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TMI BlogApplication for Grant of Certificate of Registration as Banker to the IssueX X X X Extracts X X X X X X X X Extracts X X X X ..... esignation:.............................................................................................................................................................. Telephone No.:........................................................................................................................................................ 1. Applicants must submit a completed application form together with appropriate supporting documents to the Securities and Exchange Board of India. 2. It is important that this application form should be read in conjunction with rules and regulations and the code of conduct for the banker to an issue. 3. Applications for registration will only be considered provided all questions are answered. 4. Answers must ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... areholding pattern i.e. No. of shares and its % to total capital) 3.0 Details of infrastructural facilities (To be used for specific activity) 3.1 Data processing capacity (a) Inhouse: (b) Others : 3.2 Computer facility : (a) Hardware configuration (b) Software used 3.3 Communication and manpower facilities available at controlling branch/head office and at various branches 4.0 Financial Information 4.1 Capital Structure (Rs. in lakhs) Year prior to the Preceding year of Current year Preceding year current year (a) Paid-up Capital (b) Free reserves (excluding revaluation reserves) (c) Total (a) + (b) (d) Deposits (e) Working Funds 4.2 Net Profit first year second year third year 4.3 Income (From specific activity of Banker to an issue) 5.0 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... d provided all the information which might reasonably be considered relevant for the purposes of our registration. We hereby declare that the information furnished is true and correct and neither the applicant nor any of its Directors and key-executive personnel have been involved in or convicted of economic offences during the last three years or by the Reserve Bank for violation of the provisions of the Reserve Bank of India Act, 1934 and Banking Regulation Act, 1949. For and on behalf of .................................................................................................................................. (Name of Applicant) ....................................................... . ............................................. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Issue) (Amendment) Regulations, 2011, w.e.f. 05-07-2011. 2 Substituted the words and sign Application for grant / renewal of certificate of registration as bankers to issue by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2011, w.e.f. 05-07-2011. 3 The words initial/permanent were omitted 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. 4 Substituted for the words Regulation 7/ 7A 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 this, the words Regulation 7/ 7A substitut ..... X X X X Extracts X X X X X X X X Extracts X X X X
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