List of documents/details required for listing of units of

Alternative Investment Funds (Post allotment of units)

Sr. No. List of Documents/ details to be submitted Yes/No/Not Applicable

1 Part I-Letter of Application;
2 Part II-Issue Details,
3 Part III
4 Copy of the Due Diligence Certificate submitted to
SEBI
5 Certified True Copy of observations/comments
received from SEBI on the Placement Memorandum

6 Certified true copy of the Final Placement

Memorandum (soft copy also required)
7 Unitholding pattern of Unitholders of the Scheme
8 Confirmation from the CEO / Compliance officer
regarding allotment of units and the actual no. of units
allotted.
9 Collection Certificate from Bankers
10 Listing Agreement*
11 Confirmation from issuer regarding compliance with
SEBI (AIF) Regulations, 2012
12 Tripartite Agreement*
13 Confirmation from NSDL and CDSL (ISIN activation)

14 Confirmation received from NSDL / CDSL for credit.

15 Date of opening and closure of the scheme

16 Confirmation w.r.t. compliance with RBI
guidelines in case units allotted to NRIs
17 Custodian Agreement
18 Investment Management Agreement
19 Confirmation from Registrar regarding dispatch of
Allotment/refund Order.
* In case the Part III, Listing Agreement and the
Tripartite agreement have been submitted at the
time of first listing, the same is not to be submitted
again.
Date
Place
Authorised Signatory and
Stamp of the company
Name
Designation
 LETTER OF APPLICATION
(For listing of Units under AIF)

From: Date:

Tel. No.
Fax No.
Email Id

The Manager
Listing Department
National Stock Exchange of India Ltd.,
Exchange Plaza, Bandra Kurla Complex,
Bandra (East),
Mumbai - 400 051.

Dear Sir,

In conformity with the listing requirements of the National Stock Exchange (NSE), we hereby apply
for admission
1 of the following securities of the issuer to dealings on the NSE
2
3
4
The securities are/are not identical* in all respects and are/are not are identical* in all respects with
the existing
The securities
securities admitted
will become to dealings
identical on the
with the NSE securities admitted to listing on the NSE in all
existing
respects onand the documents of title will be enfaced with a note to this effect.
**The securities mentioned at ( ) above proposed to be issued by Prospectus/Offer of Sale/Circular
after vetting of the same by SEBI (conversion, exchange,
Part - I rights, open offer, capitalization of
LETTER OF APPLICATION
(For listing of Further Issues already listed on NSE)

We send herewith/ undertake to send*** the Listing Application and Agreement Forms and the
Distribution Schedules,toduly
We further undertake completed.
submit Weaalso
to the NSE copyforward
of the the documents (or drafts
acknowledgement thereof)
card or as per list
letter indicating
the
We observation
understand on
thatdraft prospectus/
in the event ofletter
our of offer to
failure / offer documents
submit by SEBI;
the above and a or
documents certificate fromofa
withdrawal
Acknowledgement
We undertake to be card
boundbyby
SEBI, we shall be liable
all requirements, to refund
term and the subscription
provisions money
and conditions to the
relating toinvestors
payment
Please of security
enumerate deposit as
separately contained
shares whichinare
thenot
Rules, Bye-Laws
identical and Regulations of NSE
in all respects.
Shares are identical in all respects only if:
i. they are of the same nominal value and the same amount per share has been called up;
ii. they are entitled to dividend at the same rate and for the same period so that at the next ensuing
distribution
iii. they carrythe
thedividend payable
same rights in allon eachrespects.
other share will amount to exactly the same sum net and gross;
**Applicable only when securities for which application for admission to dealings is made are
proposed to be to
***Applicable issued or having
new issuers already
only. Pleasebeen
strikeissued it is intended
out where to make a placing or an offer for
not applicable

Date
Place
Authorised Signatory and
Stamp of the
company
Name
Designation
 Part II
ISSUE DETAILS
(For listing of Units of AIF)

Sr.No. Particulars Details to be filled in by

the applicant
1 Name of the Scheme
2 Description of the Scheme
3 Series
4 Symbol
5 Date of Allotment
6 Number of units
7 Face value (Rs.)
8 Paid up value (Rs.)
9 Issue Price (Rs.)
10 Date of Redemption
11 ISIN Code
12 Credit Rating (if any)
13 Rating and Rating Agency
14 Date of Rating letter
Date
Place
Authorised Signatory and
Stamp
of the company
Name
Designation
 Part III

(For listing of Units of AIF for the first time)

Sr. No. Particulars Details to be filled in by the applicant

1 Name of the issuer
2 Date of incorporation
3 Place of incorporation
4 Whether incorporated as a
Private or Public company
5 If incorporated as a Private
company, date of conversion
into a Public company
6 Web-site
7 Address of Registered Office
of the AMC

STD Code
Tel. Nos.
Fax Nos.
Email id.

8 Address of Registered Office

of the Trustee

STD Code
Tel. Nos.
Fax Nos.
Email id.

9 Address of Registered Office

of the Sponsors

STD Code
Tel. Nos.
Fax Nos.
Email id.

10 Address of Registered Office

of the Custodian

STD Code
Tel. Nos.
 Fax Nos.
Email id.

11. Name and Address of

Registrars and Transfer
Agents (if any)

Name of Contact Person

STD Code
Tel. Nos.
Fax Nos.
Email id.

12 Name of group and other

group companies

13 Subsidiary companies

14 Management
a) Chairperson
- email address
- direct phone number
b) Managing Director
- email address
- direct phone number
c) Chief Executive Officer
- email address
- direct phone number
d) Company Secretary
- email address
- direct phone number
- direct fax number
e) Asst. Company Secretary /
Dy. Company Secretary
- email address
- direct phone number
- direct fax number
f) Directors and their other
Directorships

g) Auditors
- address
 - direct phone number
- direct fax number
15 Financial year
16 Month or months in which
interim and/or final dividend
usually recommended /
declared by the Directors
17 Authorised Share Capital
- Total Amount
- Unclassified Amount.
- Classified
a. No. of shares
b. Nominal value per share
c. Total Nominal per share
18 Issued Share Capital
- No. of shares
- Nominal value per share
- Total nominal value
19 Subscribed and paid up share
capital
- No. of shares subscribed
- Nominal value per share
- Amount paid up per share

- Total nominal value

- Total paid up value
- Amount of calls in
arrears
- Amount paid up on
forfeited shares

Date
Place
Authorised Signatory and

Stamp of the company

Name
Designation