S.No.

Particulars

Details

1.1

Details of the applicant

a)

Name of applicant

b)

Address of the office of the applicant in IFSC

c)

Telephone number(s)

d)

E-mail address

1.2.

Details of contact person(s)

a)

Name of the contact person(s).

b)

Direct line number

c)

Mobile number

d)

E-mail address

1.3

Legal structure of applicant 

(Company or Trust or Limited Liability Partnership or a Body Corporate)

1.4

Date and place of incorporation/ establishment

1.5

Category under which the application is made –

1) Category I Alternative Investment Fund

2) Category II Alternative Investment Fund

3) Category III Alternative Investment Fund

1.6

If the applicant proposes to register as a Category III Alternative Investment Fund, whether the fund shall be open ended or close ended.

1.7

Whether the applicant or its associates or its sponsor(s) or its manager(s) is/ are registered with the IFSCA, or any other regulatory authority in any capacity along with the details of its registration.

1.8

Details of infrastructure for conducting activities as an Alternative Investment Fund

1.9

Copy of the draft placement memorandum.

S.No.

Particulars

Details

2.1.1

Write-up on the activities of the applicant

2.1.2

Whether the Trust Deed is registered under the provisions of the Registration Act, 1908. (Enclose relevant extract of the Registered Trust Deed)

2.1.3

Whether the Trust Deed permits the carrying on of the activity of an Alternative Investment Fund

2.1.4

Whether the applicant is prohibited by its trust deed from making an invitation to the public to subscribe to its units

2.1.5

Provide details of Trustees/ Trustee Company as below:

a)

Whether Trustee is an individual or a Trustee company

b)

Details of Trustee:

Name

Registered office address

Telephone number(s)

c)

Details of contact person(s):

Name

Direct line number

Mobile number 

Email of the contact person(s).

d)

Identity and Address proofs of Trustees/ Directors of the Trustee Company

e)

Whether the Trustee Company is registered with the  IFSCA or any other regulatory authority in any capacity along with the details of its registration.

f)

Brief write-up on the activities of the Trustee Company/ Profile of Trustees.

S.No.

Particulars

Details

2.2.1

Write-up on the activities of the applicant

2.2.2 

Shareholding pattern and profile of the directors (Enclose Identity proofs and Address proofs of the directors)

2.2.3

Whether the Memorandum of Association permits carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the

Memorandum of Association)

2.2.4

Whether the applicant is prohibited by its memorandum and Articles of Association from making an invitation to the public to subscribe to its securities

2.3.1

Write-up on the activities of the applicant

2.3.2

Beneficial ownership pattern and profile of the partners (Enclose Identity proofs and Address proofs of the partners)

2.3.3

Whether the partnership deed is duly filed under the provisions of the Limited Liability Partnership Act, 2008 and permits carrying on of the activity of an Alternative Investment Fund (Enclose relevant extract of the Partnership Deed)

2.3.4

Whether the applicant is prohibited by its

Partnership Deed from making an invitation to the public to subscribe to its securities

S.No.

Particulars

Details

2.4.1

Write-up on the activities of the applicant

2.4.2

Shareholding pattern and profile of the directors (Enclose Identity proof and address proof of the directors)

2.4.3

Whether the applicant is set up or established under the laws of the Central or State Legislature

2.4.4

Whether the applicant is permitted carrying on of the activity of an Alternative Investment Fund

(Enclose relevant extract of the relevant Statute/Act)

2.4.5

Whether the applicant is prohibited by its memorandum and articles of association from making an invitation to the public to subscribe to its securities

S.No.

Particulars

Details

3.1

Details of the Sponsor(s)

a)

Name

b)

Address of the Registered Office

c)

Principal place of business

d)

Telephone number(s)

e)

E-mail address

3.2.

Details of contact person(s)

a)

Name

b)

Direct line number

c)

Mobile number

d)

E-mail address

e)

Legal status of the sponsor (Individual/Company/Limited Liability Partnership/Body Corporate)

f)

Date and place of incorporation/ establishment

g)

Write-up about Sponsor:

i. If Sponsor is an Individual– Provide brief profile of the Sponsor including professional qualifications

ii. If sponsor is other than an individual– Provide write up on shareholding pattern/ Partnership interests and profile of the directors/partners including their professional qualifications

h)

Identity proofs and address proofs of the 

• Sponsor(s) (if Sponsor  is an individual) Or

• Directors of Sponsor (if sponsor is a company) Or

• Partners of the Sponsor (if Sponsor is a Limited Liability Partnership).

i)

Details of past experience of the Sponsor(s) in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling and dealing of securities or other financial assets.

j)

Copies of the financial statements for the previous financial year

k)

Whether, the Sponsor has floated any Alternative Investment Funds/ Venture Capital Funds which are registered with the IFSCA or any other regulatory authority. If yes, provide details of the same

S.No.

Particulars

Details

4.1

Details of the Manager(s)

a)

Name

b)

Address of the Registered Office

c)

Principal place of business

d)

Telephone number(s)

f)

E-mail address

4.2.

Details of contact person(s)

a)

Name 

b)

Direct line number

c)

Mobile number

d)

E-mail address

4.3

Legal status of the Sponsor

(Individual/Company/Limited Liability Partnership/Body Corporate)

4.4

Date and place of incorporation/ establishment

4.5

Write up on the activities of the Manager including past experience in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling & dealing of securities or other financial assets.

4.6

Identity proofs and address proofs of the 

• Manager(s) (if Manager is an individual) Or

• Directors of Manager (is Manager is a company) Or

• Partners of the Manager (if Manager is a limited liability partnership).

4.7

In case of Manager(s) being a Company or Limited Liability Partnership, shareholding pattern /Partnership interests and profile of the directors /Partners

4.8

Brief profile of Key

Investment Team including experience and professional qualification

4.9

Copies of the financial statements for the previous financial year

4.10

Whether, the Manager has managed/advised any Alternative Investment Funds/ Venture Capital Funds which are registered with the IFSCA or any other regulatory authority. If yes, details of the same.