Scribd Logo
Upload

Welcome to Scribd!

  • 14 views

    Sebi Letter Reply

    Uploaded by

    bhavna shah
    cummulative

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd

    Sebi Letter Reply

    Uploaded by

    bhavna shah
    14 views2 pages
    cummulative

    Original Title

    SEBI LETTER REPLY

    Copyright

    © © All Rights Reserved

    Available Formats

    PDF, TXT or read online from Scribd

    Did you find this document useful?

    Is this content inappropriate?

    cummulative

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    14 views2 pages

    Sebi Letter Reply

    Uploaded by

    bhavna shah
    cummulative

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    You are on page 1of 2

    - - - 1i .

    Cumulative Capital Private Limited


    Date: February 28, 2024

    To,
    Securities Exchange Board of India
    Market Intermediaries Regulations and Supervisio
    n Department Division 5
    SEBI Bhavan,
    Plot No. C4-A, 'G' Block,
    Bandra Kurla Complex, Bandra East,
    Mumbai, Maharashtra-400051

    Dear Sir,

    We hereby undertake the following ;

    1. We hereby declare and undertake that no enqu


    iry/ adjudication/ prosecution or any other
    action (suspension, debarment etc.)/ adverse comm
    ents (warning/ caution) is/ was, at any
    point of time, initiated/ pending against the
    applicant company/ group entities/
    associate(s) and/ or any of the Directors/ key
    personnel / promoters of the applicant
    company, from SEBl or any other regulatory body
    , in India or abroad.
    2. We hereby declare and undertake that
    no compliant/ litigation including investor
    grievances is pending again st the applicant comp
    any and/ or any of the directors/ key
    personnel of the applicant company as on date.

    3. We hereby declare and undertake that no


    person directly or indirectly connected with
    the applicant (as associate, subsidiary, inter-con
    nected or group company of the
    applicant being a body corporate) has been refus
    ed registration by· the SEBI under
    SEBI Act, 1992 .

    4. We hereby declare and undertake that no fees


    are due from the appl icant/ associates to
    SEBI.

    5. We hereby declare and undertake that


    the applicant company has adequate
    infrastructure like office space, equipment, manp
    ower and investor grievance redressal
    system in place to effectively discharge its activity
    as Merchant Bankers/ Bankers to an
    Issue.

    6. We hereby declare and undertake that the appli


    cant company is not invo lved in any
    activities other than that in the securities market.

    7. We hereby declare and undertake that none


    of the directors/ principal officer is/ are
    involved in any litigation connected with the secu
    rities market which has an adverse
    bearing on the business of the company.
    8. We hereby declare and undertake that no direc
    tor(s) or principal officer(s) has at any
    time been convicted for any offence involving mora
    l turpitude or has been found guilty
    of any economic offence.

    (l) +919 8196 62 664


    C-321, 3rd Floor, 215 Atrium Co Op Soc, Andh
    CIN: U64910MH202 3PTC414974 eri Kurla
    Road, Chakala MIDC, Andheri East Mum bai-
    400 093
    Cumulative Capital Private Limited

    9. We hereby declare and undertake that none of the directors of the applicant company
    is/ was, at any point of time, broker/ sub broker of any recognized stock exchange.

    10. We hereby declare and undertake that the applicant company is not registered with RBI
    in the capacity ofNBFC/ Primary Dealer/ Satellite Dealer.

    11 . We hereby declare and undertake that there have been no instances of violation or non-
    adherence to any securities market related regulations by the applicant or its
    associate(s)/ group companies in India or abroad and any action has been taken by a
    regulatory agency in this regard.

    For and on behalfof For and on behalfof


    Cumulative Capital Private Limited Cumulative Capital Private Limited

    Swapnilsagar Vithalani Priyesh A. Karia


    Director Director
    DIN : 07315009 DIN :06846236

    For and on behalf of


    Cumulative Capital Private Limited

    Bhavna Shah
    Key Managerial Person

    For and on behalf of


    Cumulative Capital Private Limited

    Bhavna Shah
    Compliance Officer

    CJ) +919819662 664 C-321, 3rd Floor, 215 Atrium Co Op Soc, Andheri Kurla
    CIN: U64910MH2023PTC414974 Road, Chakala MIDC, Andherl E11st Mumbai - 400 093

    You might also like