[CL.16.3.2.1 (a)]
FORMAT FOR HALF YEARLY REPORT TO BE SUBMITTED BY MERCHANT BANKERS
(For the period ending September / March 199 )
Name | Induction/
retirement/ resignation
|
Reasons | Effective Qualification
Date |
Brief Experience (in case of induction) | Share in the company |
Name | Date of App./
Resignation/ Termination
|
Qualification | Experience |
8. Change including addition to/in associate concerns
Name of Co./ firm | Nature of change | Activities Handled | Nature of interest with Merchant Banker |
discontinued reasons for discontinuation.
Companies (public/rights/
composite)
Offer Amount Issue Price/ Issue opening
Issue Closing No. of times Functional date oversubscribed Responsibility
Stock Exchanges Reasons for delay First date of
where instruments in listing trading in
were to be listed respective SEs
Opening trading Current market Remarks
price at respective price
SEs
13. Underwriting activities
13.1 Total number of issues underwritten during the period.
13.2 Total amount underwritten during the period (Rs. In lakhs).
13.3 Outstanding underwriting commitment at the close of the period (Rs in lakhs).
13.4 Details of disputed/devolved cases
Sr.
No.
|
Name of the issuer | Instrument | Amount underwritten (Rs.in lakhs) | Amount devolved (Rs. in lakhs) | Devolvement met yes/no | If not met, the reasons thereof & how dispute was settled | Penalty / warning if any issued by SEBI |
14 Redressal of Investor Grievances
14.1 System of redressal of investor grievances ( a brief write up).
(i) Number of investor grievances received during the period.
(ii) Nature of grievances.
(iii) Number of grievances resolved.
(iv) Number of grievances pending.
(v) The date of oldest grievance.
15. Financial information
Capital Structure Year ended Previous
(Rs in lakhs) Year ended
(Rs. In lakhs)
i) Paid-up capital
ii) Free reserves
iii) Secured loan
iv) Unsecured loan
v) Others
TOTAL
i) Fixed Assets (net block)
ii) Quoted investment at cost/market price whichever is lower
iii) Unquoted investment
iv) Current assets
v) Misc. exp. not written off
vi) Others
TOTAL
(Please enclose the copy of latest audited financial results alongwith schedules)
shareholder disinvestment total paid-up
capital
DATE: AUTHORISED SIGNATORY