SCHEDULE II

Securities and Exchange Board of India

Office of investor assistance and education

Renewal 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 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

Sr. no.

Enclosed

Tick if enclosed

  1.  

Certified copy of the Memorandum of Association/ Trust Deed (in case of any amendments only)

 

  1.  

Certified copy of the last years audited financial reports

 

  1.  

Certified list of names and addresses of all members (in case of any changes only)

 

  1.  

Sample copies of publications, if any.

 

 


Form

Name of the Association

 

Address for communication

 

Organisation 

   a)        Office Bearers: ( In case of any changes only)

Name

Designation

Occupation/ Profession

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

 

 

 

 

 

 

 

 

 

 

 

 

   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)

 

YEAR

 

 

 

      i)        Total number:

 

 

 

    ii)        No. of members who are Body Corporate 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

 

 

 

 

   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.

 

 

Received

Settled

Pending

Against Companies

 

 

 

Against Brokers

 

 

 

 

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

President

Vice President

 

Secretary

Treasurer

Date:                                                                                       Place: