The following self-attested copies of documents are required along with the application form (as

applicable):
1. For Individual RIAs:
1. Letter of application-Annexure-1 (in the prescribed format attached)
2. Copy of the valid SEBI Registration Number
3. Self-Certified PAN card
4. Address Proof (e.g. Telephone bill/Aadhar Card/Passport)
5. NISM passing certificate
6. GSTIN certificate/declaration (in the prescribed format attached)
2. For Corporate Body / Corporate RIAs
1. Letter of application-Annexure-1 (in the prescribed format attached)
2. Copy of the valid SEBI Registration Number
3. Certificate of Incorporation
4. Certified PAN card
5. Certified copy of Board resolution along with the list of authorized signatory/s
with their specimen signature (in the prescribed format attached)
6. Address Proof (e.g. Telephone bill/Aadhar Card/Passport)
7. Proof of TAN allotment/declaration (in the prescribed format attached)
8. NISM passing certificate
9. GSTIN certificate/declaration (in the prescribed format attached)
3. For Partnership Firms/LLPs
1. Letter of application-Annexure-1 (in the prescribed format attached)
2. Copy of the valid SEBI Registration Number
3. Partnership Deed
4. Address proof (e.g. Telephone bill/Aadhar Card/Passport)
5. Certified PAN card
6. Certified copy of Partnership resolution along with the list of authorized
signatory/s with their specimen signature (in the prescribed format attached)
7. Proof of TAN allotment/declaration (in the prescribed format attached)
8. NISM passing certificate
9. Certificate of incorporation (in case of LLP)
10. GSTIN certificate/declaration (in the prescribed format attached)
4. For Banks
1. Letter of application-Annexure-1 (in the prescribed format attached)
2. Copy of the valid SEBI Registration Number
3. Certificate of Incorporation
4. Address Proof (e.g. Telephone bill/Aadhar Card/Passport)
5. Certified PAN card
6. Certified copy of Bank resolution along with the list of authorized signatory/s
with their specimen signature (in the prescribed format attached)
7. Proof of TAN allotment/declaration (in the prescribed format attached)
8. NISM passing certificate
9. GSTIN certificate/declaration (in the prescribed format attached)
 Annexure-1

Letter of application by SEBI Registered Investment Advisors (RIA) who intend to act as
an intermediary for purchasing and redeeming the mutual funds units through BSE StAR
MF on behalf of their clients
(On letterhead of the applicant)

To,
General Manager,
Membership Operations Department
25th Floor, BSE Limited
P J Tower. Dalal Street,
Fort, Mumbai – 400 001

Sub: Registration as ‘Registered Investment Advisors` on the BSE StAR MF platform of

BSE Limited.

I/We, < Name of the applicant> hereby apply for registration as “Registered Investment
Advisors” on BSE StAR MF platform for purchase and redemption of Mutual Fund Units.

I/We hereby confirm that I/we am / are registered with SEBI as Investment Advisor with
SEBI Registration Number _________ / exempted under reg. 4 of SEBI (Investment
Advisors) Regulations, 2013 and the same is currently valid. (Strike off whichever is not
applicable and provide relevant document in support of exemption category)

I/We hereby confirm that I/we have read all the relevant SEBI guidelines, circulars etc.
for using infrastructure of the recognized stock exchanges to purchase and redeem
mutual fund units directly from MFs/ AMCs on behalf of my/ our clients and are
conversant with the SEBI (Investment Advisers) Regulations, 2013 and any amendments
thereto. We also undertake to comply with and be bound by the circulars issued/ that
may be issued by the BSE Ltd., Indian Clearing Corporation Ltd. (ICCL), SEBI, RBI and any
other statutory and regulatory bodies, from time to time.

I/We shall ensure compliance with the requirements specified in SEBI circulars dated
MFD/CIR/06/210/2002 dated June 26, 2002, MFD/CIR/20/23230/02 dated November
28, 2002 and SEBI/IMD/CIR-No.8/174648/2009 dated August 27, 2009, applicable to
intermediaries engaged in selling and marketing of mutual fund units and also abide by
the Code of Conduct as may be prescribed by SEBI as the case may be from time to time
with respect to dealing in mutual fund units.

I/We shall also comply with requirements specified in SEBI circular dated no.
SEBI/HO/MRD/DSA/ CIR/P/2016/113 dated October 19, 2016 with respect to
certification on financial planning or fund or asset or portfolio management or
investment advisory services from NISM; or from any other organization or institution
including Financial Planning Standards Board of India or any recognized stock exchange
in India provided that such certification is accredited by NISM.
I/We hereby agree to provide the Scheme Information Document/ Key Information
Memorandum, addenda issued regarding each Mutual Fund Scheme to the investor, as
and when requested, at the time of subscription/ redemption.

I/We undertake to comply with requirements of SEBI Circular no.

SEBI/IMD/CIR/No.4/168230/09 dated June 30, 2009 and such other Circulars as may be
issued from time to time and shall disclose to investors all the commissions (in the form
of trail commission or any other mode) payable to me/us for the different competing
schemes of various mutual funds, except direct plans for which no commission, by
whatever name called shall not be charged, from amongst the scheme recommended to
my/our investors.

I/We have read and agree to comply with circulars/manual issued by SEBI/BSE Ltd. and
such other directions as may be issued by SEBI/ BSE Ltd. from time to time for accessing
the BSE StAR mutual fund platform.

I/We shall execute, sign, and subscribe, to such documents, papers, agreements,
covenants, bonds and/or undertakings as may be required by BSE Limited from time to
time including any and all agreements in relation to mutual fund activities and agree and
undertake to abide by them.

I/We hereby accord my/our consent to receive complete historical data (since
inception) and mail back reports pertaining to my/our investors, being received from
RTAs, through BSE StAR MF platform.

Further, I/We hereby also accord my/our consent to receive the mail back reports
executed by me/us for all the transactions, across all the transaction execution
mechanisms

I/We hereby certify that all the statements are true and correct to the best of my/our
knowledge. I/We are aware that in case any of the statements are found to be incorrect
or false, we are liable for disciplinary action.

I/We request you to grant us the permission to function as “Registered Investment

Advisors” on the BSE StAR Mutual Fund platform.

(Signature of Authorized Signatory)

(Name and Designation of Authorized Signatory)

Date:

Place:

Annexure A
 FORMAT OF BOARD RESOLUTION FOR CORPORATES

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED AT THE MEETING OF BOARD OF

DIRECTORS OF _________________ HELD ON __________ AT _________ AT THE
REGISTERED OFFICE OF THE COMPANY AT _____________ AND DULY RECORDED IN THE
MINUTE BOOK OF THE COMPANY.

Resolved that the Company hereby apply to BSE Ltd. to obtain registration for
Registered Investment Advisorship and that the approval of the Board of Directors be
and is hereby given to Company to make necessary application and the execution of the
power of attorney(s), undertaking(s), deeds, agreements, papers and all other
documents etc. necessary for the purpose of Company to obtain registration for
Registered Investment Advisorship and to participate in the BSE StAR MF and for all
matters incidental thereto as may be considered necessary and expedient.

FURTHER resolved that (name with designation) and / or (name with designation) are
authorized to execute individually/jointly the documents necessary for enablement in
BSE StAR MF on behalf of the company and for all matters incidental thereto as may be
considered necessary and expedient.

CERTIFIED TRUE COPY

FOR __________________ (NAME OF THE COMPANY)

Director Director

(Names of authorized signatories along with specimen signatures and rubber stamp of
Applicant Company).

Place:
Date:
 Annexure B

FORMAT OF PARTNERSHIP FIRM /LLP RESOLUTION

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED AT THE MEETING OF THE PARTNERS
_________________ HELD ON __________ AT THE REGISTERED OFFICE OF THE
PARTNERSHIP FIRM/LLP AND DULY RECORDED IN THE MINUTE BOOK OF THE
PARTNERSHIP FIRM/LLP.

Resolved that the Partnership firm/LLP hereby apply to BSE Ltd. to obtain registration
for Registered Investment Advisorship and that the approval of the Partnership firm/LLP
be and is hereby given to Partnership firm/LLP to make necessary application and the
execution of the power of attorney(s), undertaking(s), deeds, agreements, papers and all
other documents etc. necessary for the purpose of Partnership firm/LLP to obtain
registration for Registered Investment Advisorship and to participate in the BSE StAR MF
and for all matters incidental thereto as may be considered necessary and expedient.

FURTHER resolved that (name with designation) and / or (name with designation) are
authorized to execute individually/jointly the documents necessary for enablement in
BSE StAR MF on behalf of the Partnership firm/LLP and for all matters incidental thereto
as may be considered necessary and expedient.

CERTIFIED TRUE COPY

FOR __________________ (NAME OF THE PARTNERSHIP FIRM/LLP)

Partner Partner

(Names of authorized signatories along with specimen signatures and rubber stamp of
Applicant Partnership firm/LLP).
 Annexure C

FORMAT OF BOARD RESOLUTION FOR BANKS

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED AT THE MEETING OF BOARD OF

DIRECTORS OF _________________ HELD ON __________ AT _________ AT THE
REGISTERED OFFICE OF THE BANK AT _____________ AND DULY RECORDED IN THE
MINUTE BOOK OF THE BANK.

Resolved that the Bank hereby apply to BSE Ltd. to obtain registration for Registered
Investment Advisorship and that the approval of the Board of Directors be and is
hereby given to Bank to make necessary application and the execution of the power of
attorney(s), undertaking(s), deeds, agreements, papers and all other documents etc.
necessary for the purpose of Bank to obtain registration for Registered Investment
Advisorship and to participate in the BSE StAR MF and for all matters incidental thereto
as may be considered necessary and expedient.

FURTHER resolved that (name with designation) and / or (name with designation) are
authorized to execute individually/jointly the documents necessary for enablement in
BSE StAR MF on behalf of the bank and for all matters incidental thereto as may be
considered necessary and expedient.

CERTIFIED TRUE COPY

FOR __________________ (NAME OF THE BANK)

Director Director

(Names of authorized signatories along with specimen signatures and rubber stamp of
Applicant Bank).

Place:
Date:
 (On the letter head of the applicant)

DECLARATION REGARDING NON-REGISTRATION UNDER CGST/ SGST/ IGST

Date:

To,
BSE Limited
25th Floor, P J Towers, Dalal Street,
Mumbai – 400 001.

Dear Sir/Madam,

Sub: No registration obtained under the GST law

With reference to the above subject, we would like to state & submit as under:

In this regard, we hereby declare and affirm that we have not obtained registration with
the GST Authorities. Accordingly, we shall not be entitled to claim any input tax credit
on the invoices issued by BSE Limited for the goods / services supplied / to be supplied
to us.

We also understand that it shall be our responsibility to intimate your good self in
future, as and when we obtain registration with the GST Authorities, and we also agree
that any change shall be given effect prospectively & not retrospectively, i.e., we shall
not request for amendments to invoices issued by you prior to our obtaining registration
for incorporating our GST details on the said invoices.

We also understand that quoting of any false information in this declaration shall render
me/us liable for all applicable legal and penal consequences, for which I/we shall be
solely responsible.

We request you to treat this communication as a declaration regarding non-

requirement to be registered under the Act.

Thanks & Regards,

For Name of the Applicant

Name of the Authorized signatory

 (On the letter head of the applicant)

DECLARATION REGARDING NON-REGISTRATION FOR TAN

Date:

To,
BSE Limited
25th Floor, P J Towers, Dalal Street,
Mumbai – 400 001

Dear Sir/Madam,

Sub: No registration obtained for TAN

With reference to the above subject, we would like to state as follows:

I\We hereby declare that we are not registered for TAN and hence confirm that we will
not deduct tax from BSE.

I\We also understand that it shall be our responsibility to intimate your good self in
future, as and when we obtain registration for TAN.

I\We also understand that quoting of any false information in this declaration shall
render me/us liable for all applicable legal and penal consequences, for which I/we shall
be solely responsible.

We request you to treat this communication as a declaration for not obtaining TAN
registration.

For Name of the Applicant

Name of the Authorized signatory