Letter of Representation for Depository Participants

To

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

 

Sub: Surrender of Certificate of Registration as Depository Participant, _______of M/s.  _______, Registration No.   .

 

1. We hereby surrender our certificate of registration as Depository Participant.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint /disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Depository Participant;
  3. as on date of application, we have paid all fees;
  4. we shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Depository Participant) Rules and Regulations, 1996 that have taken place before our surrender of certificate of registration;
  5.  we have no pending assignments/mandates as a Depository Participant;
  6. all our client accounts have been transferred to another registered Depository Participant i.e _______ with Registration No._________ ;
  7. we have issued a public notice in a widely circulated national and a vernacular daily dated________ informing surrender of our registration as Depository Participant.(Please enclose a clipping of the said public notice.)

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

 

Thanking you,

 

Yours faithfully,

 

 

Name:

(Whole time/Managing Director/Principal Officer)

 

* Please strike off, if not applicable.



 

Letter of Representation for Banker to an Issue

 

To,

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

 

Sub: Surrender of Certificate of Registration as Banker to an Issue of  , Registration No.   .

 

1. We hereby surrender our certificate of registration as Banker to an Issue.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint/disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Banker to an Issue;
  3. as on date of application, we have paid all fees;
  4. we shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Banker to an Issue) Rules and Regulations, 1994 that have taken place before our surrender of certificate of registration;
  5. we have no pending assignments/mandates as a Banker to an Issue.

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

 

Thanking you,

 

Yours faithfully,

 

Name:

(Whole time/Managing Director/Principal Officer)

 

* Please strike off, if not applicable.


Letter of Representation for Debenture Trustee

 

To,

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

 

Sub: Surrender of Certificate of Registration as Debenture Trustee of  , Registration No. __   .

1. We hereby surrender our certificate of registration as Debenture Trustee.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint /disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Debenture Trustee;
  3. as on date of application, we have paid all fees;
  4. we shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Debenture Trustee) Rules and Regulations, 1993 that have taken place before our surrender of certificate of registration;
  5. all our current assignments as a Debenture Trustee have been either duly terminated or transferred to another registered Debenture Trustee _____ with registration no.___ ;
  6. we have issued a public notice in a widely circulated national and a vernacular daily dated________ informing surrender of our registration as Debenture Trustee (Please enclose a clipping of the said public notice);
  7. we have notified the Depositories and all the stock exchanges where our client companies are listed about the surrender of our registration.

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

 

Thanking you,

 

Yours faithfully,

 

Name:

(Whole time/Managing Director/Principal Officer)

 

* Please strike off, if not applicable.



Letter of Representation for Merchant Banker

 

To,

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

Sub: Surrender of Certificate of Registration as Merchant Banker of  , Registration No.    .

1. We hereby surrender our certificate of registration as Merchant Banker.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint /disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Merchant Banker;
  3. as on date of application, we have paid all fees;
  4. We shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Merchant Bankers) Rules and Regulations, 1992 that have taken place before our surrender of certificate of registration;
  5. we have no pending assignments/mandates as a Merchant Banker.

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

Thanking you,

 

Yours faithfully,

 

 

Name:

(Whole time/Managing Director)

 

* Please strike off, if not applicable.


 Letter of Representation for Registrar to an Issue / Share Transfer Agent

 

To,

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

Sub: Surrender of Certificate of Registration as Registrar to an Issue / Share Transfer Agent (RTI/STA) of  , Registration No.    .

1. We hereby surrender our certificate of registration as RTI/STA.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint /disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as a RTI/STA;
  3. as on date of application, we have paid all fees;
  4. we shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (RTI/STA) Rules and Regulations, 1993 that have taken place before our surrender of certificate of registration;
  5. all our current assignments as a RTI/STA have been transferred to another registered RTI/STA __________ with registration no. __________;
  6. we have issued a public notice in a widely circulated national and a vernacular daily dated________ informing surrender of our registration as RTI/STA.(Please enclose a clipping of the said public notice);
  7. we have notified the Depositories and all the stock exchanges where our client companies are listed about the surrender of our registration.

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

 

Thanking you,

 

Yours faithfully,

 

 

Name:

(Whole time/Managing Director/Principal Officer)

 

* Please strike off, if not applicable.

 


Draft Letter of Representation for Underwriter

 

To,

 

Securities and Exchange Board of India

Mittal Court, ‘B’ Wing

Nariman Point

Mumbai 400 021

 

Dear Sir,

 

Sub: Surrender of Certificate of Registration as Underwriter of  , Registration No. _________  .

1. We hereby surrender our certificate of registration as Underwriter.

2. We enclose the original certificate of registration (or indemnity in case the certificate is lost or stolen) for cancellation.

3. We hereby confirm that:

  1. no complaint /disciplinary proceeding is pending against us;
  2. no investigation / inquiry by SEBI is pending against us with respect to our activities as an Underwriter;
  3. as on date of application, we have paid all fees;
  4. we shall continue to be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Underwriter) Rules and Regulations, 1993 that have taken place before our surrender of certificate of registration;
  5. we have no pending obligations/mandates as an Underwriter.

*4. We hereby request SEBI to dispense with the procedure laid down in Regulation 16(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 while processing our request for surrender of certificate of registration.

 

Thanking you,

 

Yours faithfully,

 

 

Name:

(Whole time/Managing Director/Principal Officer)

 

* Please strike off, if not applicable.