evsjv`k MRU

mv`b Kivi Rb Kwgkb KZK wbeb mb` cv

nBqvQb|]|
(L) Aav`k A_ Securities and Exchange Ordinance,

eyaevi, bf^i 29, 2000

1969 (XVII of 1969);

8g L-- emiKvix ew Ges Kcvikb KZK A_i wewbgq RvixKZ

wevcb I bvwUkmg~n|

(M) AvBb A_ wmwKDwiwUR I GP Kwgkb AvBb, 1993

(1993 mbi 15 bs AvBb);
(N) Avw_K wnmve weeiYx ewjZ evjv kxU, jvf-jvKmvb
wnmve ev Avq-eq weeiYx, Kvk cevn weeiYx, BKyBwU
cwieZb weeiYx Ges wnmve msv bvUI eySvBe;
(O) Zdwmj A_ GB wewagvjvi Kvb Zdwmj;
(P) wbeb mb` A_ AvBbi aviv 10 G DjwLZ Kvb
wbewKiY mb`, hvnv GB wewagvjv Abymvi c`vb Kiv nq;
(Q) dig A_ c_g Zdwmj-G weaZ Kvb dig;
(R) ew ewjZ Kvb Kvvbx ev mswewae msvI
eySvBe;
(S) K-wWjvi A_ Ggb Kvb ew whwb wbRi Rb
wmwKDwiwU q I weq Kwiqv _vKb;
(T) K-evKvi A_ Ggb Kvb ew whwb Ab Kvnviv
c wmwKDwiwU q I weq Kwiqv _vKb|
4
[(2) GB wewagvjvq eeZ hB mKj k ev Awfewi
(expression) msv c`vb Kiv nq bvB mB mKj k ev
Awfew Securities and Exchange Ordinance, 1969
(XVII of 1969), evsK Kvvbx AvBb, 1991 (1991 mbi
14 bs AvBb), wmwKDwiwUR I GP Kwgkb AvBb, 1993
(1993 mbi 15 bs AvBb), Avw_K cwZvb AvBb, 1993
(1993 mbi 27 bs AvBb), Kvvbx AvBb, 1994 (1994
mbi 18 bs AvBb), wWcwRUwi AvBb, 1999 (1999 mbi 6
bs AvBb) Ges Dnv`i Aaxb RvwiKZ Kvb wewagvjv ev
cweavbgvjvq hB A_ eeZ nBqvQ mB A_ eeZ
nBe|]

wmwKDwiwUR I GP Kwgkb

cvcb
ZvwiL, 15B KvwZK, 1407/30k Avei, 2000|
bs-GmBwm/iwRt/ct/K wWt I evt/2000/754-- wmwKDwiwUR I
GP Kwgkb AvBb, 1993 (1993 mbi 15bs AvBb) Gi aviv 24(1)
G c` gZvej wmwKDwiwUR I GP Kwgkb, c~e cKvki ci,
wbgewYZ wewagvjv cYqb Kwij t[

1| msw wkivbvg| GB wewagvjv 1[wmwKDwiwUR I GP Kwgkb

(K-wWjvi, K-evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000] bvg
AwfwnZ nBe|
2| msv|- 2[(1)]welq ev cmsMi cwicx Kvb wKQy bv _vwKj, GB
wewagvjvq3
[(K) Abygvw`Z cwZwbwa A_ Ggb Kvb ew whwb Kvb KwWjvi ev K-evKvii cwZwbwa wnmve GB wewagvjv
Abymvi wmwKDwiwU q-weq I GZ`msv Kvhvw`

cvcb bs-GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/01-37 ZvwiL 23 deqvwi, 2009

Gi viv K wWjvi I K evKvi kwj K wWjvi I K evKvi kwj viv AvBbi
me cwZvwcZ nBqvQ|
2
evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs -GmBwm/wmGgAviwmwW/
2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag mwbewkZ nBqvQ|
3
cvcb bs-GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/01-37 ZvwiL 23 deqvwi, 2009
Gi viv cwZvwcZ nBqvQ|

evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs -GmBwm/wmGgAviwmwW/

2001-002/ 366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag mwbewkZ nBqvQ|

AviI kZ _vK h, GB mskvabxmg~n MRU wewZ

cKvkbvi ZvwiL h mKj K wWjvi ev K evKvi
KvhKi iwRkb mb`g~j KgiZ AvQb Zvnv`iK
D ZvwiLi GK eQii ga D hvMZv ARb I
kZq c~iY KwiZ nBe|]
(N) Dnv ev Dnvi cwiPvjKgjxi Kvb m`m RvwjqvwZ,
cZviYvg~jK ev Amvay KvhKjvcRwbZ
Kvb
dR`vix
Acivai `vq `wZ nq;
(O) Dnv ev Dnvi cwiPvjKgjxi Kvb m`m Av`vjZ KZK
`Dwjqv ev weKviM ewjqv NvwlZ nq;
3
[(OO) Dnv ev Dnvi cwiPvjKgjxi Kvb m`m evsjv`k evsKi
Credit Information Bureau (CIB) c` cwZe`b
gvZveK FY Ljvcx ewjqv wPwZ nq;]
4
[(P) Dnv ev Dnvi cwiPvjKgjxi Kvb m`m weMZ wZb ermii
ga wbeb mb` evwZjKZ Kvb K wWjvi ev K evKvi
Gi mwnZ mswk _vKb ev D K wWjvi ev K evKvi
Kvb Kvvbx ev mswewae msv nBj Dnvi cwiPvjKgjxi
m`m nb;];
5
[(Q) Dnv, mswk K GPi Abygv`b mvc, Dnvi cavb
wbevnx ev cwiPvjK gjxi Kvb m`mK Z`viKx KZc
(compliance authority), wnmve wbqvM`vb bv Ki t

[2K| Av`k ev wb`k cwicvjb|-GB wewagvjvq DwjwLZ cwicvjbxq

weavbmg~n wmwKDwiwUR I GP Kwgkb AvBb, 1993
gvZveK c` wb`k ev Av`k cwicvjb wnmve MY nBet

Ze kZ _vK h, Kwgkb, GB wewagvjvi Aaxb mgq mgq Ab Kvb

Av`k ev wb`kI Rvix KwiZ cvwie|]
3| wbeb mb` eZxZ wmwKDwiwU q-weq BZvw` wbwl|- wewa 21 I
22 Gi weavb mvc, Kvb K wWjvi, K-evKvi ev Abygvw`Z
cwZwbwa GB wewagvjvi Aaxb c` I ejer wbeb mb` eZxZ Kvb
wmwKDwiwU q-weq I GZ`msv Kvhvw` KwiZ cvwieb bv|
4| wbeb mb` cvwi hvMZv|- (1) Kvb ew K wWjvi ev K
evKvi wnmve wbeb mb` cvwi hvM nBe bv, hw` (K) Dnv Kvb K GPi m`m bv nq;
(L) Dnv Kvb gvPU evsKvi, cvU dvwjI gvbRvi, wgDPzqvj
dvi Uvw, ndvRZKvix wKsev m` eevcbv Kvvbx
nq;
2
[(M) Dnv Kvb Kvvbx ev mswewae msv bv nq, Ges Dnvi bM`
cwikvwaZ g~jab b~bZg cuwPk j UvKv bv nqt
Ze kZ _vK h,(A) Dnv hw` GKvwaK K GPi m`m nq Zvnv nBj
Dnvi D b~bZg cwikvwaZ g~jabi cwigvY
Dnvi m`m msLvi YxZK nBZ nBe; Ges
(Av) Dnvi cwikvwaZ g~jabi AZt AaK mvewYK bxU
m` (net worth) wnmve _vwKZ nBe;

cvcb bs- GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/03-17 ZvwiL 9 Rvbyqvwi, 2006

Bs Gi viv mwbewkZ nqvQ, hvnv evsjv`k MRU Gwcj 5, 2006Bs ZvwiL cKvwkZ
nBqvQ|
2
cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi
gvag cwZvwcZ nBqvQ hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|

kZ _vK h, Z`viKx KZc (compliance authority) K

GP KZK
wbavwiZ mgq I cwZZ, wbqvMKvix KZc
I D

evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs GmBwm/wmGgAviwmwW/2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag
mwbewkZ nBqvQ;
4
cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi
gvag cwZvwcZ nBqvQ hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ;
5
cvcb bs- GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/03-17 ZvwiL 9 Rvbyqvwi, 2006
Bs Gi viv mwbewkZ nqvQ, hvnv evsjv`k MRU Gwcj 5, 2006Bs ZvwiL cKvwkZ
nBqvQ|

K GP, Ges cqvRb Kwgkb Gi wbKU Dnvi `bw`b

KgKvi Z`viKx (complianc) msv cwZe`b `vwLj Kwieb|]
1
[AviI kZ _vK h, Z`viKx KgKZvK AekB b~bZg vZK
wWMxavix nBZ nBe Ges Kwgkb cqvRb gb Kwij mgq mgq G
welq h Kvb kZ Avivc KwiZ cvwie|]
(2) Kvb ew Abygvw`Z cwZwbwa wnmve wbeb mb` cvwi
hvM nBeb bv, hw` wZwb(K) GKzk ermii Kg eq nb;
(L) DP gvawgK zj mvwUwdKU ev mggvbi wkvMZ
hvMZvi AwaKvix bv nb;
(M) wmwKDwiwU welq Kwgkb KZK cwiPvwjZ cwkY
Kgm~Px ev ZrKZK ^xKZ Kvb cwZvb nBZ
wmwKDwiwU q-weq I GZ`msv Kvhvw` mv`b
welq cwkYcv bv nb, A_ev Kwgkb KZK
RvixKZ
Av`k viv wbavwiZ gqv`i AwfZv mb bv nb;
2
[(N)]
(O) RvwjqvwZ, cZviYvg~jK ev Amvay KvhKjvcRwbZ Kvb
dR`vix Acivai `vq `wZ nb; A_ev
(P) Kwgkb ev Kvb K GP KZK c` Kvb cKvi
kvw cvBqv _vKb|
3
[(3)]
4
[(4) Kvb Abygvw`Z cwZwbwa Kvb K-wWjvi ev KevKvii mwnZ mswk K GP KZK wbavwiZ I
Kwgkb KZK Abygvw`Z Pzwc mv`b Kwiqv D
K-wWjvi ev K-evKvii wbqvMcv cwZwbwa
wnmve KvR KwiZ cvwieb|]|

5| wbeb mb`i Rb `iLv `vwLj, weePbv BZvw`|- (1) wbeb

mb` cvwi Rb wbgewYZ dig I wdm c`vb `iLv `vwLj KwiZ
nBe, h_vt(K) K wWjvi ev K evKvii , dig K-Z Ges wek nvRvi
UvKv wdm c`vb;
(L) Abygvw`Z cwZwbwai , dig L-Z Ges GK nvRvi UvKv
wdm c`vb|
(2) Dc-wewa (1) G wbw` wdm Kwgkb eivei GKwU evsK WvdU
ev c-AWvii gvag Rgv w`Z nBe|
5
[(3) K wWjvi, K evKvi ev Abygvw`Z cwZwbwai `iLv, evsK
WvdU ev c-AWvi, mswk K GPi mycvwikmn, D
K GPi gvag Kwgkb Awdm `vwLj KwiZ nBet
Ze kZ _vK h, mswk K GP Dnvi mycvwik c`vbi
c~e mswk Ave`bKvix KZK `vwLjKZ KvMRcvw` I
Z_vw` cixv-wbixv c~eK dig-P (Abygvw`Z cwZwbwai
Rb chvR nBe bv) c~iY Kwiqv dig-K Gi mwnZ mshy
Kwiqv w`e|
(4) `iLvKvixi dig DjwLZ Z_vw`i mg_b cqvRbxq
KvMRc Ges Kwgkb KZK wb`wkZ nBj AwZwi Z_vw`
Ges KvMR c D wb`k gvZveK `vwLj KwiZ nBe|
(5) `iLv mK m nBj `iLv msv cqvRbxq hveZxq
Z_ cvwi AbwaK cuqZvwjk w`bi ga Kwgkb D `iLv
gyi Kwiqv dig M-Z wbeb mb` c`vb Kwie, Ab_vq D
mgqi ga wjwLZ KviY DjLc~eK
Dnv bvgyi Kwie Ges
D wmv `iLvKvixK RvbvBqv w`e|
6| m`mc` nvii mb` evwZj|- (1) Kvb K wWjvi ev
K evKvi K GPi m`m c` nvi KwiZ BQyK nBj

cvcb bs-GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/01-37 ZvwiL 23 deqvwi, 2009

Gi viv wejy nBqvQ nBqvQ|
3
22k Avei 2007Bs ZvwiL evsjv`k MRU cKvwkZ bvwUwdKkb viv wejy nBqvQ|
4
cvcb bs-GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/01-37 ZvwiL 23 deqvwi, 2009
Gi viv cwZvwcZ nBqvQ|

evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs GmBwm/wmGgAviwmwW/2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag
cwZvwcZ nBqvQ;

Dnv, Dnvi bvg Kwgkb KZK BmyKZ wbeb mb` m`mc` nv

ii Ave`bi mwnZ K GPi wbKU `vwLj Kwie|
(2) K GP KZK D nvi KvhKi nBevi w`b nBZ mswk
wbeb mb`wU evwZj ewjqv MY nBe Ges K GP
evwZjKZ wbeb mb`wU D nvi KvhKi nBevi w`b nBZ
cieZx Kvh w`emi ga Kwgkbi wbKU ciY Kwiet

(L) Abygvw`Z cwZwbwai , cuvPkZ UvKvi wdm Kwgkb

eivei RgvKiYi evsK WvdU ev c-AWvi `vwLj
KwiZ nBe|
(2) Dc-wewa (1) G wbavwiZ mgqi ga `iLv `vwLj KwiZ
e_ nBj cwZw`bi wej^i Rb K wWjvi I K evKvii
cuvPkZ UvKv Ges Abygvw`Z cwZwbwai GKkZ
UvKv wnmve AwZwi wdm `iLvi mv_ Kwgkb eivei Rgv
KwiZ nBe|
2
[(3) wbeb mb` bevqbi Dk `iLv dig Gi wbw` Ask
mswk K GP KZK c~iY KivBqv digwU D K
GPi gvag Kwgkb Awdm `vwLj KwiZ nBe t

Ze kZ _vK h, nvi PzwwUZ GB gg GKwU `dv mshy

_vwKe h, nvii ZvwiL nviKvixi wmwKDwiwU jb`b mswk
Awbb hveZxq `vq I `vwqZ nvi MnxZvi wbKU nvwiZ
nBqvQ Ges nvi MnxZvI D `wjj GB gg GKwU AxKvi bvgv
wjwce Kwie h, Dnv Dic hveZxq `vq I `vwqZ ^Qvq MnY
KwiqvQ Ges Zvnv cvjb Ges wbw KwiZ Dnv eva _vwKet

Ze kZ _vK h, mswk K GP digi wbw` Ask c~iY

Kwievi c~e Ave`bKvix KZK `vwLjKZ KvMRcvw` I Z_vw`
cixv-wbixv c~eK dig-Q c~iY Kwiqv dig N Gi mwnZ mshy
Kwiqv w`e|]

AviI kZ _vK h, K GP Dic `dv Ges AxKvibvgv

eZxZ Kvb nvi gyi Kwie bv|
1

[7| wbeb mb`i gqv`|- wewa 5 Gi Aaxb c` wbeb mb`i gqv`

nBe K wWjvi ev K evKvii Dnv c`vbi ZvwiL nBZ
GK ermi Ges Abygvw`Z cwZwbwai Dnv c`vbi ZvwiL nBZ
cvuP ermi|]

8| wbeb mb` bevqb|- (1) Kvb wbeb mb` bevqbi Dk Dnvi

gqv` c~wZi Ab~b wk w`b c~e mb`i g~j Kwcmn dig N-Z
`iLv KwiZ nBe Ges `iLvi mwnZ(K) K wWjvi ev K evKvii , `k nvRvi UvKvi
wdm Kwgkb eivei RgvKiYi evsK WvdU ev c
AWvi `vwLj KwiZ nBe ;

[(4) bevqbi `iLv GB wewagvjv Abyhvqx h_vh_fve ck Kiv

nBj Kwgkb wbeb mb`i mswk QK Dnvi mekl gqv`
K wWjvi ev K evKvii cieZx GK ermi Ges
Abygvw`Z cwZwbwai cieZx cvuP ermii Rb bevqb
Kwie|]|

9| WzwcKU wbeb mb` BmyKiY|- (1) Kvb wbeb mb` nvivBqv ev

Lvqv Mj ev b ev eenvii Abychy nBqv Mj, Kwgkb,
wbgwjwLZ kZ Ges cwZ cvjb mvc, Dnvi WzwcKU Kwc mswk

cvcb bs -GmBwm/wmGgAviwmwW/2001-002/74/ckvmb-01/35 ZvwiL 14 AvM 2008Bs

Gi gvag cwZvwcZ nBqvQ, hvnv bf^i 18, 2008Bs ZvwiL evsjv`k MRU cKvwkZ
nBqvQ|

evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs -GmBwm/wmGgAviwmwW/

2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag cwZvwcZ nBqvQ;
3
cvcb bs -GmBwm/wmGgAviwmwW/2001-002/74/ckvmb-01/35 ZvwiL 14 AvM 2008Bs
Gi gvag cwZvwcZ nBqvQ, hvnv bf^i 18, 2008Bs ZvwiL evsjv`k MRU cKvwkZ
nBqvQ|

K wWjvi, K evKvi ev Abygvw`Z cwZwbwaK mieivn KwiZ

cvwie, h_v t(K) wbeb mb` nvivBqv Mj ev Lvqv Mj, mswk K
wWjvi, K evKvi ev Abygvw`Z cwZwbwa welqwU _vbvq
mvaviY WvBixZ wjwce KivBeb Ges Zrci GKwU
`wbK cwKvq nvivbv ev Lvqv hvIqvi welqwU DjL
c~eK wbeb mb`wU diZ `vbi Abyiva m^wjZ GKwU
wew cKvk Kwieb ;
(L) `dv (K) Abymvi wew cKvki GK mvn ci
WzwcKU mb` Bmyi Ave`b RvbvBqv mswk K wWjvi,
K evKvi ev Abygvw`Z cwZwbwa Kwgkbi wbKU
GKwU `iLv Kwieb Ges D `iLvi mwnZ wbgewYZ
KvMRc `vwLj Kwieb, h_v t(A) Kwgkb eivei GK nvRvi UvKvi wdm RgvKiYi GKwU
evsK WvdU ev c-AWvi ;
(Av) wbeb mb` nvivBqv ev Lvqv hvIqvi , `dv (K)
Z DjwLZ mvavib WvBixi mZvwqZ bKj Ges wewi
Abywjwc; Ges
(B) wbeb mb` b ev eenvii Abychy nIqvi ,
mb`i Aewk Ask (hw` _vK)|
(2) Dc-wewa (1) Abymvi `vwLjKZ `iLv mK m nBj
Kwgkb Dnv cvwi cbi w`bi ga mswk iwRvi Ges
Abvb Z_vw`i wfwZ WzwcKU wbeb mb` Bmy Kwie,
Ab_vq D mgqi ga wjwLZ KviY DjL c~eK Dnv
bvgyii wmv `iLvKvixK RvbvBqv w`e|
10| iwRvi|- Kwgkb I mswk K GP wewa 5 Gi Aaxb c`
mb`, wewa 8 Gi Aaxb bevqbKZ mb` Ges wewa 9 Gi Aaxb c`
WywcKU mb` msv gwjK Z_vw` GKwU iwRvi wjwce
Kwie|

11| mb`cv ewi KZe|- cZK K wWjvi, K evKvi Ges

Abygvw`Z cwZwbwa mevP mZZv I wekZvi mwnZ Zvnvi KvRKg
cwiPvjbv Kwieb Ges AvBb, Aav`k, GB wewagvjv Ges wZxq
Zdwmj weaZ AvPiY wewamn wbeb mb`i mKj kZvejx
hv_vh_fve cvjb Kwieb|
12| wbeb mb` evwZj, wMZKiY, BZvw`|- (1) Dc-wewa (6) Gi
weavbvejx zb bv Kwiqv, Kvb K wWjvi, K evKvi ev Abygvw`Z
cwZwbwa wewa 4 Abymvi Zvnvi hvMZv nvivBj, ev AvBb, Aav`k
ev GB wewagvjvi Kvb weavb ev wbeb mb`i Kvb kZ f Kwij,
ev wZxq Zdwmj weaZ Kvb AvPiYwewa Agvb Kwij, Kwgkb
1
[A_ ` ev] Zvnvi mb` evwZj KwiZ cvwiet
Ze kZ _vK h, hvMZv nvivBevi eZxZ Ab Kvb
Kwgkb, Dchy weePbv Kwij, mb` evwZj bv Kwiqv AbwaK GK
eQii Rb Dnvi KvhKvwiZv wMZ KwiZ cvwiet
2

[AviI kZ _vK h, GB Dc-wewai Aaxb A_ ` Avivc ev Kvb

mb` evwZj ev wMZ Kivi c~e Kwgkb A_ ` ev evwZj ev wMZ
Av`k Gi KviY DjL Kwiqv mswk K wWjvi, K evKvi ev
Abygvw`Z cwZwbwaK AZt `k w`bi GKwU bvwUk c`vbc~eK

Zvnvi ee wjwLZfve Dcvcbi myhvM c`vb Kwie|]

(2) Dc-wewa (1) Gi Aaxb bvwUk cvwi ci mswk K wWjvi,
K evKvi ev Abygvw`Z cwZwbwa Zvnvi ee bvwUk
wbavwiZ mgqi ga Dcvcb Kwij Kwgkb D ee
Ges Dc-wewa (3) Gi Aaxb `vwLjKZ Z` cwZe`b
weePbvg, Ges cqvRbeva ZvnvK ewMZ ev
cwZwbwai gvag bvbxi myhvM c`vb Kwiqv, cvweZ

cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi

gvag Af
~ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|
2
cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi
gvag cwZvwcZ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|

(3)

(4)

(5)

(6)

(7)

[A_`, mb`] evwZj wKsev wMZKiY mK wmv MnY

Kwie Ges wmvwU wjwLZfve RvbvBqv w`e|
GB wewai Aaxb wmv MnYi myweav_ Kwgkb cqvRb gb
Kwij GK ev GKvwaK Z`Kvix wbqvM KwiZ cvwie Ges
GBic Z`Kvix Kwgkbi wb`k Abymvi Z` Kvh mb
Kwiqv GKwU cwZe`b `vwLj Kwie|
Z`Kvix mswk K wWjvi, K evKvi ev Abygvw`Z
cwZwbwa Ges Abvb ewK wRvmvev` KwiZ mswk
KvMRc cixv KwiZ Ges cqvRbeva Dnvi bKj jBZ
cvwie, Ges GB evcvi mswk mKj Z`KvixK
mnhvwMZv KwiZ eva _vwKeb|
GB wewai Aaxb Kvb wbeb mb` evwZj wKsev wMZ Kiv
nBj D wmvi GKwU Abywjwc mswk K GP
ciY KwiZ nBe Ges welqwU wewa 10 G DwjwLZ
iwRvi wjwce KwiZ nBe|
Kwgkb Kvb wekl hw` GB gg m nq h, Dcwewa (1) Gi Aaxb Kvb wmv Mnbi c~eB Kvb wbeb
mb`i KvhKvwiZv wMZ Kiv cqvRb Zvnv nBj, Dc-wewa
(1) Gi kZvsk Abymvi bvwUk Rvixi c~e ev ci h Kvb
mgq ZvrwYK bvbx w`qv AbwaK wk w`bi Rb D
mb`i KvhKvwiZv wMZ KwiZ cvwie, Ges Zvnv Kiv
nBj welqwU mK mswk K GPK wjwLZfve
AewnZ Kwie|
Dc-wewa (1) ev (6) Gi Aaxb Kvb wbeb mb`i
KvhKvwiZv wMZ Kiv nBj mswk K wWjvi ev K
evKvi ev Abygvw`Z cwZwbwa D mb`i wfwZ Kvb
Kvhg cwiPvjbv KwiZ cvwie bv|

13| K wWjvi ev K evKvi Gi wnmve ewn, bw_c BZvw`|- (1)

cZK K wWjvi ev K evKvi Aav`k ev Dnvi Aaxb cYxZ
wewa viv wbavwiZ wnmve ewn, iwRvi I Abvb KvMRc ev
`wjjvw`i AwZwi wbgewYZ wnmve ewn, bw_c, iwRvi I
`wjjvw` msiY Kwie, h_v t(K) gjMYi bvg, wVKvbv Ges mswk KvW b^i m^wjZ
iwRvi;
(L) wmwKDwiwU q-weq msv wbv iwRvimg~n(A) nvIjv ev PzwwfwK iwRvi,
(Av) wmwKDwiwUwfwK iwRvi,
(B) gj wfwK iwRvi;
(2) KwDUvii gvag wnmve ewn, iwRvi I Abvb `wjjvw`
msiY Kwij Dchy gZvcv KgKZvi ^vihy Dnv`i
GKwU Kwiqv gyw`Z Kwc (hard copy) me`v msiY KwiZ
nBe|
(3) Kvb K wWjvi ev K evKvii Aaxb Kvb Abygvw`Z
cwZwbwa _vwKj Dnv Dc-wewa (1) G DwjwLZ wnmve ewn,
iwRvi Ges `wjjc QvovI wbgewYZ `wjjvw` msiY
Kwieb t(K) Abygvw`Z cwZwbwai bvg I wVKvbv m^wjZ
ZvwjKv ;
(L) Abygvw`Z cwZwbwai `vwqZ Ges KvRi cwiwa
m^wjZ Pzwc |
2
[(4) cZK K wWjvi ev K evKvi KZK Dnvi
chvR cZK A_ ermii wbixwZ Avw_K wnmve weeiYx
D A_ ermi kl nBevi Pvi gvmi ga mswk K
GPi gvag Kwgkbi wbKU `vwLj KwiZ nBe,
Ze D mgqmxgv Kwgkb, mswk K GPi mycvwik
mvc, ewaZ KwiZ cvwiet

cvcb bs- GmBwm/wmGgAviAviwmwW/2001-002/ckvmb/03-17 ZvwiL 9 Rvbyqvwi, 2006

Bs Gi viv mwbewkZ nqvQ, hvnv evsjv`k MRU Gwcj 5, 2006Bs ZvwiL cKvwkZ
nBqvQ|

cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi

gvag cwZvwcZ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|

Ze kZ _vK h, mb` cvcK hw` GKvwaK K GPi m`m nq

Zvnv nBj cZK K GP Dnvi Kvievi mKxq wnmve
c_Kfve wnmve weeiYxZ DjL KwiZ nBet
AviI kZ _vK h, mb`g~j Abygvw`Z Kvhvw` msv Z_vw`
ewZiK Ab Kvb Z_ wnmve weeiYxZ Af~ Kiv hvBe bv|
Ze, evsK, exgv ev Avw_K cwZvbi Dic Z_ c_Kfve
`Lvbv hvBZ cvi|]
(5) Kwgkb GB wewai Aaxb iYxq wnmve ewn, iwRvi Ges
Abvb `wjjvw` msiY Ges Avw_K wnmve weeibx
cZKiYi cwZ mgq mgq Av`k viv wbaviY KwiZ
cvwie|
(6) GB wewagvjvq hvnv wKQyB _vKzK bv Kb, Kwgkb cqvRb eva
Kwij, Kvb K-wWjvi ev K evKvii wnmve wbixvi Rb
GKRb wekl wbixK wbqvM KwiZ cvwie hvnvi LiP D
K wWjvi ev K evKvi enb Kwie| wekl wbixK Zvnvi
wbqvM c DjwLZ wbavwiZ mgqi ga Kwgkbi wbKU
wbixv wicvU ck Kwieb|
14| wnmve ewn BZvw` msiYi gqv`|-wewa 13 Z DwjwLZ wnmve
ewn, iwRvi, Pzwc Ges Abvb `wjjc Ab~b mvZ ermi hver
msiY KwiZ nBe|
15| K wWjvi, K evKvi I Abygvw`Z cwZwbwai welqvejx
cwi`kb|-AvBbi Aaxb Kvb K wWjvi, K evKvi ev
Abygvw`Z cwZwbwa Zvnvi `vwqZ Ges Kvhvejx mv`b KwiZQb
wKbv Ges GB wewagvjvi weavbvejx cvwjZ nBZQ wKbv Zvnv
wbwZKiYi Dk Kwgkb, wbR D`vM, A_ev ZrKZK cv
Kvb AwfhvM ev Z_i wfwZ cqvRb gb Kwij, h Kvb K
wWjvi, K evKvi ev Abygvw`Z cwZwbwai wnmve ewn, iwRvi
Ges Abvb `wjjc cwi`kb KwiZ cvwie Ges GZ`yk Dnvi
Aaxb h Kvb ew ev Ab Kvb ew ev cwZvbK cwi`kK
wnmve wbqvM KwiZ cvwie|
16| cwi`kbi cwZ BZvw`|-(1) wewa 15 Gi Aaxb wbhy
& Kvb
cwi`kK Kwgkb KZK wb`wkZ Kvb welq cwi`kbi Dk

Ab~b wZb w`bi bvwUk c`vb Kwiqv, A_ev Riix weewPZ nBj
Kvb bvwUk c`vb QvovB, cwi`kb Kvhg Mnb KwiZ cvwieb|
(2) Dc-wewa (1) Gi Aaxb cwi`kb Kvhg Mnb Kiv nBj mswk
K wWjvi, K evKvi ev Abygvw`Z cwZwbwa cwi`kKi
Pvwn`v gvZveK mKj wnmve ewn, iwRvi Ges Abvb mKj
`wjjc Ges mswk Z_vw` mieivn KwiZ Ges cwi`kb Kvh
myzfve mv`bi wbwg cqvRbxq mnhvwMZv c`vb eva
_vwKeb|
(3) cwi`kK Kwgkbi wbKU nBZ cwi`kbi wb`k cvwi ci wk
Kvhw`emi ga cwi`kb mgv Kwieb Ges cwi`kbi cv
djvdj GKwU cwZe`b AvKvi Kwgkbi wbKU `vwLj Kwieb;
Ze cqvRb D mgqmxgv Kwgkb ew KwiZ cvwie|
(4) Kwgkb D cwZe`bi wfwZ cqvRbxq eev MnY A_ev
cqvRbeva AwaKZi cwi`kbi eev MnY Kwie Ges wewa
15Z DwjwLZ AwfhvMKvixmn mswk mKjK MnxZ eev
mK AewnZ Kwie|
17| Avcxj|- (1) Kvb K wWjvi, K evKvi ev Abygvw`Z cwZwbwa
GB wewagvjvi Aaxb c` Kvb Av`k viv msz nBj wZwb D
Av`k cvwi cbi w`bi ga Kwgkbi wbKU Avcxj `vqi KwiZ
cvwieb|
(2) D Avcxj dig O-Z Kwgkb eivei GKkZ UvKv wdm
RgvKiYi evsK WvdU ev c- AWvimn `vwLj KwiZ nBe|
(3) dig O-Z DjwLZ Z_vw`i AwZwi Z_vw`i cqvRb nBj
Zvnv AwZwi KvMR wjwce Kwiqv `vwLj Kiv hvBe Ges
Avcxj DcvwcZ eei mg_b cqvRbxq KvMRc mshy
Kiv hvBe|
(4) Kwgkb Avcxj weePbvi myweav_ AvcxjKvixK ewMZfve ev
cwZwbwai gvag bvbxi myhvM w`Z cvwie Ges AvcxjKvix ev
Zvnvi cwZwbwai wbKU nBZ cqvRbxq KvMRc ev Z_ Zje
KwiZ cvwie|
(5) Kwgkb Avcxji `iLv cvwi wk Kvh w`emi ga AvcxjwU
wbwg Dnvi wmv AvcxjKvixK RvbvBqv w`e|
7

Kvb Kvvbx ev mswewae msv bn Kejgv GB KviY

Zvnv`i mb` bevqb `iLv bvgyi Kiv nBebv t
1
[ 2[Ze kZ _vK h, Zvnvw`MK mekl 31k wWm^i,
2006Bs Gi ga KvvbxZ icvwiZ nBZ nBe|[]
3
[ AviI kZ _vK h, icvwiZ KvvbxZ b~bZg 51%
kqvi we`gvb ewgvwjKvbvi K wWjvi ev K evKvii
cvwievwiK m`m (Kejgv wbR, ^vgx, x, wcZv, gvZv,
cy, Kbv, RvgvZv A_ev cyeay) KZK aviY Kiv nBj
mB D K wWjvi ev K evKvi KZK KvvbxZ
icviKvjxb mgq Dnvi Kvhg, mswk mb`i gqv`
envj _vKv mvc, cwiPvjbvq Kvb evav _vwKe bv|]
(L) Kvb K wWjvi ev K evKvi KZK wbhy Kvb Abygvw`Z
cwZwbwa, Zvnvi wbqvM ejer _vKv mvc, 30k Ryb, 2001
mb ch Zvnvi Kvhg PvjvBqv hvBZ cvwie t
Ze kZ _vK h, D gqv`i ga GB wewagvjv gvZveK wbewZ
bv nBj D gqv`v wZwb Abygvw`Z cwZwbwa wnmve Avi Kvhg
PvjvBZ cvwieb bv|

(6) Avcxj c` wmv Abymvi Kvb K wWjvi, K evKvi ev

Abygvw`Z cwZwbwai mb` evwZj wKsev wMZ nBj D
wmvi GKwU Abywjwc mswk K GPK c`vb KwiZ
nBe|
(7) wewa 12(1) ev 12(7) Gi Aaxb wbeb mb`i KvhKvwiZv
wMZ Kiv nBj Avcxj wbw bv nIqv ch wbeb mb`i
KvhKvwiZv mwKZ wMZv`k envj _vwKe|
18| cybt weePbv|- wewa 17 Gi Aaxb c` wmv Kwgkb ^xq D`vM
ev mswk ewi Ave`bi wfwZ cybt weePbv KwiZ cvwie
Ges GB Kwgkbi wmvB Pov nBe|
19| K wWjvi ev K evKvii mb` evwZji Aaxb Abygvw`Z
cwZwbwai Aevb|- GB wewagvjvi Aaxb Kvb K wWjvi ev K
evKvii mb` evwZj ev wMZ Kiv nBj Zvnvi Aaxb Kvb
Abygvw`Z cwZwbwa D K wWjvi ev K evKvii c
wmwKDwiwU q-weq I GZ`msv Kvhvw` KwiZ cvwieb bv|
20| bvwUk BZvw` RvixKiY|- GB wewagvjvi Aaxb Kvb bvwUk Rvixi
cqvRb nBj ev Kvb ew ev cwZvbK Kvb Av`k ev Ab
wKQy mK AewnZ Kivi cqvRb nBj D ew ev cwZvbi
gZv cv cwZwbwai wbKU bvwUk Rvix Kiv hvBe ev mswk welq
AewnZ Kiv hvBe; Ab_vq D ew ev cwZvbi, ev Zvnvi ev
Dnvi gZvcv cwZwbwai, mekl Rvbv wVKvbvq iwRvW
WvKhvM ev wekl evnK ev Kzwiqvi mvwfm gvidZ, A_ev
cqvRb msev` ci gvag, D bvwUk Rvix ev mswk welq
AewnZ Kiv hvBe|
21| KwZcq K wWjvi, K evKvi I Abygvw`Z cwZwbwa mK
wekl weavb|-(1) GB wewagvjvq hvnv wKQyB _vKzK bv Kb, Dnv
ceZbi c~e(K) wbewZ Kvb Kvvbx ev wewae msv bn Ggb K
wWjvi I K evKviMYI, GB wewagvjv gvZveK mb`
bevqb mvc Zvnv`i eemv PvjvBqv hvBZ cvwie, Ges,
GB wewagvjvi Aaxb Ab Kvb AhvMZv bv _vwKj Zvnviv

22| iwnZKiY I ndvRZ|- (1) wmwKDwiwUR I GP Kwgkb (K

wWjvi, K evKvi I Abygvw`Z cwZwbwa) cweavbgvjv, 1994,
GZviv iwnZ Kiv nBj|
(2) Dic iwnZKib mI, iwnZ cweavbgvjvi AaxbKZ Kvb
KvR Kg, MnxZ Kvb eev, c` Kvb Av`k, wb`k ev wbeb
mb`, `vqiKZ Kvb `iLv, Ave`bc ev Avcxj, RgvKZ
Kvb wdm, iwZ Kvb iKW ev `wjj `veR, cwiPvwjZ Kvb
Z`, ckKZ Kvb Z` cwZe`b ev RvixKZ Kvb bvwUk GB
1

cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi

gvag cwZvwcZ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|
2
evsjv`k MRU 26k bf^i 2006Bs ZvwiL cKvwkZ cvcb viv cwZvwcZ nBqvQ|
3
evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs GmBwm/wmGgAviwmwW/2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag
mwbewkZ nBqvQ;

wewagvjvi Aaxb KZ, MnxZ, c`, `vqiKZ, RgvKZ, iwZ,

cwiPvwjZ, ckKZ ev RvixKZ nBqvQ ewjqv MY nBe|

cv-288

cv-288

8| `iLvKvix Kvb Kvvbx nBj Kvvbxi

cwiPvjKMbi bvg, wVKvbv Ges Ab h mKj
KvvbxZ/cwZvb gvwjKvbv ev eemvwqK
mK iwnqvQ Zvnvi weeiY|

[wmwKDwiwUR I GP Kwgkb (K-wWjvi, K-evKvi I Abygvw`Z

cwZwbwa) wewagvjv, 2000 Gi wewa 5(1)(K) `e]

9| `iLvKvixi wmwKDwiwU eemvq AwfZv (hw` _vK)

K-wWjvi/K-evKvi wnmve wbeb mb` cvwi Rb wmwKwiwUR I

GP Kwgkbi wbKU `iLv

10| `iLvKvixi bxU g~jab wwZ (.............ZvwiL)

[ wbixwZ Avw_K wnmve weeiYx `vwLj Kib]

1| `iLvKvixi bvg

11| `iLvKvix Kvb gvPU evsKvi, cvUdvwjI

gvbRvi, wgDPzqvj dvi Uvw, ndvRZKvix ev m`
eevcbv Kvvbx wKbv?

12| `iLvKvix ev Dnvi cwiPvjKgjxi Kvb

m`m Kvb mgq RvwjqvwZ, cZviYvg~jK ev Amvay
KvhKjvcRwbZ Kvb dR`vix Acivai `vq `wZ
nBqvwQj wK bv? nBj KLb, Kv_vq Ges Kvb Aciva?

c_g Zdwmj
(digmg~n)
dig K

2| `iLvKvixi wVKvbv
:
[wVKvbv cwiewZZ nBj Dnv wZb Kvhw`emi ga mswk K
GP I KwgkbK wjwLZfve AewnZ KwiZ nBe]|
3| `iLvKvix h K GPi m`m Dnvi
(K) bvg I wVKvbv
:
(L) m`m wnmve KvW bs
:
(M) m`m nIqvi ZvwiL
:
4| `iLvKvix wK wnmve mb` cv_x
(AchvRwU KvwUqv w`b)

: K-wWjvi/K evKvi

5| `iLvKvixi AvBbMZ ghv`v

(AchvRwU KvwUqv w`b)|

: Kvvbx/mswewae msv

6| `iLvKvixi c ^viKvix ewi bvg :

I c` gZvi weeiY
(gZvci Abywjwc `vwLj Kib)|
7| `iLvKvixi (K) Awdmi dvb/dv :
Uj/B-gBj(L) cavb wbevnxi evmvi dvb/dv/Uj/B-gBj-

13| `iLvKvix ev Dnvi cwiPvjK gjxi Kvb m`m

Kvb mgq Av`vjZ KZK `Dwjqv ev weKviM ewjqv
NvwlZ nBqvwQj wKbv? nBj KLb, Kv_vq?

14| `iLvKvix ev Dnvi cwiPvjKgjxi Kvb m`m Kvb

:
evsKi FY Ljvcx wKbv? nBj Kvb evsK Ges KZ UvKv?
15| `iLvKvixi Abygvw`Z cwZwbwa (hw` _vK) Gi (K) bvg
(L) wcZvi bvg
(M) vqx wVKvbv
(N) eZgvb wVKvbv
(O) Awdmi wVKvbv
10

(P) wkvMZ hvMZv

16| `iLvKvixi KgPvixi msLv

17| Abvb Z_vw`

ZvwiL:.......................
(AchvR Ask KvwUqv w`b)|

Avwg GB gg NvlYv KwiZwQ h, Dci c` Z_vw` Avgvi vb I

wekvm gZ mZ I mwVK|
ZvwiL.............................

........................
`iLvKvixi ^vi

[wmwKDwiwUR I GP Kwgkb (K-wWjvi, K-evKvi I Abygvw`Z

cwZwbwa) wewagvjv, 2000 Gi wewa 5(1)(L) `e]|
Abygvw`Z cwZwbwa wnmve wbeb mb` cvwi Rb wmwKDwiwUR I
GP Kwgkbi wbKU `iLv|
1| `iLvKvixi bvg
t
K wWjvi/K2| `iLvKvixi wcZvi bvg t
evKvi KZK
3|

K GPi mycvwik
GB gg cZvqb Kiv hvBZQ h, Dcwi-D `iLv
Kvix.........................................................................(bvg wjLyb)
A...................... K GPi GKRb m`m| Dnvi m`m KvW
bs...................... Ges m`mfwi ZvwiL.............................. |
K wWjvi/K evKvi wnmve DnvK mb` c`vbi Rb mycvwik Kiv
nBj|
................................
gyL wbevnx KgKZv/mwPe
bvg...........................
c`ex I mxj................
................K GP

dig L

4|
5|
6|

7|
8|

9|

mZvwqZ Qwe
`iLvKvixi wVKvbvt
Uwjdvb bs
[wVKvbv cwiewZZ nBj Dnv wZb Kvhw`emi ga mswk K
GK&P I KwgkbK mswk K wWjvi/K evKvii gvag
wjwLZfve AewnZ KwiZ nBe ]|
`iLvKvixi Rb ZvwiL I eqmt
`iLvKvixi wkvMZ hvMZv I ckvMZ cwkY/ AwfZvt
(mb`i mZvwqZ Kwc mshy Kib)|
`iLvKvixi (K) mswk K wWjvi/K evKvii bvg
(L) Zvnvi mwnZ mvw`Z Pzwci ZvwiL I gqv`
(mswk K wWjvi/K evKvi KZK mZvwqZ Abywjwc `vwLj Kib)
`iLvKvix Abygvw`Z cwZwbwa wnmve wbqvM cvwi ZvwiL
`iLvKvix Kvb mgq RvwjqvwZ, cZviYvg~jK ev AmvayKvhKjvcRwbZ Kvb dR`vix Acivai `vq Kvb mgq `wZ
nBqwvQj wKbv? nBj KLb, Kv_vq Ges Kvb AcivaAbvb Z_
Avwg GB gg NvlYv KwiZwQ h, Dci c` Z_vw` Avgvi vb
I wekvmgZ mZ I mwVK|
11

ZvwiL..............................

K GPi mycvwik

........................
`iLvKvixi ^vi

GB gg cZvqb Kiv hvBZQ, DcwiD `iLvKvix

........................................................................ (bvg wjLyb) A
............................................. K GPi K-wWjvi/KevKvi ....................................................................... (bvg
wjLyb) ......................... KvW bs............................... KZK wbhy
GKRb Abygvw`Z cwZwbwa| ZvnvK Abygvw`Z cwZwbwa wnmve mb`
c`vbi Rb mycvwik Kiv nBj|
ZvwiLt...................................

wmwKDwiwUR I GP Kwgkb AvBb, 1993 (1993 mbi 15bs

AvBb) Gi aviv 10(1) G c` gZvej Ges wmwKDwiwUR I GP
Kwgkb (K-wWjvi, K-evKvi I Abygvw`Z cwZwbwa) wewagvjv,
2000 Abymvi GZviv ........................................................ (bvg
wjLyb)
..........................................
wVKvbv
........................................ K GKRb wbewKZ K-wWjvi/KevKvi/Abygvw`Z cwZwbwa wnmve GB wbeb mb` c`vb Kiv nBj| wZwb
GB mb` DjwLZ kZvaxb wmwKDwiwU q-weq Ges GZ`msv
Kvhvw` KwiZ cvwieb|
GB wbeb mb` ....................... ZvwiL ch ejer _vwKe Ges
cieZxZ Dnv A mb` wbw` QK bevqb Kiv hvBe|
wmwKDwiwUR I GP Kwgkbi c
.................................................
mb` c`vbKvix KgKZvi ^vi
bvg : ..........................................
c`ex I mxj ................................

gyL wbevnx KgKZv/mwPe

bvg..................................
c`ex I mxj
......................
K

GP
(AchvR Ask KvwUqv w`b)|

mb` bevqb
(wewa 8(4) `e)

dig M
[wmwKDwiwUR I GP Kwgkb (K-wWjvi, K-evKvi I Abygvw`Z
cwZwbwa) wewagvjv, 2000 Gi wewa 5(5) `e]|
(Kwgkbi gbvMvg)
wmwKDwiwUR I GP Kwgkb
K-wWjvi/K-evKvi/Abygvw`Z cwZwbwa wbeb mb`
wbeb wgK bs..............

mb` c`vbi ZvwiL.......................

h ZvwiL ch
bevwqZ

cwiewZZ wVKvbv,
AvBbMZ ghv`v BZvw`

KgKZvi ^vi,
ZvwiL I mxj

1.
2.
3.
4.
5.
6.
7.
8.
12

9.
10

K-wWjvi/K-evKvi/Abygvw`Z cwZwbwa Gi wbeb mb`i

chvR kZvejx)

mb`i kZvejx
1

[1| mb` cvcK GB mb` weq,`vb,eK, jxR ev Ab Kvbfve nv

i ev `vqe KwiZ wKsev Ab KvnvKI GB mb`i Aaxb
wmwKDwiwU q-weq ev Dnvi Kvievi KwiZ w`Z cvwieb bv,
Ges Ab Kn GB mb`i Aaxb wmwKDwiwU q-weq ev Dnvi
Kvievi KwiZ cvwieb bv|]

2| mb` cvcK Securities and Exchange Ordinance, 1969

(XVII of 1969), wmwKDwiwUR I GP Kwgkb AvBb, 1993
(1993 mbi 15 bs AvBb), Ges wmwKDwiwUR I GP Kwgkb
(K-wWjvi, K-evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000
Gi Aaxb Kwgkb KZK mgq mgq c` ev RvixKZ Av`k ev wb`k
Ges GB mb`i mKj kZ gvwbqv PwjZ eva _vwKeb|

hywmsMZ Ges h_vh_ eev MnY Kwieb Ges ZrmK gjK

AewnZ Kwieb|
6| cwZ BsiRx cwKv ermii 31 k wWm^i ch cv AwfhvMi
cKwZ I msLv Ges ZrmK cwZKvig~jK eev MnY I mswk
Abvb welqvw` mK mb` cvcK cieZx wk w`bi ga K
GP I Kwgkbi wbKU GKwU cwZe`b `vwLj Kwieb|
7| K-wWjvi ev K-evKvi h K GPi m`m Dnvi mwnZ
mswk AvBb, wewa, weavb Ges Abvb chvR kZ gvwbqv Pwjeb|
2

[8| K wWjvi ev K evKvii eevcbvq, KvVvgvZ ev Dnvi

AvBbMZ ghv`vi Kvb cwieZb nBj Zvnv D cwieZbi cbi
Kgw`emi ga mswk K GPi gvag KwgkbK wjwLZfve
Rvbvbvi Rb mb` cvcK Z_v Dnvi cwiPvjKgjxi m`mMY `vqx
_vwKeb|]
9| K-wWjvi Ges K-evKvi Zvnvi KvRKg cwiPvjbvi Rb
cqvRbxq Awdm, mivg Ges jvKeji eev ivwLeb|
10| K wWjvi ev K evKvi wewa 13(4) Abymvi GKwU Avw_K wnmve
weeiYx Kwgkbi wbKU `vwLj Kwieb|
11| K wWjvi ev K evKviK Dnvi chvR cwZ A_ ermi
wmwKDwiwU q-weq Kwieb|

3| mb` cvcK DcwiD wewagvjvi wewa 13 Abymvi cqvRbxq wnmve

ewn, iwRvi, bw_c I Abvb `wjjvw` msiY Kwieb|
4| mb` cvcK Zvnvi welqvejx Kwgkb KZK Z` ev cwi`kbi
Z`Kvix ev cwi`kKi Pvwn`v gvZveK cqvRbxq `wjjvw` I Z_
mieivn Ges hyw msMZ mKj mnhvwMZv c`vb KwiZ eva
_vwKeb|
5| mb` cvcKi wbKU Zvnvi Kvb gj Kvb AwfhvM Dvcb Kwij
D AwfhvM cvwi wk w`bi ga cqvRbxq cwZKvi MnYi Rb
1

cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi

gvag cwZvwcZ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|

cvcb bs GmBwm/wmGgAviAviwmwW/2001-02/ckvmb-14, ZvwiL 12B g 2002 Gi

gvag cwZvwcZ nBqvQ, hvnv Ryb 04, 2002Bs ZvwiL evsjv`k MRU cKvwkZ nBqvQ|

13

dig N
[wmwKDwiwUR I GP Kwgkb (K-wWjvi,K-evKvi I Abygvw`Z
cwZwbwa) wewagvjv, 2000 Gi wewa 8(1) `e]
K wWjvi, K evKvi I Abygvw`Z cwZwbwai wbeb mb`i bevqbi
`iLv
1| KwWjvi/KevKvi/Abygvw`Z cwZwbwai bvg

2| wbeb mb`i wgK bs

3| mb` c`vb, mekl bevqb I gqv` DxYi ZvwiL t

4| cwiewZZ wVKvbv (hw` _vK)
(K) vqx
(L) eZgvb
(M) Awdm
(N) Uwjdvb/Uj/dv bs/B-gBj

t
t
t
t
t

5| K wWjvi/K evKvii ,cwZvbi ewki

evcvi Kvb KvVvgvMZ ev AvBbMZ cwieZb nBj
Dnvi msw eYbv
t

(Kvb cwieZb nBqv _vwKj Dnvi cwieZbi wZb Kvhw`emi ga

mswk K GP I KwgkbK wjwLZfve AewnZ KwiZ nBe)
Avwg GB gg Nvlbv KwiZwQ h, Dci c` Z_vw` Avgvi vb I
wekvmgZ mZ|
ZvwiL t -------------------------------------`iLvKvixi ^vi
K GPi mycvwik
GB gg cZqb Kiv hvBZQ h ---------------------------------(bvg wjLyb) wVKvbv --------------------------------------------------GB K GPi K wWjvi /K evKvi wbhy GKRb Abygvw`Z
cwZwbwa|
wmwKDwiwUR I GP Kwgkb KZK Zvnvi wbeb mb` bevqbi Rb
mycvwik Kiv nBj|
ZvwiL t ---------------------

-----------------------g~L wbevnx KgKZv/mwPe

-------------K

GP
wet `t AchvR Askwj KvwUqv w`b|

(Kvb cwieZb nBqv _vwKj Dnv cwieZbi Abywjwcmn wZb Kvhw`emi

ga mswk K GP I KwgkbK wjwLZfve AewnZ KwiZ nBe)
6| Abygvw`Z cwZwbwai ,
h K wWjvi/K evKvii Aaxb KgiZ
Zvnvi (K) bvg I KvW bs
(L) wVKvbv
14

dig O
[wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z
cwZwbwa) wewagvjv, 2000 Gi wewa 17 (2) I 17 (3) `e]
Avcxji dig
1| AvcxjKvixi bvg I wVKvbv

2| AvcxjKvixi wbeb mb`i wgK bs (hw` _vK)

3| h Av`ki wei Avcxj Kiv hvBZQ Dnvi b^i, :

ZvwiL I msw welqe (Av`ki Abywjwc mshvRb
Kib)
4| Avcxji hywmg~n (msc DjL Kib,
cqvRbeva AwZwi KvMR wjLyb)

5| Avcxji mg_b `vwLjKZ KvMRci weeiY

(KvMRc `vwLj KwiZ nBe)
6| ewMZ bvbx Pvnb wK bv
7| AwZwi Kvb ee (hw` _vK)
Dcwi-D Z_vejx Ges `vwLjKZ
KvMRc Avgvi vb I wekvmgZ mZ|
ZvwiL : ........................

:
:
:

........................
AvcxjKvixi ^vi

[dig-P

[wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z

cwZwbwa) wewagvjv, 2000 Gi wewa 5(3) `e]
1| --------- ZvwiL cwikvwaZ g~jab [wewa 4(1)(M)]
(wbixwZ Avw_K wnmve weeiYx mshy KwiZ nBe)

2| ---------- ZvwiL bxU m` (Net Worth) [wewa 4(1)(M)] t

3| ------- ZvwiL bxU KvwcUvj evj [Securities and
Exchange Rules, 1987 Gi mswk wewa `e]
4| Z`viKx KZc (Compliance Authority)
Gi bvg I c`ex [wewa 4(1) (Q) `e]
5| iwRvi Ae RqU K KvvbxR G dvgm KZK
Memorandum and Articles of Association
Gi mZvwqZ Kwc mshy nBqvQ wK bv?
6| iwRvi Ae RqU K KvvbxR G dvgm
KZK mZvwqZ Return of Allotment of Shares
(Form XV) mshy nBqvQ wK bv?

t
t
t

7| iwRvi Ae RqU K KvvbxR G dvgm

KZK mZvwqZ List of Directors (Form XII)
mshy nBqvQ wK bv?

8| Affidavit mshy nBqvQ wK bv?

[wewa 4(1) (N) I 4(1)(O) Gi ^c]

evsjv`k MRU 13B Gwcj, 2005Bs ZvwiL cKvwkZ cvcb bs GmBwm/wmGgAviwmwW/2001-002/366/ckvmb/01-24 ZvwiL 2iv bf^i 2004Bs Gi gvag
mwbewkZ nBqvQ|

15

dig-Q

9| wewa 4(1) (P) Abyhvqx K GPi cZvqbc mshy

nBqvQ wK bv
10| Credit Information Bureau (CIB) Gi wicvU
msMni Rb evsjv`k evsK Gi wbavwiZ dig
c~iY mn mswk Abvb KvMRc mshy nBqvQ wK bv

11| K GPi m`m c` nvi msv Pzwc

(Vendors Agreement) wewa 6(2) Abyhvqx cZ
Kiv
nBqvQ wK bv Ges mswk mgqi wbixwZ Avw_K wnmve
weeiYxZ D nvi PzwZ DwjwLZ Avw_K welqvw`
cwZdwjZ nBqvQ wK bv

(wgK bs 1 nBZ 5 Abygvw`Z cwZwbwai chvR nBe bv)

cavb wbevnx KgKZv/mwPe

ZvwiL : ......................

[wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z

cwZwbwa) wewagvjv, 2000 Gi wewa 8(3) `e]

............. K GP wjt

1| ------------- ZvwiL cwikvwaZ g~jab [wewa 4(1) (M)]|

(wbixwZ Avw_K wnmve weeiYx mshy KwiZ nBe)

2| --------ZvwiL bxU m` (Net Worth) [wewa 4(1)(M)] t

3| ------- ZvwiL bxU KvwcUvj evj [Securities and
Exchange Rules, 1987 Gi mswk wewa `e]
4| Ave`bKvix KZK Zvnvi MvnKw`MK FY myweav
(Mergin Facilities) c`vbi Margin
Rules, 1999 cwicvjb nBZQ wK bv

5| Z`viKx KZci (Compliance Authority)

bvg I c`ex [wewa 4(1) (Q) `e] Ges wZwb Zvi
`vwqZ h_vh_ fve cwicvjb KwiZQb wK bv

6| Ave`bKvixi wei weMZ GK eQi Kvb

kvwg~jK/ksLjvg~jK eev MnxZ nBj Dnvi weeiY

7| Ave`bKvix, Zvnvi Rb chvR, mb`i kZvejxmn

wewagvjvi wZxq Zdwmj ewYZ AvPiY wewa h_vh_fve
cwicvjb KwiZQ wK bv Ges Zvnvi KvMRcvw`Z
Dnv cwZdwjZ nBqvQ wK bv; bv nBqv _vwKj Dnvi weeiY
cavb wbevnx KgKZv/mwPe
16

wjt]

ZvwiL : -------------

---------- K GP
wZxq Zdwmj

[wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z

cwZwbwa) wewagvjv, 2000 Gi wewa 11 `e]
K wWjvi, K evKvi I Abygvw`Z cwZwbwa`i AvPiY wewa
mKji chvR AvPiY wewa
1| mZZv, `Zv BZvw`|- cZK K wWjvi, K evKvi I
Abygvw`Z cwZwbwaK Zvnvi eemv I GZ`msv Kvhvw` cwiPvjbvi
mybvg, `Zv, wekZv I mZZv eRvq ivwLZ nBe|
2| gji cwZ KZe|- (1) cZK K wWjvi, K evKvi I
Abygvw`Z cwZwbwa Zvnvi gji mwnZ Kvq-Kvievii mgq wek
Zvi mwnZ Zvnv`i digvqm gvZveK gji Rb mevg evRvi
`i wmwKDwiwU q ev weq Kwieb|
(2) wZwb gji c` mywbw` Z_ wfwK digvqm Abymvi
wmwKDwiwU q-weq Ges Dnvi Kvievi Kwieb Ges gji
digvqm gvZveK q weq KwiZ cvwijb wK bv Zvnv
h_vmgq wjwLZfve ZvnvK AewnZ Kwieb Ges Kvb
wmwKDwiwU weq Kwiqv _vwKj weq j A_ gjK
h_vmgq cwikva Kwieb Ges q Kwiqv _vwKj qKZ
wmwKDwiwU Ges mswk Pzwc Dnv mv`bi ci h_vmgq
gjK mieivn Kwieb|
(3) cZK K wWjvi, K evKvi ev Abygvw`Z cwZwbwa Zvnvi
gji mwnZ jb`bi evcvi gjK mecKvi cqvRbxq
mnhvwMZv c`vb Kwieb Ges wZwb vZmvi ev BQvKZfve
Zvnvi gjK Ggb Kvb `wjj mieivn Kwieb bv hvnv Kzmieivn (Bad delivery) ic cwiMwYZ nq Ges Kvb

GBic `wjj mieivn Kiv nBj h_vkxN cqvRbxq cwZKvi

MnY Kwieb|
(4) cZK K wWjvi, K evKvi I Abygvw`Z cwZwbwa
wbavwiZ dig cwZwU wmwKDwiwU wcIqvix (Scrip-wise)
q ev weqi Pzwc gjK mieivn Kwieb Ges mKj
jb`b msv evcvi cwikvahvM wej Ges cvw I Zvnvi
`vjvjx c_Kfve `LvBqv Zvnvi gjK mieivn Kwieb|
(5) Kvb K wWjvi, K evKvi ev Abygvw`Z cwZwbwa Ab
Kvb ewi wbKU Zvnvi gji Kvb Z_ cKvk Kwieb bv
ev gji mwnZ eemvwqK mK Mwoqv DVvi myev` vZ
Zvnvi ewMZ wewbqvM msv Z_vejxi Aceenvi Kwieb
bv; Ze cqvRb eva gji jb`b msv Z_vw` mgq
mgq wbqYKvix KZc
K mieivn KwiZ eva _vwKeb|
(6) Kvb K wWjvi, K evKvi ev Abygvw`Z cwZwbwa Kvb
wmwKDwiwU jb-`bi Rb MnY Kivi c~e hvPvB c~eK Dnvi
wbfRvjZv mK wbwZ nBeb, Ges Kvb AevZB
wUc~Y (hvnvi ga Kvb cKvi Rvj, fyqv, weZwKZ, nvivbv,
AKvhKi ev wUc~Y wmwKDwiwU Af~) wmwKDwiwUi jb-`b
Kwieb bv ev KwiZ KvnvKI DrmvwnZ ev civwPZ Kwieb bv
ev mnvqZv Kwieb bv|
3| mwVK Z_ mieivn BZvw`|- Kvb K wWjvi, K evKvi I
Abygvw`Z cwZwbwa aygv `vjvjx ev Kwgkb jvfi Dk
KvnvKI wmwKDwiwU q ev weq KwiZ cjy Kwieb bv ev Kvb
wg_v ev wevwgj
~ K `ic (Quotation) ev Ab Kvb wg_v Z_
mieivn Kwieb bv ev Ggb Kvb wg_v ev wevwg~jK Z_ mieivn
Kwieb bv hvnvZ Kvb ew Kvb wekl wmwKDwiwU q ev weq ev
Abweafve nvi KwiZ cjy nb|
4| wewbqvMi civgk|- Kvb K wWjvi, K evKvi ev Abygvw`Z
cwZwbwa Zvnvi Kvb gjK wmwKDwiwU q ev weq ev msiYi
Rb Kvb civgk w`eb bv hZY ch bv gji Avw_K cwiwwZ
17

wewbqvMi Dk I wmwKDwiwU msiY msv evcvi gj c`

Z_ nBZ Bnv cZxqgvb nq h, wewbqvMi mycvwik gji Rb
myweavRbK nBe Ges GZ`yk wZwb hLbB h_vchz gb Kwieb
ZLbB gji wbKU nBZ cqvRbxq Z_ Abymvb Kwieb|
5| Kwgkbi cwZ `vwqZ| - cZK K wWjvi, K evKvi I
Abygvw`Z cwZwbwa Kwgkb ev Dnvi gZvc` Kvb KgKZvi wb`k
Abyhvqx `vwLjhvM mKj wnmve ewn, iwRvi, cwZe`b, `wjj ev
Abvb KvMRc `vwLj Kwieb Ges Z` ev cwi`kbi Z`
Kvix ev cwi`kKK cqvRbxq mnhvwMZv c`vb Kwieb Ges GB
mKj wZwb Kvb wg_v ev wevwKi Z_ ev KvMRc `vwLj
Kwieb bv|
6| wbR ^v_wmwi Rb AcKkj cqvM wbwl|- Kvb K wWjvi,
K evKvi ev Abygvw`Z cwZwbwa wbR ^v_ wmwi Rb Kvb
AcKkji Avkq jBZ cvwieb bv, KvnvKI VKvbv ev cebvi
Dk Kvb jb`b KwiZ cvwieb bv ev wbR ^v_ wmwi Dk
A_ev evRvii fvimvg web Kivi Dk Kvb Re QovBZ ev
Kvhg cwiPvjbv KwiZ cvwieb bv|
7| Kwg evRvi mw wbwl|- Kvb K wWjvi, K evKvi ev
Abygvw`Z cwZwbwa GKKfve A_ev Abvb`i mwnZ mwwjZfve
Kvb Kwg evRvi mw KwiZ cvwieb bv hvnv mvaviY
wewbqvMKvix`i Rb wZKi nBe A_ev evRvii myz I Aeva
KvhKvwiZv evavM Kwie|
8| m`nRbK Kvhg mK AewnZKiY|- wmwKDwiwUR q-weq I
jb`b msv Kvb cKvi m`ng~jK Kvhg Kvb K wWjvi,
K evKvi wKsev Abygvw`Z cwZwbwai MvPi Avmvi mv_ mv_B
wZwb Dnv mswk K GP I KwgkbK wjwLZfve AewnZ KwiZ
eva _vwKeb|

Abygvw`Z cwZwbwai chvR wekl AvPiY wewa

9| wc (Scrip) I gj-Iqvix wefvRb| - cZK Abygvw`Z cwZwbwa
Zvnvi Dci K evKvi ev K wWjvii wbKU nBZ hfve wewfb
GKK BDwbU (Denomination) wc (Scrip) mieivn cvBqvQb
mBfve Zvnv wc Iqvix (Scrip-wise) Ges gjIqvix wefvRb
Kwieb|
10| cZK Abygvw`Z cwZwbwa Zvnvi gji mwnZ Kvievi Kivi
mgq ZvnvK AewnZ Kwieb h, wZwb GKRb cwZwbwa wnmve KvR
KwiZQb Ges wZwb h K evKvi ev K wWjvii Aaxb
Zvnvi webv AbygwZZ Zvnvi gji digvqk Abyhvqx Kvb q
ev weq mgw^Z KwiZ cvwieb bv|
wmwKDwiwUR I GP Kwgkbi Av`kg

gwbi Dwb Avng`

Pqvigvb|

18