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Securities And Exchange Board Of India - Section

Section 0 in Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993

0. Business Information

7.1Indicate type of activity carried on/ proposed to be carried on.
7.2Indicate the facilities for making decision on portfolio investment.
7.3[* * *] [Omitted by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.]
7.4Enclose a copy of list of approved share brokers, involved for Portfolio Management [* * *] [Omitted 'scheme' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.] activities and state whether any of them were suspended/had defaulted with any Stock Exchange authority.
7.5Describe Accounting system followed/to be followed for Portfolio Management Services [* * *] [Omitted '(Clientwise and Schemewise)' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.].
7.6Indicate various research & database facilities provided.
8.0Experience
8.1Experience in Portfolio management activities. Indicate period also.
8.2Experience in other financial services rendered: (Period, Area and Date of Commencement of Activity).
8.3Business handled during the last year:
(a)Portfolio Management
(Discretionary Nature) For Resident/Non- Resident Individual Client Corporate Client
1. Types of services offered      
2. No. of portfolio clients      
3. Total amount of funds managed      
4. Average size of portfolio      
5. Average return to the client      
6.[* * *] [Omitted 'Average period of Portfolio Management Schemes' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.]      
(Non-Discretionary Nature) For Resident/Non- Resident Individual Client: Corporate Client:
1. Types of services offered      
2. No. of portfolio clients      
3. Total amount of funds managed      
4. Average size of portfolio      
5. Average return to the client      
6.[* * *] [Omitted 'Average period of Portfolio Management Schemes' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.]      
(b)Only Portfolio Advisory Services
(Indicate for both Resident/Non-resident clients)
(c)List of Clients (Corporate clients only)
Name Amount of portfolio Fund managed Services Rendered
Declaration[This declaration must be signed by two directors,] [Substituted 'This Declaration must be signed by two Directors, Two Partners or the Sole Proprietor, as the case may be' by the SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.]
______________________________________________________________________________________________________________________________
I/We hereby, apply for Registration. I/Wewarrant that I/We have truthfully and fully answered thequestions above and provided all the information which mightreasonably be considered relevant for the purposes of my/ourregistration.
For and on behalf of
______________________________________________________________________________________________________________________________
(Name of Applicant)
_______________________________________________________ ______________________________________________________________
Director/[* * *] [ Omitted '/Partner or Sole Proprietor' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.] Director/[* * *] [Omitted '/Partner or Sole Proprietor' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.]
_______________________________________________________ __________________________________________________
Name in Block Letters Name in Block Letters
_______________________________________________________ __________________________________________________
Place: Place:
Date: Date:
Form BSecurities and Exchange Board of India (Portfolio Managers) Regulations, 1993[Regulation 8]Certificate of RegistrationI. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the regulations made thereunder for the portfolio managers the Board hereby grants a certificate of registration to _____________ as a portfolio manager subject to the conditions in the rules and in accordance with the regulations.II. Registration Code for the portfolio manager is PM / /III. [This certificate of registration shall be valid till it is suspended or cancelled by the Board.] [Substituted for the words 'Unless renewed, the certificate of registration is valid from ______ to _______.' 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.]Place:Date:[Form C] [Inserted by the SEBI (Portfolio Managers) (Amendment) Regulations, 2002, w.e.f. 11-10-2002.]Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993[Regulation 14]_______________________________________________________(Name of the Portfolio Manager)_______________________________________________________(Address of the Portfolio Manager (including phone numbers, fax, email etc.)We confirm that:
(i)the Disclosure Document forwarded to the Board is in accordance with the SEBI (Portfolio Managers) Regulations, 1993 and the guidelines and directives issued by the Board from time to time;
(ii)the disclosures made in the document are true, fair and adequate to enable the investors to make a well informed decision regarding entrusting the management of the portfolio to us / investment in the Portfolio Management [* * *] [Omitted 'Scheme' by SEBI (Portfolio Managers) (Amendment) Regulations, 2008, w.e.f. 11-08-2008.];
(iii)the Disclosure Document has been duly certified by an independent chartered accountant (Indicate name, address, phone number and registration number of the chartered accountant)on ________ (date).
(Enclose a copy of the chartered accountants' certificate to the effect that the disclosures made in the document are true, fair and adequate to enable the investors to make a well informed decision)Date:Signature of the Principal OfficerPlace:Name and address of the Principal Officer