Letter of Representation for Depository Participants
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1 Letter of Representation for Depository Participants To 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. b. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Depository Participant; 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; e. we have no pending assignments/mandates as a Depository Participant; f. all our client accounts have been transferred to another registered Depository Participant i.e with Registration No. ; g. 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.)
2 Letter of Representation for Banker to an Issue 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. a. no complaint/disciplinary proceeding is pending against us; b. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Banker to an Issue; 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; e. we have no pending assignments/mandates as a Banker to an Issue.
3 Letter of Representation for Debenture Trustee Sub: Surrender of Certificate of Registration as Debenture Trustee of, Registration No.. 1. We hereby surrender our certificate of registration as Debenture Trustee. b. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Debenture Trustee; 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; e. all our current assignments as a Debenture Trustee have been either duly terminated or transferred to another registered Debenture Trustee with registration no. ; f. 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); g. we have notified the Depositories and all the stock exchanges where our client companies are listed about the surrender of our registration.
4 Letter of Representation for Merchant Banker Sub: Surrender of Certificate of Registration as Merchant Banker of, Registration No.. 1. We hereby surrender our certificate of registration as Merchant Banker. b. no investigation / inquiry by SEBI is pending against us with respect to our activities as a Merchant Banker; d. 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; e. we have no pending assignments/mandates as a Merchant Banker. (Whole time/managing Director)
5 Letter of Representation for Registrar to an Issue / Share Transfer Agent 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. b. no investigation / inquiry by SEBI is pending against us with respect to our activities as a RTI/STA; 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; e. all our current assignments as a RTI/STA have been transferred to another registered RTI/STA with registration no. ; f. 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); g. we have notified the Depositories and all the stock exchanges where our client companies are listed about the surrender of our registration.
6 Draft Letter of Representation for Underwriter Sub: Surrender of Certificate of Registration as Underwriter of, Registration No.. 1. We hereby surrender our certificate of registration as Underwriter. b. no investigation / inquiry by SEBI is pending against us with respect to our activities as an Underwriter; 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; e. we have no pending obligations/mandates as an Underwriter.
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