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Ref.: 1393/2006/CP/MDD/0661
September 26, 2006
Dear
Sir,
You are aware
that all the members/dealers of the Exchange are required to submit certain
information/documents periodically.
You are once again requested to submit the following details/documents
on or before 31st October, 2006 as per specified formats
(formats can be downloaded from our website www.otcei.net
(broker:circular: 1393/2006/CP/MDD/0661)):-
- Details
of Directors as on 31/3/06 or any latest date. (please mention the
age, education qualification, experience & email id of each
director)
- Shareholding
Pattern as on 31/3/06 or any latest date.
- Details
of Dominant Shareholders as on 31/3/06 or any latest date.
- Names
of 2 qualifying Directors .
- Networth
Certificate duly certified by a practicing CA as at 31st
March, 2006 or any latest date
- *Audited
Annual Report as at 31st March, 2006. If you have not sent
the annual balance sheet for
previous years please submit the same also.
- Broker
Database.
- As
directed by SEBI all SEBI registered members/dealers are required to
maintain Base Minimum Capital (BMC) with the Exchange. You are
requested to refer to SEBI circular no SEBI/SMD/SE/Cir-24/2003/18/06
dated June 18, 2003 for the same and arrange to maintain a minimum BMC
of Rs. 1 lakh.
9.
Appoint and inform the name, address, email id & contact no. of
compliance officer, who shall be solely accountable for ensuring compliance
of all the statutory requirements of the member/dealer as may be prescribed
by the Exchange/SEBI from time to time.
*Audited Annual Report containing Auditor’s
Report, Director Report, Balance Sheet & Profit & Loss Account
& its annexures.
Individual/partnership
firm Dealers/members may please ignore point no. 1, 2, 3 & 4.
All
the members/Dealers who have already submitted the documents may ignore
this circular.
Please
note as per SEBI (Securities Exchange of India- Sub Broker) regulation 1992
Rule 4 (C) any change in the status & constitution of the stock broker
has to be intimated to SEBI and Exchange & prior approval
obtained.
We would also request you to keep us
updated/informed about any change in your status & constitution &
also keep us updated about your address, telephone no, fax no. & email id
for future correspondence. All the said information should reach us by
October 31, 2006.
Please note that non-compliance of above
requirements, will attract penalty. A copy of our penalty structure is
enclosed for your information.
Thanking you,
Your faithfully,
Certificate of Shareholding
Share
Holding Pattern of (name of Corporate entity) with Registered office at (address) as on
__________
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Sr. No.
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Name #
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No. of Shares held
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Amt. Paid up
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% of total
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1
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2
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3
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4
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5
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6
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7
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8
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9
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10
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Others@
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Total
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100%
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Notes:
# in
case of
·
Body corporate give similar details thereof separately
·
Partnership firm give names of all partners and the sharing
pattern
·
HUF give name of the Karta and names of all co-parsoners.
@
- Persons holding 2% or more of the paid up capital should be shown
separately and
not clubbed in Others.
Date
:
Place:
Signature
(s)
( Managing Director and Co. Secretary)
Certificate for “Dominant
Shareholding”
Submitted by (name of
Corporate Entity with Registered office at ) to OTC Exchange of India.
Details of Dominant Group as
on _____________________
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Sr.No.
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Name
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No. of
Shares @
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Total Amt. paid-up @
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% of
total @
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Self
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Relatives
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Total
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Self
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Relatives
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Total
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Self
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Relatives
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Total
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1.
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2.
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3.
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4.
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TOTAL
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Date:
Place Signature (s)
( Managing Director and Co. Secretary)
Notes:
@ - For arriving at the
shareholding of persons constituting the Dominant group the shareholding of
close relatives. namely parents, spouse,
children and their descendants, brothers and sisters may also be
counted provided such relatives give unqualified and irrevocable support in
writing (as per enclosed format) to the individual concerned in respect of
such shareholding.
UNDERTAKING FROM RELATIVES OF PERSONS
CONSTITUTING DOMINANT PROMOTER GROUP.
I, Mr./Ms./Mrs. ____________,
son/daughter/wife of Mr./Ms./Mrs. ____________, resident of
_____________________ am the absolute owner of _________(number) of shares
of Rs. ___ each, Rs. ____ per share paid up, which constitutes ________ %
of the total paid up capital of the company ___________________ as on date.
I state that I shall
irrevocably and unconditionally
support in respect of my shareholding, Mr/Ms./Mrs. __________, a shareholder in the
above-mentioned company. I further state that I have no objection to my
above mentioned shareholding being clubbed with the shareholding of
Mr./Ms./Mrs. _________________, who is my ________________ (give relation $
with the latter) for the purpose of determining the dominant promoter group
of the said company.
This support is irrevocable
and I also undertake to give prior information to the OTC Exchange of India
before selling or otherwise transferring any part or whole of my above
mentioned shareholding.
Signature
(s)
( Managing Director and Co. Secretary)
Witnessed by:
Signature:
Name:
Address:
Date:
$ - For arriving at the
shareholding of persons constituting the Dominant group, the shareholding
of close relatives, namely parents, spouse, children and their descendants,
brothers and sister only may be
counted.
Certificate dates ________200__ submitted by
_________________________ to OTCEI
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DETAILS OF DIRECTOR
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Name of the Corporate:_________________________________________________________
Registered
Office:______________________________________________________________
______________________________________________________________
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Sr. No.
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Name, Age
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Education
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Designation Since
@
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Experience No of years
#
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Shareholding
No Amt
% age of total
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Directorship/
controlling
shareholding in other Cos.
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1
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2
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3
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4
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5
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6
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Date:
________________
Place:
________________
Signature (s)
( Managing Director and Co. Secretary)
Notes:
@ : Chairman/Managing Director/Whole time
Director /Director
# : Give details of experience as broker,
sub-broker, authorised assistant, badge holders, remisier, etc...
Separately. Enclose Certificates/attested copies of proof of
education, age and experience.
Statutory Auditor‘s Certificate
I/We certify that the networth of
___________________________________________________ as on _____________ is
Rs. ___________(excluding value of Membership/Dealership/deposits with
OTCEI/other Stock Exchanges). Further the paid up Equity share capital of
the Company is Rs. ___________(lacs) as on ___________.
We also certify that ______________________________ is not engaged
in any fund-based activities or business other than that of securities.
Existing fund based assets, if any, have been divested from the books of
accounts and have not been included for the purpose of calculation of
networth.
Place: For:
(Name of statutory Auditor)
Date :
Name of the Chartered Accountant
Membership Number
* Multiple Status
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Y
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If Multiple Member
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N
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If not a Multiple Member
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** For example, BSE 01 &
NSE 23
DETAILS OF DIRECTORS/PARTNERS**
* Educational Qualification Code no.:
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1
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12th pass
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2
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Under Graduate
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3
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Graduate
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4
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Post Graduate
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9
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Not known
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