NATIONAL COMMODITY & DERIVATIVES EXCHANGE LIMITED
Circular to all trading and clearing members of the Exchange
Circular No. : NCDEX/MEMBERSHIP-002/2016/160
Date
: July 04, 2016
Subject
: Submission of Annual Return 2015-16
In terms of Regulation 7.2.3 of Regulations of the Exchange, members are hereby advised to
submit the Annual Return for the financial year ended 2015-2016.
All members who have been activated for trading prior to April 1, 2016 are required to submit their
Annual Return latest by October 31, 2016, in respect of financial year ended March 31, 2016.
The members having their financial year ending other than March 31, 2016 are required to submit the
said Annual Return within a period of 6 months from the close of their respective financial year. Such
members are required to inform the Exchange of the different financial year followed by them within
15 days of this circular. If the members have changed their financial year from the one followed
earlier, they shall also convey such details to the Exchange within 15 days of this circular.
Members, who have already submitted any of the documents which are prescribed in this
circular for any other purpose, are required to re-submit copy of the said documents pursuant to
and in compliance with this circular.
Members are aware that any change in Share Holding Pattern (SHP)/Dominant Promoter Group
(DPG) requires prior approval of the Exchange. In case, the changes in SHP/DPG have been
carried out by the member without the prior approval of the Exchange, such changes will be
treated as violation and will attract penalties as per our Circular No. NCDEX/COMPLIANCE001/2010/089 of April 1, 2010. The applicable penalties will be recovered as soon as such
violations are noticed from the Annual Return submitted by the members. Exchange may also
take any other action apart from levying penalties prescribed in our above circular, including
placing the trading terminals on square off mode.
Inactive Members:
Inactive members (defined for the purpose of current Annual Return submission) are those
members who have not undertaken/will not undertake any trade on the Exchange from April 1,
2015 to October 31, 2016, may submit the Annual Return comprising of:
1. Declaration cum confirmation for Inactive Members (as per Annexure E)
2. Net worth certificate as per the format given in Annexure C-1 along with computation sheet
(Annexure C-1A), duly certified by Statutory Auditors/Chartered Accountants. (Members are
required to follow the same method for calculation of net worth as was being followed
previously)
3. Annexure C-2- Details of other Exchange Membership
4. Annexure F - Contact details of Member.
5. Annexure G - Undertaking of Foreign share Holding
6. Financial Statements (which includes Balance Sheet, Profit & Loss Account, ncome &
Expenditure Account, Directors’ and Auditor’s Reports) duly certified by CA.
1 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Online submission of Annual Return through NCFE:
Members are hereby informed that they are required to upload their Annual Return (with all
enclosures) through NCFE system in PDF format.
We are providing help manual for the general awareness of the members for online submission
of Annual Return through following path to NCFE:
 Access through Internet : ftp://extranet.ncdex.com/ 

 Access through VSAT : ftp://172.31.4.27/ 
The user manual is stored in Common/ NCDEX Documents folder.
Members are requested to strictly adhere to the formats as prescribed in this circular. Nonadherence to the same shall be treated as non-submission/ non- compliance with the
requirements of this circular.
For the sake of ease and ready reference, a checklist is enclosed for the members to fill up and
submit along with the said Annual Return (Annexure– Checklist).
Action for Non-Compliance
Non-compliance/ non-submission of the above will result in appropriate action including levy of
late/ partial/ non-submission charges at the rate of Rs. 200/- per day with effect from
November 01, 2016 till the date of actual submission.
Members are requested to ensure that all the applicable documents as above are submitted
together before the due date. Piecemeal submission will not be accepted.
Incorrect/Incomplete/partial/piecemeal submission of Annual return would be construed
as non-submission and will attract non- submission /late submission charges as
explained above.
During the scrutiny of the Annual Return or later, if it is found that any document has been
submitted incorrectly or incomplete, the Exchange at its sole discretion may levy late submission
charges (as prescribed in this circular) as if the Annual Return was not submitted, till such time
such correct document(s) are submitted again.
Exchange may take any other action, apart from recovery of charges for late /partial/
incorrect/non-submission of Annual Returns.
Members are advised that trading terminals of those members who fail to submit their Annual
Returns by March 31, 2017, will be placed on Square off mode effective April 01, 2017.
For and on behalf of
National Commodity & Derivatives Exchange Limited
Jayant Nalawade
Chief Regulatory Officer
For further information / clarifications, please contact
1. Customer Service Group on toll free number: 1800 26 62339
2. Customer Service Group by E-mail to: [email protected]
2 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
To,
Membership Department
National Commodity & Derivatives Exchange Limited
Akruti Corporate Park
L.B.S. Marg, Near G.E. Garden,
Kanjur Marg (W)
Mumbai – 400 078
Sub: Submission of Annual Return for financial year 2015-16
Dear Sir,
With reference to the above subject, please find enclosed the following documents as per
checklist.
Checklist for submission of Annual Return
Name of the Member
TM/TCM /STCM/ PCM/TM with CTCL
T M I D/UMC code allotted by FMC
Permanent Account Number (PAN) of
member entity
Website URL of the member (If Any)
Occupation of the member
(Kindly tick wherever applicable)
Annual submission for the year
Farmer/Agriculturist
Commodity Broker
Trader
Physical trader in Mandis
Processor/ Manufacturer
Any other – please specify
2015-16
3 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Sr.
No. Annexure
Description
Enclosed
(Yes/No)
Financial Statements (which includes Balance Sheet, Profit
and Loss Account/ Income and Expenditure
Account, Directors’ and Auditor’s Reports) duly certified by CA
Net worth Certificate along with computation sheet, duly
certified by statutory auditors/CA.
1
Annual
Accounts
2
C-1 and
C-1A
3
C-2
Details of other Exchange(s) membership
4
C-3
Details of Directors/Partners duly certified by CA/CS
5
C-3A
6
C-4
7
C-5
Details of Dominant Promoter Group duly certified by CA/CS
8
C-6
Undertaking from Relatives/Corporate entities supporting the
Dominant Promoter Group duly certified by CA/CS
9
D
Declaration of Members’ Fidelity Insurance
10
E
Declaration cum confirmation for Inactive
Members ( Applicable for Inactive Members as defined in this
circular)
11
F
Present contact details of the Member Company
12
G
Undertaking for Foreign Holding
13
H
14
I
Member undertaking for Proprietor/Directors/Partners
Undertaking from Directors/Partners/ Proprietor
Details of Shareholding/Sharing Pattern duly certified by
CA/CS
Details of sales personnel or approved user who has
passed any certification programme
Associate Companies/Partnership/ Proprietorship Firm having
direct/indirect interest in capital/ commodity market
For any further communication in this regard, please contact the undersigned or
Mr./Ms.____________________________
(Name
of
the
contact
person)
on______________________(Contact Numbers) or email_______________________
Yours faithfully,
Signature and stamp of the member entity
Authorised Signatory
4 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure C-1
Trading Cum Clearing Members and
Strategic Trading cum Clearing Members, Professional Clearing Members)
Certificate dated
submitted by ( T M I D )
to NCDEX
CERTIFICATE
This is to certify that the Net worth of M/s./Mr./Ms.
as on __________ as per
the statement of computation of even date annexed to this report is Rs. ____ Only (Rupees (in
words) _____________) calculated as per L C Gupta method of Annexure C – 1A.
We further certify that:


the computation of net worth 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 method of computation prescribed
by Dr. L C Gupta Committee Report. 

The computation of net worth is in accordance with NCDEX requirement.

We hereby confirm that we are not the related party to the aforesaid entity. 
Place:
For (Name of Chartered Accountant Firm)
Date:
Name of the Partner/Proprietor
Chartered Accountant
CA Stamp and Membership Number
5 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
(To be provided on the Letterhead of the certifying Chartered Accountant)
Annexure C – 1A
Computation of Net worth of Members as part of Membership Requirements
The Members are required to provide the net worth certificate as per the format provided in
Annexure C – 1)
Computation of Networth as on………………… prescribed by Dr. L.C. Gupta Committee is as
follows:
A.
Capital
B.
Free Reserves
C.
Less Non-allowable assets viz.,
(a) Fixed Assets
(b) Pledged Securities
(c) Member’s card
(d) Non-allowable securities (unlisted securities)
(e) Bad deliveries
(f) Doubtful Debts and Advances*
(g) Prepaid expenses, losses
(h) Intangible Assets
(i) 30% of Marketable securities
D.
Total Net Worth(A+B-C)
*Explanation:
Includes debts/advances overdue for more than three months or given to associates
For (Name of Accounting Firm)
Name of Partner/Proprietor
Chartered Accountant
CA Stamp & Membership Number
6 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-2
Certificate dated _________submitted by___________to NCDEX
Details of other exchanges Memberships as on 31.03.2016
Sr.
No.
Name
Name of
Exchange
Membership
Since
Membership
No.
Type of
Membership
1
2
3
4
5
6
7
8
9
Date :
Place :
Authorised Signatory/ies
7 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-3
Certificate dated_________submitted by______________to NCDEX
Details of Directors/Partners/Proprietor/Society Members as on 31.03.2016
Sr.
No.
Name
Fathers
Name
Nationality
@
Experience
(No. of Yrs)
PAN
No.
Education
Qualification
Date Residential
of
address
Birth
Contact
no. and
email id
Date:
Signature(s)
(Authorised Signatory/ies) Place:
NOTES :
@ e.g Resident Indian, NRI, PIO ( citizen of ….. ), Foreign National (citizen of …. )



#: For each of these memberships, give details of disciplinary action, if any, taken by the Stock /
Commodity Exchange or any other regulatory authority in respect of these memberships
with dates in the following format:
 Expulsion 
 Suspension 
 Default 
 Any other disciplinary action or enquiry against the member 
8 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Directorship
/controlling
shareholding
in other cos.#
CERTIFICATE
This is to certify that the details of directors/partners/proprietor……………. 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.
Place:
Date:
For (Name of CA/CS firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
9 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure C-3A
Member undertaking from Directors/Partners/ Proprietor
(On Member’s Letter Head)
Date:
To,
The Membership Department
National Commodity & Derivatives Exchange
Limited 1st Floor, Akruti Corporate Park
LBS Marg, Kanjur Marg, (West) Mumbai 400 078
Dear Sir,
“I/We ______________ (name of the designated director) and _____________ (name of
another designated director) hereby confirm/declare/undertake that the ______________
(name of the Member entity) and its directors, designated directors and shareholders
a. Are not debarred/suspended/declared defaulters by SEBI/FMC/RBI/any recognized
Stock Exchange/any recognized Commodity Exchange.
b. Are not connected with any of the defaulting/suspended member of any Stock
Exchange/Commodity Exchange.
c.
There are no complaints/disciplinary action against us at SEBI/FMC/RBI/ any
recognized Stock Exchange / any recognized Commodity Exchange.
d. No investigation/enquiry/adjudication/prosecution or any other action including consent
proceedings, administrative warning, caution or advisory letter, etc. by SEBI/FMC/RBI/
any recognized Stock Exchange/ any recognized Commodity Exchange has been
initiated/is pending against us or undertaken against us.
e. No action in respect of deviations in our commodity broking operations has been
initiated against us by any of the commodity exchanges pursuant to inspection/audit.
f.
Are not, at any point, involved in any type of money laundering activities.
g. Have not, at any point, committed any act and / or have not any time convicted for any
act involving threat to the public/national interest.
h.
the incoming designated director is eligible to be appointed as director and meet the eligibility
criteria specified in Securities Contracts (Regulation) Rules, 1957 (Rule 8(4A) and other
relevant provisions) and SEBI (Stock Brokers & Sub-brokers) Regulations, 1992
10 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
i.
There is no adverse comment against us or our directors / partners / proprietors /
promoters / Top five shareholders in the following:



Defaulters list of RBI as available at www.cibil.com - Suit filed cases – (as per
latest data available) 
i
Suits filed of Rs.100 lakh and above
ii Suits filed of Rs.25 lakh and above
Prosecution list of CIS and non-CIS cases on the SEBI website (as per latest
data available) in 
i. Database of prosecution launched against CIS entities
ii. Database of prosecution launched against other than CIS entities

List of companies & Directors/shareholders/ proprietors against which orders
have been passed U/s 11B of SEBI Act. (As per latest data available in
Vanishing Companies under Issues and Listing, on www.sebi.gov.in) 
I/We declare that the information given above is true.
In case of any action/complaints/investigation/enquiry by any Statutory
Agency/Regulatory Agency /Stock Exchange/Commodity Exchange in future, I/We
undertake to intimate the Exchange immediately.
I/We declare that the information given above is true and any misstatement or
misrepresentation or suppression of facts in connection with the above undertaking may
entail rejection of our application or expulsion of our Membership.
Yours faithfully
For (Name of the Members)
(To be signed by two Directors/ two Partners / Proprietor/Karta)
11 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-4
(For Corporate / Institutions)
Certificate dated_________submitted by______________to NCDEX
Share Holding Pattern of as on 31.03.2016
Sr. Name #
No.
Nationality/
Residential
Status of each
shareholder @
Number of
Shares held
(of Face value of
Rs_____)
Amt paid % of totalPAN Nos. @@@
up
( Rs )
1
2
3
4
5
6
7
8
Others @@
TOTAL
100.00 %
1) We have not changed the Shareholding Pattern and/or DPG since the date we joined NCDEX
as a member.
OR
2) After becoming the member of NCDEX, we have changed the Shareholding Pattern in the past
after seeking prior approval of NCDEX and the Shareholding
Pattern
and/or DPG given above was effected on .............................. after seeking the approval of
NCDEX vide its letter/s ref……… ............ dated...................................
(Delete whichever of the above two is not applicable)
I/We hereby state that the above-mentioned particulars are true, correct and complete to the
best of my/our knowledge and information. I / We also state that no relevant material fact has
been suppressed.
Date:
Place:
Authorised Signatory/ies
12 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
NOTES:
# In case of Body corporate, give similar details thereof separately. Partnership firm, give names
of all partners and the sharing pattern
@ e g Resident Indian Individual, NRI individual , PIO ( citizen of …… ), Foreign National (
citizen of ………………), Indian Co. not having any foreign and/or NRI/PIO shareholders, Indian
Co. with foreign and / or PIO/NRI shareholders ( if so the shareholding pattern of such
shareholder co. should also be submitted in same format ), Foreign Company ( with its country
of incorporation ) etc.
@@ Persons holding 2% or more of the paid up capital should be shown separately and not
clubbed in Others.
@@@ Copy of PAN card for Person holding 10% or more of paid up capital should be enclosed.
CERTIFICATE
This is to certify that the Shareholding in
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.
Place:
Date:
For (Name of CA/CS firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
13 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-4
(For Partnership Firms)
Certificate dated ___________________ submitted by__________to NCDEX
Sharing Pattern of ______________ as on 31.03.2016
Sr.
No.
Name of Partner
Nationality/
Residential
Status of each
Partner
@
Capital in Share in
the Firm Profits
(Rs )
(%)
Share in
Losses
(%)
1
2
3
4
5
6
7
8
9
10
TOTAL
100 %
100 %
1) We have not changed the Sharing Pattern and/or DPG since the date we joined NCDEX as a
member.
OR
2) After becoming the member of NCDEX, we have changed the Sharing Pattern, last such
change in Share Pattern was carried out on ___________after seeking Exchange approval
(vide NCDEX letter/s ref ............................dated ..................................)
(Delete whichever of the above two is not applicable)
I/We hereby state that the above-mentioned particulars are true, correct and complete to the
best of my/our knowledge and information. I / We also state that no relevant material fact has
been suppressed.
Date:
Signature(s)
Place:
(Authorised Signatory/ies)
14 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
NOTES:
1. Please provide the details of all the partners in the table given above.
2. Please identify the dominant partners from among the partners given above. If any partner(s) is
a company, please furnish the shareholding of that company.
3. @ e g Resident Indian Individual, NRI individual , PIO ( citizen of ……… ), Foreign National
(citizen of ………………), Indian Co not having any foreign and/or NRI/PIO shareholders, Indian
Co with foreign and /or PIO/NRI shareholders (if so the shareholding pattern of such shareholder
co should also be submitted in same format ), Foreign Company ( with its country of
incorporation ) etc.
CERTIFICATE
This is to certify that the Capital and Sharing Pattern of
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.
Place:
Date:
For (Name of CA/CS Firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
15 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-5
(For Corporates & Partnerships)
Certificate dated ______________ submitted by _____to NCDEX
Details of Dominant Promoter Group as on 31.03.2016
Sr.
No.
Name of
Dominant
Shareholder
Person
/ Relation
Corporate
(Self /
supporting Corporate)
dominant
share
holder
No. of
shares Amt Paid Up (Rs) % of Total @
held
/
Profit @
Sharing @
Self
Relative /
Corporate
Support
Self
Relative /
Corporate
Support
Self
Relative /
Corporate
Support
Total
1) We have not changed the DPG Pattern since the date we joined NCDEX as a
member. OR
2) After becoming the member of NCDEX, we have changed the DPG Pattern in the past after
seeking prior approval of NCDEX and the last DPG Pattern change with Exchange approval
was
effectedon...............................
(NCDEXapprovalvideitsletter/s
dated...................................
)
ref.............................
(Delete whichever of the above two is not applicable)
I/We hereby state that the above-mentioned particulars are true, correct and complete to the
best of my/our knowledge and information. I / We also state that no relevant material fact has
been suppressed.
Date:
Place:
Signature(s)
(Authorised Signatory/ies)
16 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Total
CERTIFICATE
This is to certify that the Shareholding/ Sharing Pattern of __________ 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.
Place:
Date:
For (Name of CA/CS Firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
NOTE:
For arriving at the shareholding of persons constituting the Dominant Promoter Group, the
shareholding of close relatives as per Section 2(77) of the Companies Act, 2013 and
associates/corporates, only may be counted, provided these relatives give an irrevocable,
unconditional support in writing in the prescribed format of the Exchange.
17 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-6
(Each relative to use separate copies of this annexure)
Certificate dated
submitted by____________to NCDEX
Undertaking from Relative of Persons Constituting the Dominant Promoter / Partner
Group
I,Mr./Ms./Mrs.____________
,
son/daughter/wife
of
Mr./Ms.
declare that:
,
resident
of
I am the absolute owner of ……… (no) of shares of Rs …….. each Rs…..per share paid up which
constitutes ___% of the total paid up capital of the company_____________________Private
Limited/Limited………………….as on this date.
Or
I am a partner in the partnership firm
profit and
to the extent of
date.
for sharing
% as on this
(Please strike off whichever is not applicable)
I state that I shall irrevocably and unconditionally support in respect of my shareholding
/ sharing pattern, Mr/Ms.
, a shareholder / partner in the
above mentioned company / partnership firm. I further state that I have no objection to my
above-mentioned shareholding / sharing pattern being clubbed with the shareholding / sharing
pattern of Mr/Ms. ______________________, who is my (give relationship with the latter) for the
purpose of determining the dominant promoter / partner group of the said company / partnership
firm.
This support is irrevocable and I also undertake to give prior information to the National
Commodity & Derivatives Exchange Limited before selling or otherwise transferring any part or
whole of my above mentioned shareholding / sharing pattern.
WITNESS BY:
Signature
Name
Address
Date
:
:
:
:
Signature :
Name :
Place :
Date :
18 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
CERTIFICATE
This is to certify that the Shareholding / sharing pattern in _______________ 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.
Place:
Date:
For (Name of CA/CS Firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
Note :
For arriving at the shareholding of persons constituting the Dominant Promoter Group, the
shareholding of close relatives as per Section 2(77) of the Companies Act, 2013 and
associates/corporates, only may be counted, provided these relatives give an irrevocable,
unconditional support in writing in the prescribed format of the Exchange.
19 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure: C-6
Certificate dated
submitted by______________to NCDEX
Undertaking from Corporate supporting Dominant Promoter Group
We, M/s. _______________ Limited, incorporated as a Company under the Companies Act,
1956 and having its registered office at: _______________________
____________________________ do state as under:
1. As per the existing norms of National Commodity & Derivatives Exchange (NCDEX), the
shareholding of Mr./Ms.__________ * in our company in direct proportion to our shareholding in
the Member Company, may be reckoned for the purpose of arriving at the Dominant Promoter
Group in M/s. (Member Company).
2. We are ______________ % shareholder of the Member Company and Mr. /Ms. _____________
, dominant promoters of the Trading Member Company along with his/her specified relatives @
i.e., are having __ % shareholding in our company.
3. Mr./Ms. * have requested NCDEX to consider their shareholding in our company in the
permissible proportion to arrive at the dominant shareholders in the Member Company and also
requested us to give an irrevocable undertaking extending unconditional support to Mr./Ms.
(Name of the Dominant promoters of the Member Company) to enable NCDEX to consider the
aforesaid as Dominant Promoter Group.
4. We hereby extend our unconditional and irrevocable support in support of Mr./Ms. (Name of the
Dominant promoters of the Member Company) for the purpose of the determining the Dominant
Promoter Group in the said Member Company.
5. We also undertake to give prior information to NCDEX before effecting any change in the
shareholding of Mr./Ms.
.*
WITNESS BY :
Signature
Name
:
:
Signature
Name
:
:
Address
Place
:
Address
Place
:
:
Date
:
Date
:
20 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
NOTES:
* Name of the Dominant Promoters of the Member Company along with their specified relatives
having shareholding in the corporate giving the undertaking.
@ For arriving at the shareholding of persons constituting the Dominant Promoter Group, the
shareholding of close relatives as per Section 6 of the Companies Act, 1956 and
associates/corporates, only may be counted, provided these relatives give an irrevocable,
unconditional support in writing in the prescribed format of the Exchange.
CERTIFICATE
This is to certify that the shareholding of M/s. __________________________ is/are as
mentioned below, based on our scrutiny of the books of accounts, records and documents. We
further certify that the information given above is true and correct to the best of our knowledge
and as per information provided to our satisfaction.
Sr No.
Place:
Date:
Name of holder the Share
No. of Shares
Paid up Share
Capital
% Shareholding
For (Name of Chartered Accountant Firm)
Name of Partner/Proprietor of
Chartered Accountant/Company Secretary
CA/CS Stamp and Membership Number
Note: The below Board resolution should be given along with the undertaking as given by
Corporate supporting the Dominant Promoter Group
21 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Board Resolution
(To be given on the company’s letterhead)
Certified true copy of the Resolution passed at the meeting of the Board of Directors of (Name of
the Company) _____________________________ held on _____________ (Venue).
Resolved that the company do extend its unconditional and irrevocable support in favour of
Mr/Ms.____________________ for the purpose of determining the Dominant Promoter Group in
M/s.__________________________ (Name of the Member) and accordingly, execute necessary
documents including an irrevocable undertaking to give effect to the same and submit it to National
Commodity & Derivatives Exchange Limited. Resolved further that Mr/Mrs._________________,
Director(s) of the company be and is /are hereby jointly or severally authorized to execute necessary
documents including undertakings as prescribed by NCDEX from time to time.
Certified to be true
For
(Name of the Company)
(Signature & Designation)
22 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure D
Format of declaration (On the letterhead of the Member)
To,
The Membership Department
National Commodity & Derivatives Exchange
Limited 1st Floor, Akruti Corporate Park
LBS Marg, Near G.E. Garden, Kanjur Marg,
(West) Mumbai 400 078
Sub: Members’ Fidelity Insurance
Dear Sir,
*We refer to your Circular NCDEX/MEMBERSHIP-002/2016/160 dated July 04, 2016
We declare and confirm that we have taken out / renewed Members’ Fidelity Insurance for
Rs.
Which is in force till _______ (Date).
We are attaching a photocopy of the original insurance/renewal cover note.
*We are not trading on account of clients and we have not taken Members’ Fidelity Insurance.
(*Delete whichever of the above two is not applicable)
Yours Faithfully,
For
(Name of the Member)
Authorised Signatory
23 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure E
(On the letterhead of the Member)
Format of Declaration cum Confirmation for Inactive Members
To
The Membership Department
National Commodity & Derivatives Exchange
Limited 1st Floor, Akruti Corporate Park
LBS Marg, Near G.E. Garden, Kanjur Marg,
(West) Mumbai 400 078
Sub: Our Membership of the Exchange: TMID …………………
Dear Sir,
With reference to your circular no. NCDEX/MEMBERSHIP-002/2016/160 dated July 04, 2016
we M/s.________________ (Name of the Member) do declare and confirm as under:
We have not traded on the Exchange on or after April 01, 2015
We also hereby declare that there is no change in the Directors, Shareholding Pattern and
dominant promoter group (DPG) of the company and if there is any change the same will be
intimated to the Exchange in the prescribed format.
We are enclosing the
1. Our Net worth Certificate as on ……………….. in the prescribed formats (Annexure C-and C1A) duly certified by Chartered Accountant.
2. Annexure C-2- Details of other Exchange Membership
3. Annexure F - Contact details of Member
4. Annexure G - Undertaking of Foreign share Holding
5. Financial Statements (which includes Balance Sheet, Profit & Loss Account,Income &
Expenditure Account, Directors’ and Auditor’s Reports) duly certified by CA.
Yours faithfully,
For
(Name of the Member)
Authorised Signatory
24 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Annexure F
(On the letterhead of the Member)
Present contact details of the Member Company
Registered office Address
Address
Name of contact Person
Contact Nos.
Telephone Nos.
Fax No
Mobile Nos.
Email ID
Correspondence office Address
Address
Name of contact Person
Telephone Nos
Fax No
Mobile Nos
Email ID
Compliance Officer Details
Name
Address
PAN No.
Email ID
Telephone nos.
Fax Nos.
Mobile nos.
Member`s Registration ID with FIU-IND
(FIUREID)
Details of Principle Officer registered with
FIU-IND
Name
Address
PAN No.
Email ID
25 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
Telephone nos.
Fax Nos.
Mobile nos.
Details of Designated Director registered
with FIU-IND
Name
Address
PAN No.
Email ID
Telephone nos.
Fax Nos.
Mobile nos.
I/We* undertake to intimate and update the Exchange as and when there is any change in the
aforesaid information being submitted to the Exchange.
Yours faithfully
For________________
Authorised Signatory/ies (with name, designation and stamp)
26 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
(On the Letterhead of the Member)
Annexure G
Format of Foreign Holding Undertaking
Date:To,
Membership Department
National Commodity & Derivatives Exchange
Limited 1st Floor, Akruti Corporate Park,
Near G.E. Garden, LBS
Road, Kanjur Marg West,
Mumbai 400 078
Dear Sir,
We hereby confirm and declare that we do not have any foreign shareholders either in our
Company or our holding company/ies.
Or
We hereby confirm that we have foreign shareholders and further confirm that all the necessary
approvals for allotment of shares to foreign shareholders have been obtained from the
appropriate/relevant authorities including that of Foreign Investment Promotion Board (FIPB)
and (RBI) to deal in Commodity Derivative contracts by us. The latest FIPB/RBI approval is
being enclosed for your records.
I/We declare that the information given above is true.
Yours faithfully,
For (Name of the Member)
Signed by Authorised Signatory
27 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
(On the Letterhead of the Member)
Annexure H
Details of sales personnel or approved user who has passed any certification programme
Sl.
No.
Name
Date of test
Percentage
Certificate No.
Validity date
of certificate
We are attaching a photocopy of the Certificates of two users.
I/We declare that the information given above is true.
Yours faithfully,
For (Name of the Member)
Signed by Authorised Signatory
28 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
(On the Letterhead of the Member)
Annexure I
Associate Companies/Partnership/ Proprietorship Firm having direct/indirect interest (* as
defined below) in capital/ commodity market.
Name
Form
of
organization
Type
of
intermediary
#
Whether
registered with
SEBI (give
Regd. No. )
Whether
registered
with Other Regulators
(RBI, MCA, IRDA
etc,) or
listed – If yes,
Registration No and
name of regulator
may be provided.
Nature
* The member is deemed to have direct/indirect interest in the following conditions:
i. Where he is an individual, he or any of his relative being a broker/any intermediary, he or any
of his relative being a partner in a broking firm/any intermediary, he or any of his relative
being a director in a broking company/any intermediary or he or any of his relatives clubbed
together holding substantial equity in any broking company/any intermediary engaged in
capital market.
ii. Where it is partnership firm/company, the relative(s) of partner(s)/director(s) in the
firm(s)/corporate body being a broker/any intermediary or being partner(s)/director(s) in any
broking/intermediary or the same set of shareholders holding substantial equity in other
broking / any intermediary engaged in capital market
iii. Relative shall mean husband, wife, brother, unmarried sister or any linear ascendant or
descendant of an individual.
# Merchant Banker, Portfolio Manager, Registrar to Issue & Share Transfer Agent, Banker to an
Issue, Mutual Fund, Venture Capital , Underwriter, Debenture Trustee, FII, etc
I/We declare that the information given above is true.
Yours faithfully,
For (Name of the Member)
Signed by Authorised Signatory
29 / 29
Registered Office: 1st Floor, Akruti Corporate Park, Near G.E. Garden, LBS Road,
Kanjurmarg West, Mumbai 400 078, India. CIN No. U51909MH2003PLC140116
Phone: +91-22-6640 6789, Fax +91-22-6640 6899, Website: www.ncdex.com
interest
of