A.
Along with the application for using the name of the Exchange in the offer
document, the following documents/information shall
to
be
filed by
the
Company with the Exchange:
1. 10 copies of the
draft offer document.
2. Soft copy of the
Prospectus for uploading on website
3. Copy of resolution passed by the Board of Directors for issue of securities
4. Copy of the shareholders resolution under
62(1)(c) of Companies Act, 2013
5. Certificate
from the
Managing
Director / Company Secretary or PCS / Statutory or Independent Auditors stating the following –
a) The Company has not been referred to the Board for Industrial and Financial
Reconstruction (BIFR).
b) There is no winding up petition against the
company, which has
been admitted
by the court or a liquidator has not been appointed.
c) There has been no change in the promoter/s of the Company in the preceding one year from date of filing application to
BSE
for listing on SME segment.
6.
Copy of all show cause notice(s)/order(s) issued by any regulatory authority
(e.g. SEBI, ROC, RBI, CLB, Stock Exchange etc.) &
Correspondence there
to.
7. PAN &
TAN of the Company.
8. DIN &
PAN of Promoters and Directors.
9. Printed Balance Sheets, Profit & Loss Accounts and Cash Flow Statements for
the preceding 5 years (or for such applicable periods)
10.Copies of major orders/contracts/
received/ executed/ in-hand should be kept ready and be available for inspection. A statement of material contracts duly
certified by a practicing Chartered Accountant/ practicing Company Secretary should be submitted. The Company should also state the place, time and date
where these documents can be inspected
11.A statement containing particulars of the dates of,
and parties to all the
material contracts, agreements (including agreement for technical advice and collaboration), concessions and similar other documents (except those entered
into in the ordinary
course of business carried on or intended to be carried on by the company) together with a brief description of the terms, subject matter and general nature of the
documents.
12. Details if the present or any previous application of the Company/Group
Company for listing of any securities has been rejected earlier by SEBI or by
any
stock exchange and reasons thereof.
13.Name of the exchange which
is
proposed to be designated Exchange for the
issue, if decided.
14.Copies of
agreements and memoranda of
understanding
between the
Company and its promoters/ directors.
15.Articles &
Memorandum of Association of the
Company.
16.A certificate from the statutory auditor/practicing chartered accountant
certifying compliance of conditions of Corporate Governance as stipulated in clause 52 of the listing agreement
and circular no.SEBI/CFD/DIL/CG/1/2004/12/10 dated October 29, 2004 issued by the Securities and Exchange Board of India (SEBI). The company should also give the composition of various committees as required under the said clause.
17.Association, if any, of the directors/
promoters of the Company with any
public or rights issue made during the
preceding 10 years.
18.One Time Listing
Fees of Rs. 50,000/- plus applicable Service Tax.(Details
of
all applicable fees for SME Listing is attached)
19.Date of opening of public issue to be intimated as soon as it
is
finalized.
20.Due Diligence Certificate as submitted to SEBI, addressed and submitted to
BSE.
21.Copy of SEBI certificate for Merchant Banking Registration
22.SEBI scores registration
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