9911796707
TMI BlogPeriodic reporting format for Research Analysts and Proxy AdvisersX X X X Extracts X X X X X X X X Extracts X X X X ..... f the RA Regulations, all the provisions of Chapter II, III, IV, V and VI shall apply mutatis mutandis to the proxy advisers (PAs). It has been decided to specify a standardized format for periodic reporting for RAs and PAs. 2. SEBI has recognized BSE Limited as Research Analyst Administration and Supervisory Body ("RAASB") for the purpose of administration and supervision of RAs under regulation 14 of the RA Regulations. Consultative process for development of periodic reporting format 3. Based on the recommendations received from Industry Standards Forum ("ISF") for RAs (including PAs), a consultation paper on 'Periodic reporting format for Research Analysts and Proxy Advisers' was published on August 9, 2024 and was open for public co ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ued in exercise of powers conferred under Section 11(1) of the Securities and Exchange Board of India Act, 1992 read with Regulation 14, Regulation 23(1) and Regulation 24(4) of the RA Regulations to protect the interests of investors in securities market and to promote the development of, and to regulate the securities market. 9. This circular is available on SEBI website at www.sebi.gov.in under the categories "Legal > Circulars", "Info For > Research Analysts". Yours faithfully, Aradhana Verma General Manager Tel. No: 022-26449633 E-mail: [email protected] Annexure I Periodic Reporting Format for Research Analysts Table-1 General Details of Research Analyst (RA) for the Half year ended on ……&hellip ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Officer Name Date of Birth (DD/MM/YYYY) Mobile Email id 20 Details of Managing Director/Managing partner Name PAN Date of Birth (DD/MM/YYYY) DIN (not applicable for partnership) Mobile Email id 21 Details of other directors/ partners (List of directors/partners) Director-1/ Partner-1 Director-2/ Partner-2 Director-3/ Partner-3 Name PAN Date of Birth (DD/MM/YYYY) DIN (not applicable for partnership) 22 Shareholding Pattern (provide details of shareholders having a holding of 10% or more) Shareholder1 Shareholder-2 Shareholder3 Name of shareholder Number of shares % of shareholding 23 Total number of persons employed as 'Research Analyst' (please refer to the def ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... earch Analyst (RA) for the Half Year ended on ………………(DD/MM/YYYY) Sr. No. Particulars Complaints received through SCORES Complaints from other sources Total 1 Number of complaints pending at the end of previous half yearly period (a) 2 Number of complaints received during the period (b) 3 Total number of complaints resolved during the period (c) 4 Total number of complaints pending at the end of the period (a+b-c) = (d) 5 Ageing details of complaints pending at the end of the period Total number of complaints pending for up to 21 days (a) Number of complaints pending from 22-90 Days (b) Number of complaints pending for more than 90 Days (c) 6 Average Co ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ellip;(DD/MM/YYYY) Sr. No. Particulars Details 1 Registered Name (As per SEBI registration certificate) 2 Trade Name/ Brand Name 3 Permanent Account Number (PAN) 4 SEBI Registration No. 5 Logo (if any) Yes/No 6 Date of Incorporation (Date of Birth for individual PA) (DD/MM/YYYY) 7 Legal Structure of PA 8 Registered Office Address 9 Correspondence Address 10 Address of Principal place Of business 11 Number of branches 12 Addresses of Branches (provide details of all branches) 13 Total no. of Employees as on last date of the reporting period 14 Official Website Address 15 Provide Details of Bank accounts used for receiving fees from clients (provide details of all such bank a ..... X X X X Extracts X X X X X X X X Extracts X X X X
|
