MUTUAL FUNDS LISTING TERMS

• LIST OF DOCUMENTS FOR PRINCIPAL AND APPROVAL

TERMS&CONDITIONSA. . Certified true copy of the following Agreements /

documents: Draft Scheme Information Document (SID). Hard as well as soft

copy.Statement of Additional Information (SAI).Investment Management Agreement. (In case of 1st Listing)Certification of registration of Mutual Fund issued by SEBI. (In

case of 1st Listing)Custodian Agreement. (In case of 1st Listing)R & T Agreement. (In case of 1st Listing)Resolution passed by trustee at their meeting approving listing of

units of Mutual Fund Scheme on the Bombay Stock Exchange.

The Exchange reserves the right to ask for documents other than those mentioned above.

Particulars Processing fees per single Scheme information

Document (SID) -Processing fees Rs10000/- Service tax is payable on processing fees at the applicable rate

B. List of documents / details to be submitted for Listing of units of Mutual Fund Schemes (Post allotment of units)

•Letter of Application for listing of units of Mutual Fund Scheme.•Details of the applicant (In case of 1st Issue/Listing) and Issue Details. (enclosed as Annexure I)•Certified True Copy of the Due Diligence Certificate submitted to SEBI.•Certified True Copy of observations / comments received from SEBI on the Scheme Information Document (SID)•Certified true copy of the Final Scheme Information Document (SID) (soft copy also required)•Unitholding pattern of Unitholders of the Scheme•Confirmation from the CEO / Compliance officer regarding allotment of units and the actual no. of units allotted.•Statement of Collection details •Listing Agreement (In case of 1st Listing) •Confirmation regarding compliance with SEBI (Mutual Funds) Regulations, 1996 from the AMC and all the subsequent circulars of the Regulator/s in this respect.•Confirmation from NSDL and CDSL (ISIN activation) •Confirmation from RTA on the final number of units to be allotted with NSDL, to be allotted with CDSL and to be issued under physical form.•Undertaking from the RTA on the units considered under switches that they have debited the units from the respective schemes and credited the applicable units in this scheme(if applicable).•Confirmation received from NSDL / CDSL for credit.•Confirmation from RTA regarding dispatch of Certificates / Account statement/refund order.•Annual listing fees plus Service Tax (As mentioned below)

Sl no Particulars Norms

1 Initial Listing Fees NIL

2 Annual Listing Fee- for tenure of the

scheme

Payable per month or part there of

3Issue size up to Rs.50

Crs.Rs.1,000/-

4Above Rs.50 Crs. and

up to Rs.100 Crs.Rs.1,300/-

5Above Rs.100 Crs.

and up to Rs.300 Crs,Rs.2,800/-

6Above Rs.300 Crs.

and up to Rs.500 Crs.Rs.5,300/-

7Above Rs.500 Crs. and up to Rs.1000

Crs.

Rs.9,300/-

8 Above 1000 Crs. Rs.14,800/-

Note:For tenure beyond One month, fees are payable for one month or any

part thereof

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