Listing Formalities
Listing of closed ended schemes (including ETFs) in BSE Ltd. is simple. Please find below the checklist of detailed formalities:
List of documents / details to be submitted for In-principle approval
A) Certified true copy of the following Agreements / documents:
- Draft Scheme Information Document (SID). Hard as well as soft copy.
- Statement of Additional Information (SAI).
- Investment Management Agreement.
- Certification of registration of Mutual Fund issued by SEBI.
- Custodian Agreement.
- R & T Agreement.
- Resolution passed by trustee at their meeting approving listing of units of Mutual
- Fund Scheme on the Bombay Stock Exchange.
B) A processing fees as per issue plus service tax.
The Exchange reserves the right to ask for documents other than those mentioned above.
List of documents / details to be submitted for Listing of units of Mutual Fund Schemes (Post allotment of units)
- Letter of Application for listing of units of Mutual Fund Scheme.
- Details of the applicant (In case of first Issue) and Issue Details.
- Copy of the Due Diligence Certificate submitted to SEBI.
- Certified True Copy of observations / comments received from SEBI on the Scheme Information Document (SID)
- Certified true copy of the Final Scheme Information Document (SID) (soft copy also required)
- Unitholding pattern of Unitholders of the Scheme
- Confirmation from the CEO / Compliance officer regarding allotment of units and the actual no. of units allotted.
- Collection Certificate from Bankers
- Listing Agreement (In case of 1st Listing)
- Confirmation regarding compliance with SEBI (Mutual Funds) Regulations, 1996 from the AMC
- Tripartite Agreement (In case of 1st Listing)
- Confirmation from NSDL and CDSL (ISIN activation)
- Confirmation received from NSDL / CDSL for credit.
- Confirmation from Registrar regarding dispatch of Certificates / Account statement.
- Initial Listing fees and Annual listing fees (enclosed as “Listing Fee Structure”).
The scheme and individual Plan under the scheme shall have a minimum of 20 investors and no single investor shall account for more than 25% of the corpus of the scheme/Plan.
For more details please contact the following officials of the Exchange:
Mr. Nitin Pujari - (Ph.: +91 22 2272 8398, Email Id:
nitin.pujari@bseindia.com
Mr. Prasad Bhide - (Ph.: +91 22 2272 8388, Email Id:
prasad.bhide@bseindia.com