Documents / Checklist for Authorised Person Registration as a Partnership Firm NSE

For Registration Fees details kindly refer Registration Fees Structureoption

Application Form of NSE

Certified true copy of Partnership Deed & Registrar of Firms Certificate

Undertakings from the applicant on its Letter-head

List of Partners on letter head as per exchange prescribed format – Annexure - 3

Member Authorised Person NSE Agreement (Refer note 1 & 2)

Sitting Authorised Person Undertaking (only applicable to Sitting AP, Refer Formats)

Minimum age requirement of the Applicant should be 18 years.

Age Proof (duly certified – by a C.A. / Notary)

  • Certified True copy of PAN Card (partnership firm as well as all the partners)

Minimum qualification required to become a AP is SSC passed

  • Certified true copy of qualification proof of all Partners

Certified true copy Address Proof (any one) (Refer Note 5 & 6)

For Partnership Firm / For All Partners (Residential)
  • Telephone Bill (not more than 2 months old)
/
  • Ration Card

  • Electricity Bill (not more than 2 months old)
/
  • Driving License (validity period check)

  • Nationalized Bank Statement (not more than 4 months old)
/
  • Nationalized Bank Statement (not more than 4 months old)

  • Passport (validity period check)

  • Voters Id

  • Telephone Bill (MTNL/ BSNL Landline) (not more than 2 months old)

  • Electricity Bill (not more than 2 months old)

Note:

  1. Franking of the Member – Authorised Person agreement will be done by HO.
  2. Three Signatures of Applicant are required on 1st Page & One Signature is required on all remaining pages of Agreement.
  3. All proof submitted should be duly attested by a C.A or a Notary.
  4. All certification by a C.A should consist of his signature, stamp & membership no.
  5. Don’t submit for joint a/c’s & without mentioning S/o, D/o, W/o, C/o.
  6. In case of Ration Card, Passport, Driving License & Voters id – [Pin Code is mandatory]
  7. In case of applicant is a Married female and there is change of name, then copy of marriage Certificate / affidavit duly attested by notary required as a supporting documents. (Refer Formats)
  8. Partnership Firm stamp required on signatory page

APPLICATION FORM SEEKING APPROVAL FOR APPOINTMENT OF AUTHORISED PERSON (INDIVIDUAL/ PARTNERSHIP FIRM/ CORPORATE) IN THE CAPITAL MARKET / FUTURES & OPTIONS / CURRENCY DERIVATIVES SEGMENT(S) OF NSEIL

To,

Membership Department

National Stock Exchange of India Ltd. (NSEIL)

Exchange Plaza, BKC, Bandra (East)

Mumbai 400051

Dear Sir/Madam,

I/We am/are a trading member in the Capital Market& Futures & Options segment / Wholesale Debt Market Segment of NSEIL having SEBI registration no. INB230901838 & INF230901838. In accordance with the Regulations of NSEIL, I/we am/are desirous of appointing the following person as our Authorised Person. The details of the proposed Authorised Person are as follows:

1. / Applicant Name (in capitals -expand all initials)
2. / Trade Name (in capitals)
3. / Segment (CM / F&O / CD) / CM & FO
4. / Partner Details:
Father’s Name
Date of Birth
PAN
Qualification
NCFM/NISM/BSE Certification No.
5. / Registered Office Address Details :
Address Line 1
Address Line 2
City
Pin code
STD Code
Telephone no.
Fax No.
Email Address
Mobile No.
Website, if any
6. / Partners Residential Address Details :
Address Line 1
Address Line 2
City
Pin code
STD Code
Telephone no.
Email Address
Mobile No.
7. / Name and Designation of Contact Person:
Contact No. of Contact Person:
8. / Details of Infrastructure(State whether the premises belongs to Trading Member /Authorised person):
Number of branch offices
Total area in sq. feet (of all main/branch offices)
Total No. of Dealers
Total No. of Terminals
Branch-wise details of Location, phone, telex and fax numbers
9. / Details of appointment of Authorised Person if already acting as such on any other segment of the Exchange or with any other stock exchange / Segment :
Code:
Stock Exchange:

I/We hereby submit Annexure 1 & 2 along with the certified true copy of agreement entered into between us and the authorised person as per the format prescribed by the exchange vide its circular no. 705 (download ref. no. 13601) dated December 3, 2009. Further, we are also submitting herewith the supporting documents with respect to the appointment of authorised person as per the exchange checklist provided in its aforesaid circular. I/We hereby agree to recommend the above mentioned applicant as authorised person having ensured that the applicant authorised person has met the requisite eligibility criteria of the exchange prescribed vide its aforesaid circular. In this regard, I/We authorise the stock exchange to debit an amount of Rs. 2280/- inclusive of service tax @ 14% in our Exchange Dues Account towards processing fees payable for application for appointment of authorized person in each segment i.e., Capital Market / Futures & Options / Currency Derivatives segment(s).

Yours faithfully,

X

Place:-

Date:-

Undertaking

(on the letterhead of the Authorised person)

We, M/s. ______(name of the applicant authorised member) had applied for appointment as Authorised Person of the Exchange on Capital Market / Futures & Options / Currency Derivatives Segment(s) through trading member, M/s. Emkay Global Financial Services Ltd.(name of the trading member). In this regard, we hereby confirm/undertake that:

  1. Neither we nor our partners have been convicted for any offence in the past and presently not under trial for any offence involving fraud and dishonesty.
  2. We will deal with investors on behalf of Trading Member only and that we would not engage in any activities with investors which could result in unauthorised intermediations.
  3. Neither we nor our partners are Authorised Person of any other member of the Stock Exchange nor have applied for appointment as Authorised Person with any other member of the Stock Exchange.
  4. We are not defaulter/expelled on any stock exchange.
  5. We are “fit and proper” person under SEBI (Intermediaries) Regulations, 2008 and no action has been taken against us by SEBI, RBI, etc. and we have not defaulted in payment to any agency.

Date: ______

Place: ______

* Name, Signature & Seal

*Should be signed by all the Partners of the Authorised Person.

Annexure - 3

DETAILS OF PARTNERS OF M/S. ______(APPLICANT AUTHORISED PERSON’S NAME) AS ON ______

No / Name $ / Partners
Name / Date of Birth / PAN No. # / Qualification / Residential
Address / Contact / Mobile
No. / Profit/Loss Sharing Ratio
1
2
3
4

NOTES :

$ All initials to be expanded (full name to be indicated)

Place:

Signature of Partner of the Authorised Person

With Stamp of the Authorised Person

CERTIFICATE

This is to certify that the details of partners in M/s. ______as given above, based on my/ our scrutiny of the books of accounts, records and documents is true and correct to the best of my/our knowledge and as per information provided to my/our satisfaction.

For (Name of Certifying Firm)

Name of the Partner/Partners

Chartered Accountant/Company Secretary

Membership Number

Date: