Bankers to Issue - How to Apply - Additional Information
Additional Information Sheet (AIS) for registration / renewal as Bankers to an Issue
(to be submitted alongwith the application for registration / renewal)
Please read the instructions carefully before filling up the Additional Information Sheet (AIS).
1.
Fill in all the particulars as are applicable clearly. Vague replies should not be given.
2.
The AIS should be complete in all respects and all answers must be typed / printed.
3.
Provide certified true copies of appropriate supporting documents in the form of annexures wherever
required and the same should be appropriately numbered and flagged.
I GENERAL INFORMATION:
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Name of the Applicant
Registration no., if renewal
Validity of registration, if renewal
Status of the applicant
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(Nationalized Bank, Private Bank, Foreign Bank,
Scheduled Co-operative Bank etc.)
Details of Promoters
Names of Directors
Whether activity is permitted by MoA / Statute /
Bye-Laws
Details of the applicant and its associates’ registrations with SEBI:
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Name
II COMPLIANCE:
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Relation with applicant
Regn. No.
Validity
Nature of activity
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Details of any disciplinary proceedings including
enquiry / adjudication / consent / prosecution or
any other action (suspension / debarment etc.) /
adverse comments (warning / caution) initiated
by / pending with SEBI against the applicant, its
group entities and / or any of its Promoters,
Directors and Key Management Persons.
Completed Actions:
a). Against applicant
b). Against associates and group entities
c). Against promoters, directors and key
management persons
Pending Actions:
a). Against applicant
b). Against associates and group entities
c). Against promoters, directors and key
management persons
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Details of the corrective measures taken
pursuant to actions taken by SEBI including
enquiry / adjudication / consent / prosecution or
any other action (suspension / debarment etc.) /
adverse comments (warning / caution) etc. (only
in respect of completed actions).
If the applicant has furnished the corrective
measures to SEBI earlier on any occasion, only a
copy of the earlier letter may be enclosed.
Details of the registration of the applicant, its
a). In India
group entities and / or any of its Promoters,
Directors and Key Management Persons with
any other regulatory agency in India or abroad
b). Abroad
Details of any disciplinary proceedings initiated a). In India
by / pending with any other regulatory authority,
in India or abroad, against the applicant, its group
entities and / or any of its Promoters, Directors
b). Abroad
and Key Management Persons.
Whether any person directly or indirectly
connected with the applicant (as associate,
subsidiary, inter-connected or group company of
the applicant) has been refused registration by
SEBI under the SEBI Act, 1992.
Details of any complaints / litigations pending
against the applicant, its group entities, its
promoter(s) or director(s) and key management
person(s) as on date in respect of their activities
in the securities market.
Whether the applicant has complied with the
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SEBI (Bankers to an Issue) Regulations, 1994
Whether the applicant has complied with the
terms and conditions mentioned in the
registration letter (for renewal cases only)
Whether applicant has submitted all quarterly
reports (for renewal cases only)
III OTHER INFORMATION:
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Compliance Officer:
a). Name
b). Qualifications
c). Experience
d). Contact No. (direct no. & mobile no.)
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e). Email id
Details of Principal Officer under Anti Money
Laundering Guidelines
Designated email id:
a). for investor complaints
b). for regulatory communications
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(refer to SEBI circulars dated January 22, 2007
and July 07, 2008)
Details of the public / rights issues for which the
applicant acted as Banker to an Issue in the last
three years (for renewal cases only)
Details of fees/dues pending to SEBI from:
a). applicant / group companies registered with
SEBI
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b). sub-brokers affiliated to the applicant / group
entities registered with SEBI as stock broker
Details of non-refundable application fees to be
paid alongwith the application for registration /
renewal (refer to Schedule II of the SEBI
(Bankers to an Issue) Regulations, 1994) :
a). D.D. No.
b). Date
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c). Drawn on (name of Bank)
IV
UNDERTAKINGS (to be signed by the Compliance Officer):
1. An undertaking whether the applicant, its group companies, its promoter(s) or director(s) and key
management person(s) was/were/has not at any time been involved in any litigation connected with the
securities market which has an adverse bearing on the business of the applicant or convicted by court for any
offence involving moral turpitude or fraud or has been convicted of any economic offence.
2. An undertaking whether any convictions or restraint orders have been passed against the applicant, its group
companies, its promoter(s), director(s) and key management person(s).
3. An undertaking whether any orders under the Insolvency Act have been passed against the applicant, its
group companies, its promoter(s), director(s) and key management person(s).
4. An undertaking as to whether the applicant has adequate Infrastructure like adequate office space,
equipment, manpower and adequate investor grievance redressal system in place to effectively discharge its
activity as a Banker to an Issue.
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ENCLOSURES:
1. Certified true copy of the relevant part of the MoA / Statute / Bye-Laws permitting the applicant to undertake
BTI activities.
2. Certified true copies of appointment letter, latest month’s pay slip and PAN Card of Compliance Officer.
3. Certified true copy of acknowledgement letter from FIU as regards appointment of Principal Officer under Anti
Money Laundering Guidelines.
4. Certified true copies of PAN Cards of the applicant and its Promoters, Directors and Key Management
Persons.
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