 U.P.C.
Ref.: 1945/2003/CP/MDD/0923August 27, 2003
Dear Sir, You are aware that all the members/dealers of the Exchange are required to submit certain information/documents periodically. Please submit the following details/documents on or before 15th October, 2003 as per specified formats (formats can be downloaded from our website www.otcei.net):-
*Audited Annual Report containing Director Report, Balance Sheet &
Profit & Loss Account etc. Individual/partnership firm
Dealers/members may please ignore point no. 1, 2, 3 & 4. 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 15, 2003. Thanking you, Your faithfully, Ajay C Singhvi Asst. Vice President Certificate of Shareholding Share Holding Pattern of (name of Corporate entity) with Registered office at (address) as on __________
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 _____________________
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
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. NETWORTH
CALCULATION
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
**
For example, BSE
01 &
NSE 23 DETAILS
OF DIRECTORS/PARTNERS**
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