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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 ..... respects. 4. Answers must be typed. 5. Information which needs to be supplied in more details may be given on separate sheets which should be attached to the application form. 6. All signatures must be original. 1. Particulars of the applicant: 1.1 Name of Applicant : 1.2 (A) Address-Principal Place of business/Registered Office of the Company. Pin Code................................ Telephone No. .................................. Telex No. ..................................... Fax No................................. (B) Address for Correspondence : Pin Code................................ Telephone No. ................................ Telex No. ................................ Fax No. ................................ (C) Address of Branc ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 5 6 7 (b) Investment Adviser Name of client Year for which services are rendered Nature of services rendered (c) Underwriting Name of client Year of issue Type and Size of Issue Amount under- written %age of Issue underwritten Whether there was any development (d) Portfolio Management Name of Scheme Features of the Scheme Number of clients Total volume of funds managed Average returns (e) Consultants/Advisors to the Issue Name of the client Year of Issue Type and size of Issue Nature of services rendered Name of lead Merchant Banker(s) 4. Client information 4.1 List of major clients with address Name Services rendered ............................................................................................................................ ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 2. In case of partnership or proprietary concerns, please indicate the financial position, means and net worth of the partners. 5.2 Deployment of Resources (Rs. in lakhs) Year prior to the preceding year or current year Preceding year Current year (a) Fixed Assets (b) Plant Machinery and office equipment (c) Quoted Investments (d) Unquoted Investments (e) Details of Liquid Assets (f) Others (Details of investments, Loans Advances made to Associate Companies/Firms where Promoters/Directors have an interest be separately given). 5.3 Major Sources of Income: (Rs. in lakhs) Year prior to the preceding year or current year Preceding year *Fees charged as % of issue (a) Issue Management (b) Underwriting (c) Portfolio Management (d) Consultant/Ad ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ly for registration. I/We warrant that I/we have truthfully and fully answered the questions above and provided all the information which might reasonably be considered relevant for the purposes of my registration. I/We declare that the information supplied in the application form is complete and correct. For and on behalf of ................................................................................................................................................. (Name of Applicant) Director/Partner or sole Proprietor Director/Partner Name in Block Letters Name in Block Letters Date FORM B Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992 [ 4 [Regulation 8 / Regulation 8A]] 5 [Certificate of Registration] I. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... -07-2011. 2 Substituted for Application for Grant of Certificate of Initial/ Permanent Registration 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 Application for Grant of Certificate of Initial/ Permanent Registration were substituted for the words Application for Grant of Certificate / Renewal of Certificate by the Securities and Exchange Board of India (Merchant Bankers) (Amendment) Regulations, 2011 w.e.f. 05-07-2011. 3 Words Applied for :II/III/IV omitted by the Securities and Exchange Board of India (Merchant Bankers) (Amendment) Regulations, 1997 w.e.f, 9-12-1997. 4 Substituted for Regulation 8 by t ..... X X X X Extracts X X X X X X X X Extracts X X X X
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