I(A)
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Change in shareholding pattern / sharing pattern without change in control
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Change in Shareholding Pattern – Corporates
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Change in Sharing Pattern – LLP & Partnership firm
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NCDEX/MEMBERSHIP-007/2018/139 dated June 01, 2018
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I(B)
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Change in shareholding pattern / sharing pattern with change in control
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Change in Shareholding Pattern – Corporates
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Change in Sharing Pattern – LLP & Partnership firm
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NCDEX/MEMBERSHIP-007/2018/139 dated June 01, 2018
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II
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Change in Board of Directors /Partners
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1. Application for change in designated directors
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2. Application for change in non -designated directors
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3. Application for change in Designated Partners & Partners - LLP
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4. Application for change in Designated Partners & Partners - Partnership Firm
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III
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Change in Member Company Name
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Stage I
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Stage II
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Stage III
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IV
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Change in Correspondence
Address / Contact Details
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V
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Change in Registered
Address / Contact Details
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VI
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Change in Compliance Officer Details
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VII
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Change in Clearing Member
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VIII
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TCM Clearing through STCM/PCM
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1. Reference Circular No 051 dated February 24,2011
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2. Request letter for TCM clearing through STCM/PCM
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3. Clearing
member documents
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IX
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Conversion of Membership Category
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A
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TCM to STCM
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Exchange has launched TM and STCM category vide circular no.
NCDEX/MEMBERSHIP-008/2008/262 dated
November
17, 2008. The Trading Cum Clearing Members (TCMs) currently registered with the
Exchange, satisfying the
increased Net worth criteria prescribed for STCM as per Fee and Deposit Structure for all
membership categories and
providing an additional security deposit as prescribed therein shall also be
eligible to apply for
Strategic
Trading Cum Clearing Membership (STCM).
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1. Reference Circular no. 51 dated 24 February 2011
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2. Clearing Membership Undertaking
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3. Request letter for conversion of membership from TCM to STCM
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4. Trading Membership Undertaking
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B
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TCM to TM
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In terms of circular no. NCDEX/MEMBERSHIP-006/2015/349 dated November 05, 2015,
Trading cum Clearing
Members can convert their membership to Trading Member. Processing fees for such
conversion from TCM to
TM is Rs 1.00 Lakh plus applicable tax. The trading members are required to comply
with requirement of
Base Minimum Capital (BMC) of Rs. 10 Lakh as per circular no.
NCDEX/MEMBERSHIP-001/2013/113 dated April
08, 2013 and Interest Free Security Deposit (IFSD) of Rs. 10 Lakh as per circular
no.
NCDEX/MEMBERSHIP-018/2018/190 dated August 02, 2018. No exposure is allowed on BMC
and IFSD. |
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1. Reference Circular no.349 dated November 5, 2015
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2. Checklist
for conversion of membership Category TCM to TM
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3. Conversion Application Form
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4. Board Resolution (For Corporate only)
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5. Trading Membership Undertaking
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6. Clearing member documents
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C
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TM to TCM |
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The Trading Member (TM) currently registered with the Exchange, satisfying the
increased Net worth
criteria
prescribed for TCM as per Fee and Deposit Structure for all
membership
categories and providing an additional security deposit as
prescribed therein shall be
eligible to apply for Trading Cum ClearingMembership. |
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1. Checklist - TM
to TCM
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2. Request letter for conversion of membership from TM to TCM
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3. TCM
Application Form
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4. Net Worth
Certificate
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5. Clearing Membership Undertaking
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6. TCM
Fit & Proper Person’ Undertaking
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7. Members Undertaking For SEBI Registration
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8.
Board Resolution (In case of Corporate)
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X
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Transfer of membership
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In terms of Rule 5.2 (12), membership of the Exchange shall be transferable. The
member has to undergo
the following process.
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1.
The transferor is required to seek prior approval of the Exchange by making an
application for transfer
of membership along with the required documents given below under the head "Stage
I".
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2.
The transfer of membership would be subject to approval by Membership Approval
Committee (MAC). The
Exchange's requirements of interface with director/dominant promoter group by MAC
will apply.
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3.
The Exchange would process the application and issue in-principle letter /
no-objection letter for
transfer of membership. The validity of this no-objection letter would be 6 months.
If the transferor is
not able comply with the formalities within the validity period, they would have to
seek a fresh
no-objection letter
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4.
The transfer of membership will be subject to NOC from Securities & Exchange Board
of India (SEBI)
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5.
On receipt of no-objection letter:
- The transferor would be required to submit the documents, formats for which
are given below
under
the head "Stage II"
- Transferee would be required to undergo the process for admission of
transferee as member, as
given
on this website under "Membership-New Membership" and submit all admission
related documents as
given
under the link
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6.
The security deposit (after adjustment of pending dues, if any) of the transferor
would be transferred
to Transferee by the Exchange only after completion of all documentation/formalities
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A
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Transfer of membership by way of Scheme of Arrangement/Merger/amalgamation
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Stage I |
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Transfer of membership
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Stage II |
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Scheme of Arrangement/Merger/amalgamation |
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B
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Transfer of membership by way of sale
of business
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Stage I |
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Transfer of membership
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Stage II |
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Sale of business
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XI
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Client registration documents |
A
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Know Your Client (KYC) Application form |
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Application form
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B
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Rights & Obligations, Risk Disclosure Document, Do's & Don't's in English and Vernacular Language |
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Rights & Obligations, Risk Disclosure Document, Do's & Don't's in English and Vernacular Language
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XIII
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Annual Return Format
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