SCHEDULE XXVII

[CL.16.3.2.1 (a)]

FORMAT FOR HALF YEARLY REPORT TO BE SUBMITTED BY MERCHANT BANKERS

(For the period ending September / March 199 )

  1. Name/Category of registration.
  2. SEBI Registration No.
  3. Name of the Compliance Officer.
  4. Addition / deletion / change in address etc. of branch offices from last submitted report.
  5. Change, if any, in constitution of the organisation (private limited, public limited, partnership, merges, acquisition etc.)
  6. Change, if any, in directorship details since the last report.
Name  Induction/

retirement/

resignation 

 

Reasons  Effective Qualification

Date

Brief Experience (in case of induction) Share in the company
           
           
           
           

 
  1. Change in the key management personnel since last report (since grant of registration in case of first report)
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
       
       
       
       

 

  1. New activities undertaken/discontinuation of any existing activities
Activity When commenced/ Object of the new activities/

discontinued reasons for discontinuation.
 
 

  1. Details of all pending litigations involving the merchant banker.
  1. Issue management activities (Attach separate sheet if required) :
Name of issuer Type of issue Instrument

Companies (public/rights/

composite)

Offer Amount Issue Price/ Issue opening

(Rs. In Lakhs) Conversion Price date

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
 
 

  1. Penalty/warnings given by SEBI, if any.

 
 
 
 
 
 
 
 
 
 
 
 

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)

  1. Changes, if any in major share holding (more than 5%)
Name of the Investment/ Percentage of

shareholder disinvestment total paid-up

capital

  1. Name of the major shareholders holding more than 5%.
  1. Any capital issue (rights or public) during the period. If yes, details thereof inclusive of status of complaints from investors and their redressal.
  1. Indictment or involvement in any economic offence by the merchant banker or their directors or principle officer, if any, during the period.
PLACE:

DATE: AUTHORISED SIGNATORY


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