9911796707
TMI BlogApplication Form for Grant of Certificate of Registration as Foreign Institutional Investor(FII) [See regulation 3(2)]X X X X Extracts X X X X X X X X Extracts X X X X ..... Mutual Fund Endowment Investment Trust Foundation Bank Charitable Trust Charitable society Insurance/Reinsurance Company Foreign Central Bank Foreign Governmental Agency Sovereign Wealth Fund International/Multilateral organization/agency Broad Based Fund (only if it does not satisfy any other category) (Please state the corpus of the fund, Generic type and Number of investors in the fund along with their respective proportionate holdings in a separate annexure in the following format) Sr. No. Generic Type of Investors No. of Investors Percentage of Holding Total Corpus of the Fund 2.2 If the applicant is not a fund: Asset Management Company Institutional Portfolio Manager Investment Manager/Advisor Trustee of a Trust 3. Classification of the applicant: 70:30 (Equity: Debt) 100% Debt 4. Details of Regulatory authority by which the applicant is regulated 4.1 Contact details: Name Country Web-site 4.2 Registration Number/Code: 4.3 Please mention briefly the activities which the applicant is permitted to undertake under the registratio ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ts, is complete and true. Undertaking: We undertake to: 1. notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided in the application promptly. 2. comply with the provisions of the Act, and regulations issued there under and all other relevant laws including guidelines issued by the Reserve Bank of India and the Government of India. 3. abide by operational instructions/ directives as may be issued by Securities and Exchange Board of India and by the Reserve Bank of India from time to time under provisions of the Act or any other law for the time being in force. 4. be held responsible and liable for all acts of commission and omission of all its sub-accounts and other deeds and things done by such sub accounts under these regulations, irrespective of whether discretion is exercised by us in respect of the sub-account. For and on behalf of applicant ____________________________________________ Signature of Authorized Signatory Name Designation Date dd/mm/yyyy Notes: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant r ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ng format) SrNo. Generic Type of Investors No. of Investors Percentage of Holding Total Corpus of the Fund 2.3 In case of Foreign Corporate please specify the name of the Exchange/s where the applicant is listed: 2.4 In case of an Foreign Individual applicant, please specify the nationality and passport no. of the applicant: Nationality Passport No. 2.5 Classification of the applicant: 70:30 (Equity: Debt) 100% Debt 2.6 If the applicant is applying as a Proprietary fund of the FII, whether such funds would be invested through Multi-Managed Structure? Yes No 3. Details of the taxation authority 3.1 Name and Address of the tax Authority where the applicant is subject to taxation: 3.2 Unique Taxation-Id/Number (if any): 4. Details of domestic custodian and designated bank appointed in India 4.1 Details of the domestic custodian: Name SEBI Reg. No. 4.2 Details of designated bank: Name of the Bank Branch Address 5. Declaration to be furnished by the Foreign Institutional Investor A. We declare that: a. no winding up orders have been passed against the applicant. b. no order suspending or debarring the applicant from permanently carrying on activities in t ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ts under these regulations, irrespective of whether discretion is exercised or not by the foreign institutional investor in respect of the sub-account. e. the above obligation of the foreign institutional investor shall, however, not be deemed to detract from any responsibility or liability which the sub account shall incur under the Regulations made by the Board or under any law for the time being in force in India. 2. We hereby agree and declare that the information provided and the undertakings given above are complete and true. 3. We further undertake that we will immediately notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided. Authorized Signatory of the Sub Account Applicant Authorized Signatory of the Foreign Institutional Investor Name: Name: Date: Date: Note: 1. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Applications along with necessary documents should be submitted at Securities and Exchange Board of India, Division of Foreign Institutional Investors Custodians, Plot ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... tee Power of attorney holder Any other, please specify 2.3 Details of the broad-based funds on whose behalf the applicant proposes to invest in Indian Securities markets : Name of the fund/s Category (e.g. Mutual fund, Pension fund) Country of incorporation/establishment 3. Details of regulatory authority by which the applicant is regulated /with whom the applicant is registered. 3.1 Contact details: Name Address Country Postal Code Telephone no Fax No Web-site E-mail address 3.2 Please mention briefly the activities which the applicant is permitted to undertake under the registration/license granted by the regulatory authority as indicated in Item No. 3.1 @: @ (for the applicants falling under item no. 2.2) 3.3 Registration Number/Code (if any): 3.4 Period of registration (if any): Perpetual Fixed Validity, if yes then give details: From: dd/mm/yyyy To: dd/mm/yyyy 3.5 Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant, or its parent / holding company or affiliate may have been subjected to economic or criminal liability or suspended from carrying out ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... (ii) Audited financial statements/ annual report for the previous financial year, (period covered shall not be less than twelve months) (iii) Draft of US $ 5000 in favor of Securities and Exchange Board of India payable in New York. 2. Applications along with necessary documents should be submitted at * SECURITIES AND EXCHANGE BOARD OF INDIA, Division of FIIs Custodians, Mittal Court B Wing, 1 st Floor, Nariman point, Mumbai-400021. 3. Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) reserve the right to call for any further information from the applicant regarding his application. 2. Substituted by the SEBI (Foreign Institutional Investors) (Amendment) Regulations, 2008, w.e.f. 22- 5-2008. Prior to substitution Form AA read as under: Form AA Application Form for Grant of Certificate of Registration as Sub account (SA) [See regulation 12(1)] PART - I (For the applicants under category broad-based fund and proprietary fund of the FII ) 1. Details of the applicant: 1.1 Name of the applicant: 1.2 Date of incorporation/establishment: 1.3 Legal form of the applicant and the law under which it is incorporated, established or registered, if any: 1.4 Place of ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... s been undergone or paid. B. Undertakings (i) In case the client / sub-account is a broad based fund: We undertake that the proprietary funds of name of the FII (give name of the Foreign Institutional Investor) shall not be invested through _______ (give name of the applicant). OR (ii) In case the client / sub-account is a proprietary fund of the Foreign Institutional Investor: We undertake that only the proprietary funds of the name of the FII shall be invested through _______ (give name of the applicant). C. Further declaration and undertaking: 1. We further declare that: (i) the Foreign Institutional Investor through whom an application for registration of sub-account is made is authorized to invest on behalf of the sub-account; (ii) the income of the applicant is from known and legitimate sources; (iii) the applicant is not a non-resident Indian or an overseas body corporate. 2. We hereby agree and declare that the information provided and the undertakings given above are complete and true. 3. And we further undertake that we will immediately notify the Securities and Exchange Board of India and the Reserve Bank of India of any change in the information provided. For and on beh ..... X X X X Extracts X X X X X X X X Extracts X X X X
|
