SECURITIES AND EXCHANGE BOARD OF INDIA
OFFICE OF INVESTOR ASSISTANCE AND EDUCATION
RENEWAL FORM FOR INVESTORS’ ASSOCIATIONS
General Instructions
- All items should be properly filled up / neatly typed.
- Supplementary details can also be given on separate additional sheets, if need be.
- SEBI may call for additional information on any aspect if required.
- SEBI reserves the right to reject any application or cancel any recognition in its own discretion without assigning any reason there of.
- Submission of this form does not in any way guarantee recognition by SEBI
- 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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Enclosed |
Tick if enclosed |
| 1 |
Certified copy of the Memorandum of Association/ Trust Deed (in case of any amendments only) |
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| 2 |
Certified copy of the last years audited financial reports |
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| 3 |
Certified list of names and addresses of all members (in case of any changes only) |
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| 4 |
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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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)
| 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
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?
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 |
| 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.
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Name |
Signature |
| President |
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| Vice President |
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Secretary |
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| Treasurer |
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| Date: |
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Place: |