Section 20(1) in Securities Contracts (Regulation) Rules, 1957
(1)A Collective Investment Management Company (CIMC) which is desirous of getting its any collective investment scheme listed on a recognised stock exchange, shall apply for the purpose to the stock exchange and forward along with its application the following documents and particulars :(a)Certificate of incorporation, memorandum and articles of association of the company and the copy of the trust deed of the scheme intended to be listed.(b)Copies of all prospectuses or statements in lieu of prospectuses issued by the company at any time.(c)Copies of offers for sale and circulars or advertisements offering any unit or other instrument for subscription or sale during the last five years, or in the case of a new company, such shorter period during which the company has been in existence.(d)Copies of balance sheets and audited accounts for the last five years, or in the case of a new company, for such completed financial year for which accounts have been made up.(e)A statement showing,-(i)returns and cash bonuses, if any, paid during the last ten years (or such shorter period as the company has been in existence whether as a private or public company);(ii)returns or interest in arrears, if any.(f)Certified copies of agreements or other documents relating to arrangements pertaining to each scheme of the company with or between,-(i)vendors and/or promoters;(ii)underwriters and sub-underwriters;(iii)brokers and sub-brokers.(g)Certified copies of agreements pertaining to each scheme of a company with-(i)selling agents and other service providers;(ii)managing directors and technical directors;(iii)general manager, sales manager, manager or secretary.(h)Certified copies of every letter, report, balance sheet, valuation contract, court order or other document, part of which is reproduced or referred to in any prospectus, offer for sale, circular or advertisement offering units or any other instruments of the scheme for subscription or sale, during the last five years.(i)A statement containing particulars of the dates of, and parties to all material contracts, agreements (including agreements for technical advice and collaboration), concessions and similar other documents (except those entered into in the ordinary course of business carried on or intended to be carried on by the company) together with a brief description of the terms, subject-matter and general nature of the documents pertaining to such scheme.(j)A brief history of the Company since its incorporation giving details of its activities including any re-organisation, reconstruction or amalgamation, changes in its capital structure (authorised, issued and subscribed) and debenture borrowings, if any, and the performance of other collective investment schemes of the company.(k)Particulars of units of the scheme and/or shares, debentures of the company issued(i)for consideration other than cash, whether in whole or part, (ii) at a premium or discount, or (iii) in pursuance of an option.(l)A statement containing particulars of any commission, brokerage, discount or other special terms granted to any person pertaining to such scheme.(m)Certified copies of-(i)certificate of registration granted by the Securities and Exchange Board of India;(ii)acknowledgement card or the receipt of filing offer document with the Securities and Exchange Board of India;(iii)agreements, if any, with any public financial institution as specified in section 4A of the Companies Act, 1956 (1 of 1956).(n)A list of the highest ten holders of units of each scheme of the company as on the date of application along with particulars as to the number of units held by and the address of each such holder.(o)Particulars of units of the scheme for which permission to deal is applied for :Provided that a recognised stock exchange may either generally by its bye-laws or in any particular case call for such further particulars or documents as it deems proper.
