SCHEDULE I

Securities and Exchange Board of India

Office of investor assistance and education

Recognition form for investors’ associations

General Instructions

1. All items should be properly filled up / neatly typed.

2. Supplementary details can also be given on separate additional sheets, if need be.

3. SEBI may call for additional information on any aspect if required.

4. SEBI reserves the right to reject any application or cancel any recognition in its own discretion without assigning any reason thereof.

5. Submission of this form does not in any way guarantee recognition by SEBI

6. Please be brief while providing your remarks/ comments in the space provided in the form.

Please ensure the following enclosures before submission/ mailing

Sr. no.	Enclosed	Tick if enclosed
	Certified photocopy of the certificate of registration/ incorporation
	Certified copy of the Memorandum of Association/ Trust Deed
	Certified copy of the last three years audited financial reports
	Certified list of names and addresses of all members
	Certified copy of the resolution passed to approach SEBI for recognition
	Sample copies of publications, if any.
	Filing of any supplementary documents

Form

Name of the Association

Address for communication

Constitution Society/ Trust/ Company

Registration No. and date of registration under

i) Societies Registration Act/ Companies Act

If constituted in the form of trust indicate the name of the settler of the Trust, Date of Trust Deed and date of registration of the deed.

Contact persons name and address

Organisation

a) Office Bearers:

Name

Designation

Occupation/ Profession

Remuneration in cash or kind received from the Association (p.a.)

b) Management of the Association is entrusted upon (Governing Board/ Committee etc.)

c) Number of members in the above board

d) How are they elected or appointed or nominated

(from among whom and how)

e) Frequency of elections

f) Has any of the members of the governing Board/ Board been

i) Awarded any penalty by SEBI or Govt. authority

ii) Found guilty of any economic offence or violation of any securities laws

g) Membership (last three years)

i) Total number:

ii) No. of members who are Body Corporates or Institutions

iii) Brokers/ Sub-brokers

iv) Members who are working for any company as lawyers, solicitors, CAs, CSs, Investment Advisors, Consultants or dealers in shares

v) Non- profit organizations

h) Is any member of the Governing Board/ Management Committee/ Board of director or any other office bearer registered with SEBI as an intermediary

i) Is any member of the Governing Board/ Management Committee/ Board of director or any other office bearer a director (other than independent professional director) on the board of any body corporate.

Financial Information

a) Whether the books of accounts and the financial statements of the Association are ‘audited’ every year? if yes, mention the name, address and qualification of the Auditor.

b) Sources of funds (last three years)

i) Membership fee

ii) Annual subscription

iii) Any other fee

iv) Any other income (specify source and nature)

c) Uses of funds

i) Administrative Expenses

– Salaries and Wages

– Stationary and Postage

– Miscellaneous

ii) Expenses on Seminars, meetings and other events

iii) Other expenses

d) Excess of income over expenditure

Mark the relevant portions in the Memorandum of Association and put under Flag A

Activities of the Association

a) Objectives of the Association :

b) What is the objective of the association in seeking recognition from SEBI?

c) Number of shareholders’ conferences/ seminars organised during the last year

d) Whether representatives of the Association are sent to attend shareholders’ meetings of companies

e) Whether the Association handles Investor Grievances? (if yes, the number of grievances received and settled during the last one year)

	Received	Settled	Pending
Against Companies
Against Brokers

f) Grievance redressal system of the Association

g) House journal/ publication for enhancing Investor Education

h) Any other Activities

i) Whether suits or proceedings are pending against the Association or any of its office bearers/ members in any court

j) Whether the Association agrees to abide by the rules, regulations and/ guidelines framed by SEBI from time to time for its effective functioning and better discipline?

Certified that the information given above and also in the Annexures/ enclosures are true to the best of our knowledge. We hereby agree to comply with the conditions stipulated by SEBI and also not to carry out any activity in contraventions of Securities Contract (Regulation) Act, 1956 ,Securities and Exchange Board of India Act 1992, and rules, regulations, and circulars and notifications made there under or any other law in force.

Name Signature

President

Vice President

Secretary

Treasurer

Date: Place: