9911796707
TMI BlogApplication for Grant of Certificate of Initial/ Permanent Registration as ParticipantX X X X Extracts X X X X X X X X Extracts X X X X ..... tory in which it is acting as participant, who shall forward 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 regulations. iv. Application for grant of 3 [certificate of initial or permanent] registration, as the case may be, will be considered 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 these regulations ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... olio]Investors, Portfolio Managers, Non-Banking Finance Companies, Stock Brokers, Corporates, Individuals, or for own account). 4. Please give the name and SEBI registration number of the depository in which the applicant is to act as participant. 5. 5 [ *** ] 6. Please state whether the applicant, his partner, 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 any time has been found guilty of any economic offence. 7. Please also state whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... each depository in which it has such shareholding and whether any shareholding is proposed to be acquired in the depository through which this application is being made. 15. Please enclose a copy of an undertaking from the depository in which the applicant is to act as participant that : (a) the applicant is eligible to act as participant in the depository through which this application is being submitted to SEBI, and meets with the eligibility criteria for participants specified in these regulations and in the depository s bye-laws; (b) the applicant has adequate automatic data processing systems, adequate and competent staff, risk management systems, procedures and manuals, disaster recovery procedures, secure data storage and off site ba ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ace: *********** 1 Substituted for regulation 16 by the SEBI (Depositories and Participants) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 2 Substituted for the words Application for grant of certificate of registration as participant , ibid. 3 Substituted for the words registration as participant or renewal of such , ibid. 4 Substituted for Institutional by the SEBI (Depositories and Participants) (Second Amendment) Regulations, 2016, w.e.f. 7-3-2016. 5 Omitted by the SEBI (Depositories and Participants) (Amendment) Regulations 2014 w.e.f 24.12.2014. Prior to omission, it read as under: 5. Please indicate the names and SEBI registration numbers of all other depositories in which the applicant is acting as participant and the applicant s ..... X X X X Extracts X X X X X X X X Extracts X X X X
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