This annexure contains a 15-point confirmation/declaration by the Trading Member regarding compliance with the applicable rules and requirements. It must be stamped and signed by the appropriate authorised person, depending on whether the Trading Member is an individual, partnership firm, or company.

Annexure C

15 point confirmation

(To be given on the letterhead of the trading member)

To,                                                                                                                   Date:

(Name of the Stock Exchange/s where member is registered)

This to confirm that:

1. As on _____ (date of application), I/We, as a broker of the (Name of the Stock Exchange/s where member is registered), have paid fees, as applicable, to SEBI. Further, we have paid the entire outstanding principal fees and interest to SEBI in respect of our turnover on the (Name of the Stock Exchange/s where member is registered). in accordance with the SEBI (Stock Brokers) Rules and Regulations, 2026 and in respect of all erstwhile entities, if any;
2. I/We have submitted the turnover details necessary to assess the fee liability to (Name of the Stock Exchange/s where member is registered) in the prescribed manner;
3. I/We would be liable for the fees that may accrue from the date of application for prior approval till the date of change in status;
4. I/We, would be liable for all liabilities/obligations (including monetary penalties, if any) for violations, if any, of the provisions of the SEBI Act and the SEBI (Stock-brokers) Rules and Regulations, 2026 that have taken place before this change in status and constitution;
5. I/We, have____ authorized persons on the concerned exchange and he / it is not a authorized person of the subsidiary of the concerned exchange;
6. I / We, hereby declare that we are not connected with any defaulting / expelled brokers of any Stock Exchange. We further declare that none of the shareholders or directors of our company are connected with any defaulting / expelled brokers of any Stock Exchange;
7. I/We hereby declare that we have neither been declared defaulters by any Exchange in India/ by SEBI, nor are we related or associated with any other entity/person who have been declared defaulters / expelled by any Stock Exchange in India/SEBI;
8. I/We further declare that none of the shareholders and directors of our company have been declared as defaulters / expelled by any Stock Exchange in India/SEBI or are related or associated with any other entity/person who have been declared defaulters / expelled by any Stock Exchange in India/SEBI;      
9. We further declare that no enquiry/investigation has been initiated / pending against me/us or any of the shareholders/directors by any Stock Exchange/SEBI.
10. No complaint / arbitration / disciplinary proceeding is pending against us (if otherwise, details of the same);
11. The incoming whole time / qualified director is eligible to be appointed as director under the Securities Contracts (Regulation) Act,1956;
12. We, hereby confirm that our designated directors Mr. /Ms. _________ and Mr./Ms. _____________meet the eligibility requirements as prescribed in Securities Contracts (Regulation) Rules, 1957 (Rule 8(4A) and other relevant provisions) and SEBI (Stock Brokers) Regulations, 2026;
13. We undertake to ensure that the above individuals or whosoever is identified by the corporate as designated directors, in future, till the time the corporate is registered as a member of the Exchange will continue to meet the eligibility requirements as per Securities Contracts (Regulation) Rules, 1957 and SEBI (Stock Brokers) Regulations, 2026;
14. We, hereby declare that we have not, at any point, introduced any fake / forged/ stolen shares in the market;
15. There is no adverse comment against us or our directors / partners / proprietors / promoters / Top five shareholders in the following:-

1. Defaulters list of RBI as available at www.cibil.com - Suit filed cases - Suits filed of Rs.100 lakhs and above and Suits filed of Rs.25 lakhs and above (as per latest data available),

2. Prosecution list of CIS (as per latest data available) and non-CIS (as per latest data available) 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

3. 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).

4. As per RBI data on nonsuit filed accounts, (if Yes, then please provide the details).

Yours faithfully,

To be signed by

Along with the company stamp/seal

1. where the trading member is an Individual: by the trading member himself.
2. where the trading member is a Partnership Firm: by all the Partners of such firm.
3. where the trading member is a Company: by the Chairman/MD or any other Director of the Company