A. Documents at the time of In-principle approval :
1.
Particulars
of
securities for which permission to deal is applied for.
2. Company
should submit
an
updated Information document
containing
disclosures
as specified in Schedule XIX A of SEBI (Listing of Specified Securities on Institutional Trading Platform) Regulation, 2013, duly certified by the Managing Director as
well as Company
Secretary or PCS, of the Company.
3.
Copy of Memorandum
and
Articles of Association of the Company.
4. Copies of Annual Report for the last
five years, or in the case of new companies, for such
shorter period for which accounts have
been made up.
5. Undertaking from the Managing Director as well as Company
Secretary or PCS, stating that
the
following documents (as
mentioned in 19 (1) of SCRR) will
be produced to the Exchange
as and when called for by the Exchange:
a) Certified copies of agreements or other documents relating to arrangements with or
between Vendors and/ or promoters
b)
Certified copies of agreements with i) Selling agents
ii) Managing Directors and technical directors
iii) General Manager,
sales manager,
manager or secretary
c)
Certified copy of every letter, report, balance sheet, valuation contract, court order or
other document, part of
which is reproduced or referred to in the information document , during the last 5 years
d) A statement containing particulars of the dates of, and parties to all material contracts,
agreements (including agreements 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.
6.
Following documents that are required as per 19 (1) of SCRR:
a) Particulars of shares
and
debentures issued—
(i)
for
consideration other
than
cash, whether in whole or part, (ii) at a premium or discount, or (iii) in pursuance of an option.
b) A statement
containing particulars of any commission, brokerage, discount or other
special terms including an option for the issue of any kind of
the
securities granted to
any
person.
c)
Particulars of shares forfeited.
d) A list of highest ten holders of each class or kind of securities of
the
company as on the
date
of application along with particulars as to the number of shares or debentures held
by and
the
address of each
such holder.
7.
Confirmation from the Managing Director as well as Company Secretary or PCS
both,
that
:
a) the securities of
the
Company are not listed on any Recognized Stock Exchange.
b)
The company has
achieved
point wise compliance
with the
Eligibility Criteria as specified under Reg. 106Y of SEBI (Listing of Specified Securities on
Institutional
Trading Platform) Regulation, 2013. As per Annexure I.
In case where, in terms of Reg. 106Y of ICDR, a Merchant Banker (MB) has made an investment in
the Company of at least Rs. 50 lakhs, then the MB would be required to submit a
Due
Diligence certificate as per format given in Form A
& Form H of Schedule VI of SEBI (ICDR) Regulations,
2009.
c) the Company satisfies at
least one of
the
following requirements :
Net Tangible Assets of minimum Rs. 1 Crore. (Net fixed assets plus net Current
assets)
OR
Net income*
(excluding extraordinary and other
income) of Rs. 50 Lacs as per the latest audited financials.
*(Net income = Sales
– Purchases)
d) There
has been no change in
the
promoters of the
Company in the preceding one year
from date of
filing of application with
BSE
for listing on the SME ITP platform.
e) The minimum amount of
investment shall
be Rs. 10 crores or 25% of
the
listed capital of the ITP Company, whichever is higher.
Further, the same should
be locked in for a
period of three years from the date of listing.
Bifurcation of Rs, 10 crores shall
be as follows:
· Minimum investment of
Rs.
50 lakhs by entities
in equity shares of the company
as prescribed
by SEBI in its above referred circular with
a lock- in for a period of
three years for all entities
· Balance amount of investment as per
above
limits (i.e. rupees ten crores
or more, as the case may be) by any other SEBI
approved categories of investors like qualified institutional buyers, etc.
with a lock-in period of 3 years from
the date of listing.
8.
Details of erstwhile
promoter group / subsidiary companies
listed on BSE/ Other Recognized
Exchanges to be submitted.
9.
Latest Shareholding Pattern as per Clause 34
of
the Listing Agreement, alongwith all its schedules to be submitted.
10. A certificate from Statutory Auditor / Practicing Company
Secretary confirming compliance with Corporate Governance requirements in accordance with Clause 42 of the ITP Listing
Agreement.
11. Copy of Tripartite agreements signed with both the depositories along with the ISIN allotted for the securities
proposed to be listed.
12. Details of PAN/ DIN/ TAN of the company/directors/promoters/promoter group/ compliance officers
i)
Details of PAN /
TAN of the company
Sr. No.
|
Name
of the company
|
PAN of the company
|
TAN of
the company
|
ii) Details of the PAN of the promoters, entities
belonging to
promoter group,
Directors and
Compliance Officer
Sr.
No.
|
Name
of the entities
|
Category
(Promoter/Promoter group/
Director/ Compliance
officer)
|
PAN of the
person
|
DIN
- only in
case of
Directors
|
13. Non-refundable processing fees as prescribed by the Exchange along with service tax as
applicable drawn in favour of “BSE Ltd.”
|
CSGAURAV +919990694230
[email protected]
https://gauravsharmaassociates.wordpress.com
https://www.facebook.com/gauravdelhiravpage
Subscribe to CS GAURAV SHARMA by Email
