INDIVIDUAL
SR. NO / PARTICULARS / ANNEXURE / SUBMITTED (YES/NO/NA)
1 / Audited Financial Statement # / A# / -
i / Balance Sheet
ii / Profit & Loss Statement
iii / Schedules to Balance Sheet and Profit & Loss Statement
iv / Auditor Report
2 / Networth / B / -
i / Networth Certificate on letter head of Chartered Account
ii / Networth Computation as per the computation prescribed in Scheduled VI of SEBI Stock Broker Sub-Broker Regulation 1992
iii / Minimum Net worth requirement:
  • Trading Member – Rs. 15 Lakhs
  • Self Clearing Member – Rs. 100 Lakhs
  • Trading cum Clearing Member – Rs. 300 Lakhs
  • Professional Clearing Member – Rs. 300 Lakhs

3 / Details of Individual/ Proprietor / C
i / Duly Certified by the Chartered Account/Company Secretary.
4 / Contact Details / D
# Formats not available
Signature: / ______
Authorised Signatory

Annexure-B

(On letterhead of Chartered Accountant)

NETWORTH CERTIFICATE

Certificate dated ______Submitted by ______to Indian Commodity Exchange Limited (ICEX).

This is to certify that the Net worth of Ms.______as on ______as per the statement of computation of even date annexed to this report is Rupees______only

We further certify that:

  • The computation of networth 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.
  • The computation of networth is in accordance with the method as prescribed in Scheduled VI of SEBI Stock Broker Sub-Broker Regulation 1992/ Exchange.
  • We are not the related party to the aforesaid entity.

Date:

Place:

For (Name of Accounting Firm)

Signature

Name of Partner/Proprietor

Chartered Accountant

Membership Number

Rubber Stamp

(On letterhead of Chartered Accountant)

Computation of Networth of ______as per the computation prescribed in Scheduled VI of SEBI Stock Broker Sub-Broker Regulation 1992:

The method of computation of Networth as prescribed by Dr. L.C. Gupta Committee on Derivatives is as follows

Capital + Free ReservesXXX

Less Non-allowable assets viz.,

(a)Fixed AssetsXX

(b)Pledged SecuritiesXX

(c)Value of Member’s cardXX

(d)Non-allowable securities (unlisted securities),XX

(e)Bad deliveriesXX

(f)Doubtful Debts and Advances

(Including debts or advances overdue for more than three months

or debts or advances given to the associate persons of the member)

(g)Prepaid expenses, lossesXX

(h)Intangible AssetsXX

(i)30% of Marketable securities XXXXX

------XXX

------

Date:

Place:

For (Name of Accounting Firm)

Signature

Name of Partner/Proprietor

Chartered Accountant

Membership Number

Rubber Stamp

Annexure-C

(On letter-head of member)

DETAILS OF PROPRIETOR/INDIVIDUAL AS ON ______

Sr No / Name $ / Father’s Name / Date of Birth / Education
qualification / PAN / Experience in derivatives trading or securities market or commodity derivatives trading, as applicable (years) / Residential Add & Tel / Mobile No/ Email ID/ Fax No / Tel / Mobile No/ Email ID/ Fax No / Whether directors in other corporate bodies engaged in capital /commodity markets (please give names and SEBI Regd. No.) / Whether registered with SEBI, give SEBI Regd. No.

Date:

Place:

(Signature)(Signature)

Name of Proprietor/IndividualName of Proprietor/Individual

/ Authorized signatory/ Authorized signatory

Rubber Stamp

AUDITOR’S CERTIFICATE

This is to certify that the details of ______(name of the member) 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.

Date:

Place:For (Name of Accounting Firm)

Signature

Name of Partner/Proprietor/

Chartered Accountant

Membership Number

Rubber Stamp

Annexure – D

(On letter-head of Member)

Contact Details

Name of Member: ______

SEBI Registration No: Member ID: .

Name of Compliance Officer
First Name
Father’s Name
Last Name (Surname)
Telephone No:
Mobile Number
Email ID
Registered Office / Correspondence Office
Address:
City:
Pin Code:
State:
Contact person :
Designation of Contact Person
Telephone No.
Fax No :
Mobile No of Contact person :
Email ID :

Details of Location where books of accounts, records and documents are maintained:-

Address: ______

I / we hereby confirm that all the above details are true and correct. I / We undertake to intimate the Exchange as and when there is any change in the aforesaid information submitted to the Exchange

For ______(Name of the member)

Name & Signature of Proprietor