9911796707
TMI BlogApplication for grant of certificate of registration as CustodianX X X X Extracts X X X X X X X X Extracts X X X X ..... stration as 1 [ custodian ] ii. The applicant should complete 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 SEBI ( 1 [ custodian ] ) Regulations, 1996. iv. The application will be considered by the Board 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 the SEBI ( 1 [ custodian ] ) Regu ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... permission, and if applicable, copies of approval from the Central Government, to carry on activities as 1 [ custodian ] . (ii) Type and number of existing clients (Financial Institutions, Mutual Funds, Foreign Institutional Investors, Depository Receipts, Portfolio Managers, Non Banking Finance Companies, Stock Brokers, Corporates, Individuals.) (iii) Volume of assets under custody. 4. Please state whether the applicant, director or principal officer is involved in any litigation connected with the securities market which has an adverse bearing on the business of the applicant; or has at any time been convicted for any moral turpitude or at anytime has been found guilty of any economic offence. 5. Please also state whether there has been a ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... rities 4 [ and goods ] ; (iii) risk control and operations manuals (enclose copies); (iv) give details of independent internal control mechanisms for monitoring, evaluation and review of accounting safekeeping 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. Declaration statement (to be given as below) We hereby agree and declare that the information supplied in the application, incl ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... MBAI By order Sd/- For and on behalf of Securities and Exchange Board of India ************ NOTES:- 1. Substituted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019 before it was read as Custodian of securities 2. Substituted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019 before it was read as, (iv) details of vault, for each vault (in case the vault is built to any specific standard, give details and documentary evidence thereof). 3. Inserted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019 4. Inserted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019 - - statute, statutory provisions legislation, law, enactment, Acts, Rules, Regulations, Taxation Tax Management India - taxmanagemen ..... X X X X Extracts X X X X X X X X Extracts X X X X
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