Government of Pakistan SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN Intamabued, 28 July, 2017 NOTIFICATION SRO, _ZOS _{I¥2017.~ In‘exefeise of the powers conferred by sub-section (1) oF sestion 2 read with section 455 of the Companies Act, 2017 (XIX of 2017), the Securities and Exchange Commission of Pakistan is pleased to notify the following [ntermediaries (Registration) Regulations, 20077, the sare having beex previous published vide natificetion S. R, © 424 (12017 dated June 0S, 2017, namely: CHAPTER | Preliminary 1. Short title and commencement. = (1) ‘These Regulations shall be called the Inenmedi {Registation) Regulations, 2017 (2) They shall came into foree-on August (4, 2017 2, —_Definitians, ~ (1} In these regulations, unless shere is anything repugnant in the subject or context (“act ans the Companies Act, 2017 (XIX of 201 7%; (li) “annexure” means a form attached to these Regulations; ry" means @ person registered by the Commission under these regulations anil who is authorieed by a eompany oF promaters of a proposed company of a foreign company under en agreement for filing of documents on their behalf in pursuance of the Ast; “authorized intern: {ivy “Commission” means the Securities and Exchange Commission of Pakistan established under the Soourites and Exchange Commission of Pakistan Act, 1997 (XLI of 1997); 1m" means & practicing firm oF management ennssltants, financial consultants, eorparate consultants or tax practitioners; fission under these (si) registered intermed regulations; means a person registered by the Com (v8) “regulations” means the Intermediaries (Registration) Regulations, 2017. (2) Words and expressions used bur not define in these Regulations shall have the same meaning pe assigned to them in the Act, the Securities and Exchange Commission af Pakistan Act, 1997, the ited Liability Partnership Act, 2017, and any rules made theneu nde Pepe d of 18z CHAPTER TL Registration of Intermediary Eligibility: requirements for registration. — (1) An Individual or fem of a timited Viability partnership or a company may apply to the Conimissinn for registration as an Intermediary for Ps aw w iid) wy) ww (ii) ing services in terms of section 453 af the Act ifthe applicant, - in case of an individu ras (a) is holding valid cerstieats ef practice from Institute of Chartered Accou of Pakistan ICAP): oF (b) is Holding valid certificate of prmetice fn: Avcountants of Pakistan(JCMAP); oF (e) ‘8 a practicing member of Association of Chartered Certified Acenuntanss (ACCA), Cenified Public Accoustiit (CPA) . Cemified Mansgement Accountant (CMA) of recognize foreign aecpurtaney organization as notified by the Comitnissian; or (4) is holding 11.1 degree and duly licensed by the eoncemed Bar Council; ot (e} _ isholding Mastors of Business Adminiseation with specialization in Finance, Masters of Commerce and Masters of Law with atleast two years of experience in handling corporate affairs; or (8 possess eny other qualification as notified by the Commission. astute of Cost ancl Management in ease of a company or &firm or a limited liability purtwership, it shalt nave a leest one year of experience in handling corporate fairs: Provided thet where al least one diveetor of the eomnipany’o# partner of the fie or limites liability partnership rvet the qualification and experience mentioned in clause (i) above, tw prior experience shall be requlred for the company or frm or ‘inited ability partnership: jartners of the firm or limited liability parmership or emplayess(1e witorn embers of any ets outlines the individual, functions af intermediary are delegated) of the company who ure professional institute are compliant with the Continuous Learning require by the relevant institutesbodyt bas a National Tax Number; has un established office in Pakissan with adequate physics! inffastrictore including felephnne/mobile phone facility and a valid email address: his informational wechaology infrasitueture complying sith the follow requirements incase the authoriees intermediary utilizes eeservices Sicily of the (Commission {a} A minimum of two computerslaptops in ease of on individual and five omputersilaytogs in ease ara fm ility partnership a company having coinpatibility with the e-services system of the Commission, (b) Broazband [ntemet IP connectivity, Is) Rependatle Power Supply arrangements; (a) Printers and searmers and fe) Trained staf for operating the system; the individuel or the partners ofthe ftm oi Himited liability partaership or the directors oF the company have not been sndiseharged insolvent; Page 2 of 8(iif) the individual or the partners ofthe firm or limited Viability partnershipor the direciors of the company have mot heen corivieted by « court of few for an effence involving moral turpitude; and fix) the individual of the partners of the fiten or limited Tiability partnership or the directors of the eamspany have not heen convicted of any offence uncle the Pukistin Pen Code, (2) All individuals, firms er ect panties alreedy engayed by the companies, promoters of the opased companies or foreign companies, as the case may be, for filing of dacuments an their betel prior to the notification of these regulations shall obtain certificate of registration within three months of coming into force of these regulstinns (3) Affer the period of three months of coming into force of these regulations aly authorized intermedisries shall be eligible to provide services in terms of section 45S af the Act. Provided thet an individual or firm registered es an into a company er limited liability: parmers| Commission, jermediary under these reputation shall convert p within such time as may be notified by the Application procedure for registration, - (1) An applisation for registration us an jermediary shell be made fo the Commissine as per Ammexure-T ulong with non-refundable fee as specified in Schedule-1 and requisite documents. (2) The Commission, while considering the application for registeatlon may require the tupplicunt tu furnish such other informetinn ar elarifieation as i! deems appropriate. (3)__Any subsequent change in the information pravided se zhe Commis: of application under sub-regulation (1) shall be intimated to the Cummission days from the date of'such change on Anmexure-1. the tine oP iin a period of seven Grant of certificate of registration. - (1) The Commission on beinw sis fied thi eligible for registration may gratt a cerificate of re subject to such additional eosditions as it eaay deem fit te applicant, tration! (a Uke applicant as per Annexure-I pose, (2) The cerificwts of registration shall be limited to the the Camamission of the registrar concerned and shall not nlernediary Oras providing aay eseogaition at any cualificy sthorization foe tiling of documents sgarded as conferring « license on the ion of the frtermectiary (3) The certificate of registration shell retain valid for'@ nering af three years fom the date oF revistralion unless it i8 cavieelled earlier by the Commission, based on the grounds provided under zegulation 8 6. Renewal of registration, -(1) A registered interiediery shall, one month prior to the date af expity of its registration, apply ta the Commission as per Annexure ITI for renewal of with a non-refundable fee as specified in Schedule 1 registration along, (2) The Commission upon being sutisCied, after making suck inquiry and obtaining such futher information as it may consider necessary that the applicant is eligible for renewal of registration rant a certificate of renewal of reylstration to the applicant as per Annecuee TV subject to scklitional conditions us it mey deem fit 4a impase Provided that Sl sucl time the tegistration is renewed, the existing registration shall he decmed valid Toor the pusposes of these Regulctions unless the registered Imermediary failed tu apply as specified in Pape 3 of 18suniision for the sub-regulation (1) above and FuLfl all the requirements to fen of the Ce renewal of registration, Provided further that ifthe registered intermediary fails to wpply within the specified time period and fails to fala all the requizements to the satisfaction of the Cominission, its registration shall stand cancelled in accordance with regulation § and Coninission may initiate funher proceedings to give effect to cancellation, 7. Refusal of registration. - (1) The Commission may refuse the rogistmation‘rencwal of registration on any grounds as mestioned below: (i) the applicam falls to mec tke eligibility requietents mentioned in reguiation 3, Iii) the quality af services rendered hy the applicant are unsatisfactory; (ii) the companies have filed written ennpiainss against the applicant (iv) any other ground as deemed appropriate hy the Commission: Provided that the Commission shail afford un opportunity of hearing before refuse of reyistzaiton 8. Cancellation of registration, - (1) The Commission may, sfler provieing un uppartuning, of heering. cance! the registration of an intermediary thraugh un Onder in writing if = i) the imermedisry has provided fale, incomplete or misleading documents o representation without authorization, he intermediary is fauna! guilty of negligence, default, breach of daly or breach oF ust, (iii) the imeemediary fails to commence activity within twelve months of grant of eenificale of registration (iv) the intermedingy falls to apply for eexisteation ws required in regulation 9 or renewal of fogistation within time as specified i, subregulation (1) of regultion 6: or (¥) any reasonable ground as deemed appropricte hy Commission (2) The intermediary shall he personally held responsible for the liabilities end vbligstions arising owl of any such act leading to eencellation of registration and shall not be eligisle for re registration for a period of up to five years. (3) Where proceedings thy eanceltation of registration have been initiated, the intennediary shall not be permitted te submit any éucument on behalf of the compuny or promoters al « proposed ‘company or foreign company, as the case may be, anid they shall make alternate arrangement in this regard 9, Fresh application in ease of chang or directors of a compan partners af'a Firm o: ed lability partnership cease there is w change tn the parizers-a€ the fen or fimited tiabiliy partnership or directors of the company. they shell Ge fresh appli ning information only 0 athe extent of new partners or directars within seven days of such change as per regulation 4 ubove subject to fulfilmen’ of eligibility criteria specified in negulation 3 CHAPTER IM Appointment or remaval of Authorized Intermediary 10, Appolotment of authorized intermediary.- (1) The promoters ofthe propased coxnpany oF the eoipany with the approval ofits Bard of Directors or the foreign company with the approval of principal officer, as the case may be, shall appoint only onc registered intermediary Wo ast us an suthorized intermesiary for filing of documents eecuined under the Act om its bebal Page of 18Provided that in case proceedings for cancellation of rexistrition of authorized intermediary have been iated by the Commissien, the company or the promoters of the proposed campany or the foreign eampany, as the case may le, muy uppdint chethet registered intermediary to act as an authorized intermediary, Provided further that (he wulhoriged imermediory shall euthorize anly one employce or pariner oF director, as the ease may be, to sign doevinents en Behalf wha company ar promoters af proposed ampany or foreign company, as the-cave may be, 12) ‘The promoters of the proposed company oF the compiny the foreign eompany, as the tease muy be, shal enter into a written agreement with the authorized imtennediary which shall sct ait in sufficient details the rights, obligetions and liabilities of each party tothe agreement enc shal) cove, if minimum the following aspects (i) Names of promoters and their CNICH hame of authorized intermedi ation; ne of company and its registration nurnber, ts registewtion number and validity of certfiente of i) tu be provided by the authorized intermedia (ai) 1 uf documents required under the Act, (iv) sights, obligations and liabilities of each party (v) term of agreement and pravision of renewal, any: (vi) conditions, under whieh the sereement may be aliered, termined and implications thereo! (a) Voluntury/onandlatory termination by the company:toreign company (b) Votuntaryimandatory termination by the authorized interitediar (6) Mandatory termisatian in case of cancellation ur expiry of certificate of registration of authorized intermediary (vil) nature, quantum and.manner of tees andl charges for which the authorized intermediary (vill) authorization for filing and signing of doewments on eb uf the compet ‘of propoted company foreig company; ase the intermeddiayy is a firm limited liability partiesstitp-or company, the de ‘of employee of the authorized intermediary io whom the functions are delegated: (s) Confidentiality obligations ar proteetion ut in formation by the authorized intermediary (xi) Governing lawijurisition, which poverns the agreement ‘promoters Ga) (3) The agreement shat! be maintsined by the company or foreign company in Its record for ingpection by audiors and the Commission, The Commission may ay any time demand to furnish copy sreomrens, Fit and Proper criteria for employees of authorized Intermediary.-The authorized intermediary shall ensure that the cmployses to whom it has delegated. its Functions shall meet the co its fursct 12, Remaval of suthorized intermediary... The authorized insermedisry may be removed on termination of agreement referred in clsuise (wi) of sub-regulation (2) of regulation 10 by the company with the pprovel af Board or foreigs company with the approval of principal afficer. 13, Renewal of agreement with authorized intermedlary.- The contract with the autharized intermediary may cithee be renewed as per the existing agreement or decided a5 per fresh auroement. 14, Notive to the registrar.-(1) The campany or promoters of propased company or company’ as te vise my be, shall give notice to the regislrar as per Annexure ¥ alone with fi Page S of 18authorized intermediary ot filing of first document through authorized Iniermediary whichever is catlier: Provided further that any change in the employee or partner nz director of the intermediary, authorized te sium documents shall be notified by the carnpany or tite foreign eompany, asthe case may be, 10 the ropistruras per Annexure V along with filing fee as specified in Sehedule I within seven dayxofchunge or Bling of first document through person authorized to sign the document on their behall, whichever is sarlisr. (2)‘The company or the foreign company, us the ease may be, shall yive notice to the registrar us per Annexure VI ulong vith filing, fee ax specified in Schedule T within seven cays of removel of authorized intermediary, The company ar the foreig> company’ as the case may’ be, shall ensure that no document is (sd on its behalf by tke auihor'zed intermediary till notice fs given to the registrar inthis regard. ssion, ~The Commission shall maintain a # 1S, Maintenance of record by the Con registered intermediaries us pec Aanexure VIL CHAPTER TV Dutiss und responsibilities of intermediaries 16, Canduet of intermediaries.-(1} The autharized {nie-mediary ad is eimployees to whom it has delegated the fumction shall (i) act with due core, skill and diligence én carrying our their duties und responsibilities, (li) sure that the documents filed on behalf of company or promtoters of ¢ company or foreign company complies with the requirements of the Act and other applicable laws; (ili) ensure that proper eecord of documents fled on behalf of company or promoters af the proposed conipainy or foreign company is maintained iv) ensure eantidential ity of documents and information filed promoters of the propose] company or foreign eompeny; (0} Maintain the record of agreement between the compa company ot foreign company andthe authorized inermed chek of the company or promoters of the proposes ry and any changes therein. The auth tw whom it ‘rized intennediany shall be respansible for the acts und omissions of all Jegated its Functions asan authorized intermediary (3) The repistered intermediary sll! ensure compliance with the Continuous Professional Development Caurse-on sn snau hasis as notified by the Commission (8) The Commission or the registrar, as the ease may bo; may call upon och inforrnation of explanstion in writing, oF such in the notice. On resvipt af the notice, the repistersd salion or ducurments as reyuined. intermediary through & written netise to fur Svithin such dogume Imermediary shal as may be speci sh such information, ex; (5) "The registered iniertiediary shall comply with the directions one instruction, issued from time to time, by the Cantinission or regisime, failing which penel action mey be initiced CHAPTER V Miscellancous 17, Conduct of company, promaters and foreign company: (1) The company or promoters of a Page 6 of 18proposed company or a foreign company shall ensuts that the documents are filed by the authorized Intermediary on their behalf with their prior knowledge and consent. (2) The company or promoters of the proposed company or foreign ecmpary shall be ‘responsible for the actsand amissions on part af zutharized intermediary regarding filing of decumeats under the Act 13. Penalty for contravention of these regulations.- Whoever falls vr refuses to earsply with. or contravenes any provision of these regulations, shall be liable to a pens (2) of section $12 of the Act, ity as provided in sub-section Page # of 18Annexure! Intermediaries (Registration) Regulations, 2017 jSce Regulation 4] APPLICATION FOR REGISTRATION AS AN INTERMEDIARY HINDIVIDUAL| tne Seourities & Exchange Commission of Pakistan, NIC Build Dear Sit, , Jintan Avenue, Isiematad, 1, hereby apply for registration as en intermediary within the meaning of Section 455 af the Act 2 Thereby fuenish the following information, - Name (in block tenters) Father’ siHfusband’s name:(in block letters) CNIC#Passport Number (Attach Copy) National Tax Number Consaet Detatis a Official Address >, Residential address Land line number a Coli number Email ‘VIL Academic qualification VIL Professional qualification WIIL Period af employmentiexperienes in bundling eorporate matters, if ony IX, Number ef corporate matters handled during the last six montis, if ay: & Handled independently by, Under Supervision [insert name of sxpervisor) XX. Certified copies ef eduessional certificates, vilid certificate of peactice for [CAP, JOMAP members, professional membership tor CMA, ACCA and GPA members, foreign accounteney organization and Rar Couneit license X1. Detuiled resume XIL Details of informational vechrlolngy infrastructure available af the office, where applicable 3. Atvaffidavit tevanding fitness ané propriety es per Annexune-A is enclosed 4. Originst peid bank challan evidencing payment uf registration fee as specified in Schedule L of the Regulations is enclosed. Signature _ Namis of the A pplicaal Office Address Date Page @ of 1aAnnexure Intermediaries (Registration) Regulations, 2017 [Sce Regutution 4] APPLICATION FOR REGISTRATION AS AN INTERMEDIARY [FIRM Limit 1) LIABILITY PARTNERSHIP/COMPANY} he Seouritics & Exchange Commission of Pakistan, ‘NIC Building, Jinnah Avenue, Islamabad Deer Sir, We, hereby apply for registration ac.an imormediary within the meazing. of Section 455 of the Act 2. We hereby ish the following information 1, Name of Fin/Campany/imited lisbility partnership. H Registration No/CUIN/LLPIN (Attach copy of Reg:stration certificate, in case of Firm), HM, Notional Tax Niimber. TY, Address of main and bratch offices (it any). ¥, Details of informational techaology infrastructure available atthe effice, where applicable, MIL Details of Directors ar Partners (in ease at Fiery Limited liability partnership): aN by. Fath ne (in block fetiers) uusband name (in block: letters) € CNIC/Passpain Number (Attach Copy) Postal address Land line number Cell gumber g Email Academie qualification i. Professional qualifiea J. Period of emplaymen:‘cxperience in handling corporate matters, iP any k. Centfied copies of educational eertifiestes, valid certificate of practise for ICAP, membership far CMA, ACCA and CPA membs tnd Ber Couneil lieense. VIL ‘Detailed resume of the firm: limited liility portnership‘company highlighting experience ‘of cach parizenmanagerent of company in handling corporate affairs VIL. Details {name and CNIC) of employees working in the firm/companystimited Tatility partershin wha would provide services on their Dehalf along with arTidavits stating that they nre compliant with the eriteria specitied in the Regulations, 3. Affidavits regarding finess and_propr partnership'directors af Company (as the exse-r ‘of cacti partners of Firm or Limited liability a per Annexure-A is enclosed 4. Original paid buck challan evidencing payment of registration ee as soecified in Schedule | of the Regulations is enclosed ‘ume of the Applicant Office Address Date Pages of 18Annexure: AFFIDAVIT Before the Seeuritics und Exchange Commission of Pakistan 1, (name of individual/partner of finn o¢ limited linbility. permership{director of the company) sontdaughtecfwife ( fathervhusbund amie), resident of __ and holding CNICAPassport nas-under that b= No , do hereby state on solemn affirm 1. Amel ble Wu act 4s 6 registered intermediary aecording to the criteria specified in the Regulations. hereby eanfire s'the contents of Lhe application und the dozuments submitted to the Commission for registration a an intermediary under Section 45S of the Act are true and correct to the best of our knowledge und belief und nothing has been caaealed therein; have no objection ifthe Commission tequests-or obtains information abou, me Trem any tied partys 4. undertake 10 bring to the attention of the Commission any matter which may potentially affeet my stanus a registered intermediary according to the criteria specified in the Regulations; Lindieriake 10 provide an authority letter in my fivar fom the company, promotes of the company or foreign company, as the cise may be, on whose betull | om subwnirting the documents, as und when demanded by the Commission DEPONENT Deponsnt is identified by me Signature ADVOCATE (Name and Seal) Soleranly affirmed before me om thi doy of by the above named Deponeal win is en fed to me By . Advouite Signature an OATH COMMISSIONER FOR TAKIN AVIT (Name and Seal) Page 10 of 18Annexure-II Intermeiiaries (Registra ) Regulations, 2017 [see Regulation 5] SECURITIFS AND EXCHANGE COMMISSION OF PAKISTAN CORPORATIZATION AND COMPLIANCE DEPARTMENT. Registration Nu. CCD- Islamabad, Dated: CERTIFICATE OF REGISTRATION AS AN INTERMEDIARY (Section 45 af the Companies Act. 201°") The Sect ties and Exchange Commission of Pakiste having considered the application for registration as ah intermediary submitted hy Mr/Mis, (Namcef'the applicant) under sup-repilatian (1) of regulation 4 of the Intermediaries (Registration) Regulations, 2017 (Regulations) and on being satisfied wath the ssid application, hereby grants certificate of registration in the mame of (Namie of the applicant) in exercise af powers eanferred under sub-regulation (1) of tegulelion 5 ofthe Regulations. This registration is-valid for @ period of three years wc. Approving Authority ed to the authort Disclaimer; The certificate of registrarian shall bet tion for ling: of doctavents with dhe Commisston or the registrar concerned and shalt nat he regarded ax eanferring, a icanse cn the registered inuermedtary ep a providing any recognition nf any qualification of the reiony. registered! inte Page 11 ofaAnnexure -ILL Intermediaries (Registration) Regulations, 2017 [see Regulation 6] APPLICATION FOR RENEWAL OF REGISTRATION AS AN INTERMEDIARY ‘The Securities & Exchange Commission of Pakistan, NIC ullding, Jinan Avenue, Islamabad. Dear Sir, We, hereby apply for conewal of registention asan fatermesiary within he messing of Section 498 ofthe Act. The registra n granted or renewed carice is due to expire on : 2. Wehereby fumish the following information, —_ o Gi) (iit) (a) ‘Affidavit from the individualfeach partaer of firm or limited liability partnershipisach divetor of tie company slating that he is eligible to act as a:topisiered intermestiary according ta the criteria specified in the Regslations. Details of employees, where applicable, ta whom it as delegated hs functions covering the following: (a) Quelifieation (5) Experience of handling corporate matters, preparation and filing of stautory retums Afficuvits from employees, where applicable, to wham it has delegated its fietion: that he is compliant with the erteria specified in the Regul ‘Original paid bank chullan evidencing payment af registration fee as spec! [of the Regulations is enclosed Sigaarure 2 Name af the Applicant Registretion Numbex__ Date Page 12 of 18Intermediaries (Registration) Regulations, 2017 {see Regulation 6] SECURITIFS AND EXCHANGE COMMISSION OF PAKISTA\ CORPORATIZATION AND COMPLIANCE DEPARTMENT. Registration No 0 Islamabad, Dared; CERTIFICATE OF RENEWAL OF REGISTRATION AS AN INTERMEDIARY {(Scetion 455 of the Companies Act, 2017) The Securities and Exchange Commission of Py tan, having considered the ep renewal of registration ax an Intecmediary submitted hy Mr/M/s, (Name of the applicant), registcation number ler sub-reglation ( regulation % of the Intermediarles(Regiszrtian? Regulations, 2017 (Regulations) and en being satisfied with the said application, hereby renews the certificate of registration of Mr.ihtis (Name of the applicant) in exercise of powers conferred under subereautation (2) of reguintton # af the Regulations. This registration is valid for a poriad offthree yeurs wie. Approving Authority Diseatmer: The certificate of registratton shall be Himited to the authorisation for filing of sdocuartents with the Comalssion oF the eegisirae concermed ard shall nat be regarded ase license on the registered intermediary ar as proveding arv-recepnition oF any quelificarion registered intermediary Page 13 of 18| Annoxare-V Intermediaries (Registration) Regutntions, 2017 [see Regulation 14} NOTICE OF APPOINTMENTIRENEWAL OF AGRELMENT WITH AUTHORIZED INTERMEDIARY! CHANGE IN EMPLOYEE OR PARTNER OR DIRECTOR AUTHORIED BY INTERMEDIARY PART (Please complete in Wypescripe ar by hold block eapitels + 1.1 CUIN {applicable in case company, | | i} is incorporated) | 1.2. Mame of the Coingany foreign company/earse of the promoters of the proposed comparty { i 12 FeePay PARTI jon Na, of Imermediary Fo te 2.1 Regisirs 2.2 Nameof intermediary = ae mem vey 23° With effect from I Naine of employee ot part os directorlas the ease rey be) authorized by iimermediary to sign documents on beltalt of company or promoters of th paved company or foreign cornpany Page 14 0718 13.1 Challan 3.2 Challen 1 . en ae25 Specimen Signature of employe or partner or | director(as the ease may be) authosized by intermediary 10 | sign documents on behalfor compnaty or promoters of the proposed company or foreign sompany 2.6 GNIC of employee or partner ar director{as the case may be) authorized by inmermediary to sigh Socuments an behalf of ‘company or promoters af the proposed company or forsiva. company PART-II 3.1 Signature 22 Name of Authorized Officer ofthe ‘Company/Principal Officer of foreign company/Name of the promater of the eornparty 23 Due I Enclosure: |. Original paid bank challan evidencing payment o Page 15 of 18Annexure -VI Intermediaries (Registration) Regulations, 2017 [see Regulation 14) NOTICE OF REMOWAL OF AUTHORIZED INTERMEDIARY PART (Please complete in npeteripe ar in Bold Block capitals) 41 CUIN [ peta 21] 25} 1.2 Name of the Company'fisreign mi company’ z 13) FeePayment Detwils 1.3.1 Chellan [eee Amount 21 Registration No.of Intermediary [| 1 Ly 22° Name of intermediary da mn a 23 With effect fom | 3.1 Signanure 3.2. Name of Autharized Officer of the Company? Principal Officer of foreign vompuny da 33. Date | ea ea Enclosurs: Soe 1. Origivial paid bunds challan evidencing, payment of fee Page 16 of 18Intermediaries (Registration) Regulations, 2017 Isce Regulation 15} REGISTER OF REGISTERED INTERMEDIARIES. Annexure -¥! [S| Registration | Nameof [Number | atcof | Dateeof | Dawor | No. Number | Registered of grancot | renewal af | cancellation Intermediary Employees | jnitiat _certifieate_| of certificate certificate of af of registration | Registration, registration any Page 17 of 18SCHEDULE-1 Fees (both for online and offtine mode) ty Por Individuals Registration prncessing Pee (Non-Refundable) Correction! Update Processing Fee (Non-Refundable) Renewal Fee (Non-Refundable) Filing Fee 1b. For Firms/Companies/Limited Liability Parmerstiips ‘Registration processing Fee (Non-Refundable? Correstion/ Update Processing Fee (Non-Refundable) Seenewal Fee (Non-Refundable) Filing Fae 10,000 2,000 5,000 300 50,000. 5.000 25,000. 300) [No CLDCCBPRITI2OIT] Nitty (Bilal Re Seeretary tu the Commission Page 18 of 18