA or PFRDA in any capacity. If so, details of such registration. (i) Write-up on the activities of the applicant. 6 [ **** ] 2. DETAILS OF APPLICANT (Provide details of only the section applicable to you) I. In case applicant is an individual: 7 [ (1) Whether ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... entity proof and address proof of the applicant, principal officer and persons associated with investment advice. ] III. In case applicant is a partnership firm or a limited liability partnership: 1. Names and Beneficial ownership pattern of the partners 15 [ , principal officer and persons associated with investment advice ] engaged/proposed to engage in investment advice (Enclose identity proof and address proof of the partners 15 [ , principal officer and persons associated with investment advice ] ). 16 [ 2. Whether the aforesaid principal officer and persons associated with investment advice comply with certification and qualification requirements under regulation 7 and applicant has submitted a declaration with respect to the same. (Provide self-certified copies of supporting documents ). ] 17 [ 3. Copy of certification obtained by the aforesaid principal officer and persons associated with investment advice in accordance with regulation 7(2). ] 4. Declaration that the aforesaid 18 [ principal officer and persons associated with investment advice ] shall obtain fresh certification before expiry of the validity of the existing certification to ensure continuity in compliance w ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... declaration that no consideration including any commission or referral fees whether embedded or indirect or otherwise by whatever name called shall be received directly or indirectly at Investment Adviser s group or family level for the said service, as the case maybe. 2. If the applicant is a non-individual, whether the applicant proposes to offer distribution services. ] 6. OTHER INFORMATION/DECLARATIONS/ REGULATORY ACTIONS (a) Details of all settled and pending disputes in the last 5 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 25 [ , principal officer and persons associated with investment advice ] have been indicted/involved in any economic offence in the last 5 years. If yes, provide de ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... eunder. II. The Registration Number of the investment adviser is IN/IA/_____________. 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 and 11 by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 2 Substituted for the words Application for Grant of Certificate of Registration/Renewal as investment adviser by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations,2016 w.e.f. 08-12-2016. 3 Omitted by the by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations,2016 w.e.f. 08-12-2016. Prior to omission sub-para(b) read as under: (b) Whether application is for registration/ renewal. Provide registration number if the application is for renewal of certificate. 4. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 5. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 befor ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ualification requirements under regulation 7. (If the applicant is an existing investment adviser applying for fresh registration, then provide a declaration stating that the applicant shall ensure that all its representatives obtain such certification within two years from the date of commencement of these regulations and after all its representatives obtain the certification, a declaration to that effect shall be submitted to SEBI.) 13. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as representatives 14. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 15. Inserted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 16. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as, 2. Whether the aforesaid partners have: a. A professional qualification or post-graduate degree or post graduate diploma in finance, accountancy, business management, commerce, economics, capital market, banking, insurance or actuarial science from a university or an institution recognized by the Central Government or any State Government or a recognised foreign university or institution ..... X X X X Extracts X X X X X X X X Extracts X X X X
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