DOCUMENTS REQUIRED ALONG WITH APPLICATION FORM FOR INDIVIDUALS

Transcription

1 DOCUMENTS REQUIRED ALONG WITH APPLICATION FORM FOR INDIVIDUALS 1. Identity proof 2. Address proof 3. Self attested copies of the qualification certifications. This is required as proof for meeting the eligibility criteria. It is recommended to get experience certificate from your employer, if any. 4. Copy of assets and liabilities statement and certification of net tangible assets certified by a chartered accountant. Make sure that the certificate is not more than six months old at the time of filing of application. Please note that membership number of the Chartered accountant must be included in the certificate. 5. Copy of Income tax return / Form 16 for the last 3 years 6. A credit report/ score from CIBIL 7. Declaration that you are fit and proper persons based on the criteria as specified in Schedule II of the Securities and Exchange Board of India (Intermediaries) Regulations, 2008 (Format of declaration is 8. Declaration that a. you comply with the qualification requirements under regulation 7 b. you will comply with Chapter of III of the Regulations c. you have the necessary infrastructure to effectively discharge the activities of research analyst

2 DOCUMENTS REQUIRED ALONG WITH APPLICATION FORM FOR COMPANIES 1. Shareholding pattern 2. Profile of all the directors 3. Identity proof and address proof of all the directors 4. Self attested copies of the documents related to qualification and certification of representatives. It is recommended to get experience certificate from your employer, if any. 5. Declaration that a. The research analysts employed, comply with the certification and qualification requirements under Regulation 7 b. It shall ensure that its representatives comply with the certification and qualification requirements under Regulation 7 at all times. c. the company shall comply with Chapter of III of the Regulations. d. It has the necessary infrastructure to effectively discharge the activities of research analyst 6. Net worth certificate by a chartered accountant, not more than six months old. Please note that membership number of the chartered accountant must be included in the certificate 7. A credit report/ score from CIBIL 8. Declaration that the representatives are fit and proper persons based on the criteria as specified in Schedule II of the Securities and Exchange Board of India (Intermediaries) Regulations, (Format of declaration is

3 DOCUMENTS REQUIRED ALONG WITH APPLICATION FORM FOR PARTNERSHIP FIRM / LIMITED LIABILITY PARTERSHIP (LLP) 1. Name and beneficial ownership pattern of the partners engaged or proposed to be engaged as research analyst. 2. Identity proof of such partners 3. Address proof of such partners 4. Self attested copies of the documents related to qualification and certification of partners. It is recommended to get experience certificate from your employer, if any. 5. Copy of assets and liabilities statement and certification of net tangible assets of the partnership firm certified by a chartered accountant, not more than six months old. Please note that membership number of the chartered accountant must be included in the certificate 6. A credit report/ score from CIBIL 7. Declaration that the partners are fit and proper persons based on the criteria as specified in Schedule II of the Securities and Exchange Board of India (Intermediaries) Regulations, (Format of declaration is 8. Declaration that a. The partners currently comply with the qualification requirements under regulation 7 b. It shall ensure that the partners comply with the certification and qualification requirements under Regulation 7 at all times. c. The firm shall comply with Chapter of III of the Regulations d. It has the necessary infrastructure to effectively discharge the activities of research analyst

4 (on the letterhead of the applicant) DECLARATION FOR FIT AND PROPER PERSON I hereby declare that I am a fit and proper person as per Schedule II of SEBI (Intermediaries Regulation) 2008 with: (a) integrity, reputation and character; (b) absence of convictions and restraint orders; (c) competence including financial solvency and networth <name of the applicant / representative / partner> Date: Place:

5 (on the letterhead of the applicant) DECLARATION STATEMENT I / We hereby agree and declare that the information supplied in the application, including the attachment sheets, is complete and true. AND I / we further agree that, I/we shall notify the Securities and Exchange Board of India immediately any change in the information provided in the application. I / We further agree that I / we shall comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Research Analyst) Regulations, 2014, guidelines / instructions as may be announced by the Securities and Exchange Board of India from time to time. I / We further agree that as a condition of registration, I / we shall abide by such operational instructions / directives as may be issued by the Securities and Exchange Board of India from time to time <name of the applicant> Date: Place: