Ref. No.: 3595/OTC/2004-05 Date: 20th December 2004 To: All Members/ Dealers Dear Sir, We are in receipt of a letter from National Securities Depository Ltd. regarding SEBI (Central Database of Market Participants) Regulations, 2003 (MAPIN Database). The same is reproduced below. You are requested to bring the same to the notice of your clients and ensure compliance of the same. Thanking you. Yours faithfully, For OTC Exchange of India R.Anand Asst. Vice President Encl: A/a National
Securities Depository Ltd. Trade
World, 4th Floor, Kamala Mills Compound,
Senapati Bapat Marg, Lower Parel, Mumbai 400 013 MAPIN
UIN- 100000018. Tel: 91-22-2499 4200, Fax: 91-22-2497 2993 /
2497 6351, e-mail : info@nsdl.co.in November 16, 2004 The Managing Director / CEO Dear Sir / Madam, Sub: SEBI (Central Database of Market Participants) Regulations, 2003 SEBI has notified SEBI (Central Database of Market Participants) Regulations, 2003 (MAPIN Database) on November 20, 2003 for creation of a central database of market participants and Investors and grant of Unique Identification Numbers [UIN]. These Regulations place a mandatory obligation on intermediaries and other entities under the jurisdiction of SEBI and specified investors to obtain UIN under MAPIN database. SEBI has issued a notification dated July 30, 2004 under the aforesaid regulations setting a deadline of December 31, 2004 for all bodies corporate (companies) that invest in securities to obtain UIN for themselves, their promoters and directors. As per the provisions of sub-regulation (2) of regulation 6 of the captioned regulations, with effect from January 1, 2005, no specified investor being a body corporate shall buy, sell or deal in any securities which are listed on any recognized stock exchange or in units of a mutual fund or a collective investment scheme or subscribe to securities which are proposed to be listed in any recognized stock exchange unless such specified investor, its promoters and directors have obtained UIN. The effect of this rule is that Corporate Investors need to obtain UIN if they want to invest in any securities / mutual fund whether through public offer or through the stock exchange. Further, SEBI has issued a notification dated September 28, 2004 setting a deadline of March 31, 2005 for all resident investors who enter into any securities market transaction (including any transaction in the primary market or secondary market in any listed securities and any transaction in units of mutual funds or collective investment schemes) of value of one lakh rupees or more to obtain UIN. SEBI has appointed NSDL as the service provider to create and maintain the MAPIN database. NSDL has appointed Points of service (POS) to receive applications, to capture photograph, fingerprint & signature, issue UIN and identity cards. Application forms, procedure for obtaining UIN, complete text of the Regulations and Notification cited above are available on NSDL websites https://mapin.nsdl.com and www.nsdl.co.in. It is desirable that you advise your clients to complete the process of obtaining UIN at the earliest to avoid last minute rush. For the convenience of your clients, a camp is being set up in your locality details of which are given in the enclosure. If they miss this opportunity of obtaining UIN when the POS is camping in your locality, they may have to travel out of the town/city for obtaining the same. Demand draft for Rs. 300/- drawn in favour of SEBI A/c MAPIN DATABASE has to be submitted along with each application form. In case any clarification is required, Mr. Abhijit Thombare or Mr. Anish Kumar may be contacted on phone no. 022-24994200 or on email abhijitt@nsdl.co.in or anishk@nsdl.co.in. Yours faithfully, Sd/- V.R.Narasimhan Sr. Vice President Encl: a/a Mumbai
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