SEBI UPDATE
Enhanced Supervision of Stock Brokers/Depository Participants
SEBI issued a Circular providing the Guidelines for Enhanced Supervision of Stock Brokers/Depository Participants. The Guidelines include the nomenclature for bank accounts and demat accounts which is to be uniformly followed, a Sophisticated alerting and reconciliation mechanism for monitoring the Client’s Funds, Changes in the existing system of internal audit for stock brokers/depository participants and Imposition of uniform penal action in the event of non-compliance with specified requirements. It further requires Stock Exchanges/Depositories to disseminate the information provided in the Circular on their website, make necessary amendments for attaining uniformity and communicate to SEBI the status of implementation in their Monthly Development Reports.
Formats
- Advertisement for change of registered office of the company from one state to another
- Affidavit - For dispensation of meeting of unsecured creditors
- Affidavit - No Prosecution, Litigation pending against the Company- Shifting of Registered office
- Affidavit by Subscribers confirming Non-acceptance of Deposit
- Affidavit by the First Directors confirming Non-Acceptance of Deposit
- Affidavit for Non-Retrenchment of employee and delivery of application- Shifting of Registered office
- Affidavit in terms of Rules - Shifting of Registered Office from one state to another state
- Affidavit proving dispatch, service and publication of Notice- shifting of Registered office
- Affidavit verifying Petition - Shifting of Registered Office
- Affidavit verifying list of Creditors-shifting of Registered office
- Annual Report on CSR Activities
- Application for Creation of ISIN for dematerialization of Debt Securities - NSDL
- Application for Creation of ISIN for dematerialization of Equity Shares - NSDL
- Application for Striking off the name of the Company
- Application for dematerialization of Debt Securities with NSDL after allotment of Debt Securities
- Application for dematerialization of Equity Shares with NSDL after allotment
- Application of Transmission of Shares
- Appointment Letter for appointment of Cost Auditors
- Appointment Letter for appointment of First Auditors
- Appointment Letter for appointment of Subsequent Statutory Auditors
- Appointment Letter of Internal Auditors with scope of work & terms
- Appointment cum Engagement Letter of Secretarial Auditors
- Authority Letter - Consolidated Stamp duty for Debentures
- Authority Letter- consolidated stamp duty for Equity Shares
- Bid document - Appointment of Secretarial Auditors
- Certificate by CS / CA confirming the return filed in Form ECB-2
- Compulsory Convertible Debenture Certificate
- Consent Letter by Auditors to act as Cost Auditors
- Consent Letter by Auditors to act as Statutory Auditors
- Consent Letter by Secretarial Auditor
- Consent Letter by the Buyer for acquisition of Shares / CCD / CCPS from a person resident in / outside India - FC-TRS
- Consent Letter by the Seller for Sale of of Shares / CCD / CCPS to a person resident in / outside India - FC-TRS
- Debenture Application Form
- Declaration by Non-Resident Indian in respect of acquisition of Shares / CCD / CCPS - FC-TRS
- Directors Report of Private Limited Company
- Directors Report of Public Limited Company
- Due-Diligence Report to Bank for Loan Disbursement
- FC-GPR Certificate in respect of allotment of Shares / Debentures to person resident outside India
- FC-GPR Certificate issued in respect of allotment of Shares / Debentures pursuant to Scheme of Merger / Amalgamation
- FC-GPR Certificate issued in respect of allotment of Sweat Equity / ESOP