Checklist for submitting documents for surrender/cancellation of Authorised Person (AP)

registration.
Sr. Particular Remarks
No.
1 Original Letter from AP(addressed to the Member) on their letter head 1 set
requesting for cancellation of their registration as per prescribed format- BSE
.(annexure-2)
2 Original Letter from AP ( addressed to the Member ) on their letterhead 1 set
requesting for cancellation of their registration as per prescribed format -
NSE ( With CA certified )

2 Original Authorised Person BSE Registration Certificate. In case of 1 set

loss/misplacement of original AP registration certificate the main member
has to give an affidavit on a stamp paper of Rs.100 (as per the format
enclosed).

3 Copy of Board Resolution for cancellation (in case the AP is corporate Should 1 set
be signed by authorised Director/s)or Copy of Authority Letter in case of
Partnership/ LLP for cancellation of AP (Should be signed by authorised
Partner/s)

Note: In cases where the AP is not traceable/responding, then the main member must serve Termination
notice by registered post to the concerned AP on the last contacted address demanding the aforesaid
documents from the AP If the AP doesn’t reply within 30 days from the date of notice then the Member
may apply for cancellation of AP by submitting the said notice along with the proof i.e. acknowledgement
copy of POD/AD slip.
 Vikas Chimpa
Hotal Bhanwar Niwas Ke Pass, Chhimpo Ka Mohalla, Bikaner, Rajasthan -334001
-__________________________________________________________________________________

Annexure-2
To
M/S. IIFL Securities Limited
IIFL House, Sun Infotech Park,
Road No.16V, Plot No.B-23,
Thane Industrial Area, Wagle Estate,
Thane-400604.

Sub : Termination of Agreement and surrender/cancellation of BSE registration

Dear Sir,

With reference to captioned subject I/We hereby request you to terminate the authorised person
agreement with you and surrender AP registration certificate to BSE for cancellation of our
authorised person registration.

We further confirm that:

There is no arbitration/disciplinary proceeding is pending against us by SEBI/Stock Exchange/Any
other Regulatory Authority or any Court of Law.

We undertake to honour all the liabilities/obligations of all actions till the cancellation of the BSE
registration including any action for violation of the provisions of the SEBI circular MIRSD/ DR-
1/ Cir- 16 /09 Dated November 06, 2009.

We are also enclosing herewith following documents for cancellation of AP registration:

1. Original Authorised Person Registration certificate issued by BSE Ltd.

You are requested to kindly do the needful.

Thanking you.

Yours truly,

Vikas Chimpa
Name and Signature of the Applicant
(Proprietor/Partner/Director/Authorized Signatory)
 Vikas Chimpa
Hotal Bhanwar Niwas Ke Pass, Chhimpo Ka Mohalla, Bikaner, Rajasthan -334001
-__________________________________________________________________________________

Date: 07-06-18

To
M/S. IIFL Securities Limited
IIFL House, Sun Infotech Park,
Road No.16V, Plot No.B-23,
Thane Industrial Area, Wagle Estate,
Thane-400604.

Subject: Discontinuation as Authorized Person in Authorized person ( CASH, F&O & CD) )

Dear Sir,

I / we would like to intimate you regarding my /our discontinuation as authorized person with
effect from ______________due to my / our personal reasons.

Thanking You.

Yours Faithfully

Vikas Chimpa
Name and Signature of the Applicant
(Proprietor/Partner/Director/Authorized Signatory)
AP Regn. No: - AP1493093601
Date : dd / mm / yyyy

To,
FAN Dept,
2nd Floor, IIFL Center,
Wing B & Ext., Kamala City,
Senapati Bapat Marg,
Lower Parel, Mumbai. : 400013

Subject : Process for Voluntary cancellation of Sub brokership/authorized person with IIFL
Securities Limited (IIFL)

This is with reference to my application for Voluntary Cancellation of Sub broker/AP

registration submitted to IIFL on dd / mm / yyyy_ to IIFL , HO /
Branch(____________________________________________________). In this regard, I
hereby confirm that I have read and understood the process of voluntary cancellation and the
document check list, copy enclosed herewith and shall abide by the same.
In this regard, I agree to comply with the requirements as per the said process and submit
necessary information/documents to Stock Exchanges/SEBI/IIFL which inter alia include the
following:
1. I/We shall submit the ledger & accounts satisfaction letter duly signed by all clients introduced
by me/us.
2. I/We shall submit duly filled and signed copy of Indemnity in the prescribed format.The cost of
publishing the advertisement in the newspaper whether the same is published by IIFL or by
me/us, will be borne by I/We only.
3. For AP there is no need of advertisement

I/we understand that payment of my security deposit towards full and final settlement, will not
be released by IIFL unless and until aforesaid process is not complied with completely.

Regards,

( Stamp & seal compulsory

In case of non individual FAN )