SCHEDULE
II
Securities and Exchange Board of
Office of investor assistance and education
Renewal
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 renewal 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
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Sr. no. |
Enclosed |
Tick if enclosed |
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Certified copy of the
Memorandum of Association/ Trust Deed (in case of any amendments only) |
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Certified copy of the last
years audited financial reports |
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Certified list of names and
addresses of all members (in case of any changes only) |
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Sample copies of publications,
if any. |
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Form
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Name of the Association |
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Address for communication |
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Organisation
a)
Office
Bearers: ( In case of any changes only)
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Name |
Designation |
Occupation/ Profession |
Remuneration in cash or kind received from the Association (p.a.) |
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b)
Has any of
the members of the governing Board/ Board been
i)
Awarded any
penalty by SEBI or Government Authority
__________________________________________________________________
ii)
Found guilty
of any economic offence or violation of any securities laws
__________________________________________________________________
c)
Membership
(last three years)
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YEAR |
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i)
Total number: |
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ii)
No. of members who are Body Corporate or Institutions |
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iii)
Brokers/ Sub-brokers |
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iv)
Members who are working for any company as lawyers,
solicitors, CAs, CSs,
Investment Advisors, Consultants or dealers in shares |
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v)
Non- profit organizations |
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d)
Is any
member of the Governing Board/ Management Committee/ Board of director or any
other office bearer registered with SEBI as an intermediary
e)
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?
________________________________________________________________________
b)
Whether the
audited annual accounts for the last three years are submitted?
________________________________________________________________________
Activities of the
Association
a)
Number of
shareholders’ conferences/ seminars organized during the last three years
________________________________________________________________________
b)
Investor
Grievances handled by the Association during the last three years.
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Received |
Settled |
Pending |
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Against Companies |
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Against Brokers |
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c)
Grievance redressal system of the Association
____________________________________________________________________________________________________________________________________
__________________________________________________________________
d)
House
journal/ publication for enhancing Investor Education
______________________________________________________________________________________________________________________________________________________________________________________________________
e)
Any other
Activities
____________________________________________________________________________________________________________________________________
__________________________________________________________________
f)
Whether
suits or proceedings are pending against the Association or any of its office
bearers/ members in any court
______________________________________________________________________________________________________________________________________________________________________________________________________
g)
Whether any
other changes, not already stated, effected in the information submitted at the
time of recognition?
______________________________________________________________________________________________________________________________________________________________________________________________________
h)
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
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President |
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Vice President |
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Secretary |
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Treasurer |
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Date: Place: |