Brokers

Ref.: 2714/2004/CP/MDD/1292

September 30, 2004

 Dear Sir,

 You are aware 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, 2004 as per specified formats (formats can be downloaded from our website www.otcei.net):-

 

  1. Details of Directors as on 31/3/04 or any latest date. (please mention the age, education qualification, experience & email id)
  2. Shareholding Pattern as on 31/3/04 or any latest date.
  3. Details of Dominant Shareholders as on 31/3/04 or any latest date.
  4. Name of 2 qualifying Directors .
  5. Networth Certificate duly certified by CA as at 31st March, 2004 or any latest date
  6. *Audited Annual Report as at 31st March, 2004 (if you have not send  previous years annual report please submit the same also).
  7. Broker Database.
  8. 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. Please comply  with the requirement.

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.

  1. MAPIN no. as requires by SEBI vide circular no. MAPIN/Cir-01/2004 dated January 01, 2004.

 *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.

 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. 

 SEBI Registration Certificate Photocopy. (please ignore the same if it has been sent earlier)

 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, 2004.

 Thanking you,

 Your faithfully,

 

Ajay C Singhvi

 Asst. Vice President

All the members/Dealers who have already submitted the documents may ignore this circular.

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