Letter of Consent_Final3195544137

8/13/2019 Letter of Consent_Final3195544137

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PENSION FUND REGULATORY AND DEVELOPMENT

AUTHORITY

CONSENT DOCUMENT/APPLICATION

FOR REGISTRATION AS AGGREGATOR

UNDER NATIONAL PENSION SYSTEM (NPS) - LITE

FOR MEMBERS OF


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Table of Contents

Table of Contents........................................................................................................................ 2

I.Letter of Consent....................................................................................................................... 3

II.Aggregator Compliance Sheet.................................................................................................. 5

Annexure 1: etails of Customer !ase an" Ser#ices $en"ere"..................................................%

Annexure 3: Commercial &n"erta'ing.......................................................................................11

Annexure (: )ormat for pro#i"ing *o#ernance Structure...........................................................12

Annexure 5: Technical + ,anpo-er Capacit &n"erta'ing.......................................................13

Annexure/0: )ormat for see'ing exemptionrelaxation of an eligibilit criteria..........................1(

Annexure/: eclaration of etails of Consortium artner.........................................................15


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I. Letter of Consent

(to be provided on company/official letter head)

Date DDth

Month, YYYY

To

XYZ

Executive Director

en!ion "und #e$ulatory Development %uthority

&!t"loor, '%D# uildin$, lot *o +

a!ant -un. 'n!titutional %rea

ha!e'', *e0 Delhi&&1121

3ub4 5etter of on!ent for #e$i!tration a! %$$re$ator under *ational en!ion 3y!tem (*3) 5ite

for member! of 67r$ani8ation *ame9

Dear 3ir/Madam,

'/0e, the under!i$ned, have examined and familiari!ed me/our!elve! 0ith :#e$ulation! for

%$$re$ator! under *3 5ite ;1&1< and :7peratin$ =uideline! for %$$re$ator!< pre!cribed by "#D%>

;> ?e are de!irou! of bein$ enli!ted a! an :%$$re$ator under *3 5ite< for providin$ pre!cribed

!ervice! to the potential *3 5ite !ub!criber! belon$in$ to 67r$ani8ation *ame9> ?e hereby a$ree to

perform activitie! pre!cribed in :7peratin$ =uideline! for %$$re$ator< and other a!!ociated

rule!/$uideline! pre!cribed by "#D% from time to time>

@> ?e confirm that 0e have under!tood and a$ree to abide unconditionally by all the reAuirement!

a! !et out in :#e$ulation! for %$$re$ator! under *3 5ite ;1&1

B> "urther, 0e al!o undertaCe to !i$n !eparate a$reement(!) 0ith "#D% or it! de!i$nated a$ency in

the format pre!cribed by "#D%, if reAuired>

> *ece!!ary detail! 0ith !upportin$ document! are attached 0ith thi! con!ent letter in pre!cribed

format for con!ideration of our reAue!t>

+> '/0e under!tand that "#D% re!erve! the ri$ht to accept or re.ect our propo!al 0ithout a!!i$nin$

any rea!on thereof>


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't i! hereby confirmed that '/0e are entitled to act on behalf of our

corporation/company/firm/or$ani8ation and empo0ered to !i$n thi! letter a! 0ell a! other !uch

letter!/document! 0hich may be reAuired for re$i!tration>

Dated thi! Day of ;1&1

(3i$nature)

*ame4 ('n the capacity of)

Duly authori8ed to !i$n the on!ent letter for and on behalf of4

(*ame and %ddre!! of 7r$ani8ation) (3eal/3tamp of 7r$ani8ation)


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II. Aggregator Compliance Sheet

Name of the EntityEntity is Registered

with (please tick)

Ref: Section 9.1 & 9.2

of the regulations

Societies Registration Act 1860 ( or a

State amendment of this Act)

ndian !rusts Act" 1862

#harita$le and Religious !rusts Act" 1920

ndian #om%anies Act" 196 ( section 2"

for not for %rofit com%anies)

ndian #om%anies Act 196 'ith

necessar certification from R (for*+#s)

ndian #om%anies Act 196" for an other

com%an

,thers" if an (%ls. s%ecif)

Attested co% of

such certificate is

%ro-ided

es

*o

Registered Address

Entity Background

Ref: Section 19 of the

regulations

/ominant %romoter grou% detail co-ering share

holding %atterns

,rganiation rief

%ro-ided( on a

se%arate sheet)

es

*o

Entity is in businessof financial services

or commodity

development for

Ref: Section 9. of the

regulations

As on date of a%%lication"

ess than 3 ears

3 to ears

to 10 ears

4ore than 10 ears

alance Sheet oflast 3 ears

%ro-ided

es

*o


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Entity has net-worth

of

Ref: Section 9.6 of the

regulations

As on date of a%%lication

ess than Rs 0 a5h

Rs 0 a5h or more

7ual to or more than Rs 1 #rore

*et'orth#ertificate from#harteredAccountant is%ro-ided

es

*o

Eisting customer

base and !ervices

Rendered

Statement in

Anneure " is

%ro-ided

es

*o

Entity financial

status

Ref: Section 9. of the

regulations

hether entit has incurred loss in %receding financial ears

es

*o

#isciplinary

$roceedings

#eclaration

Ref: Section 9.10 of

the regulations

/irectors %romoters etc ha-e not $een su$;ected

to an disci%linar %roceeding(s) under the rules"

regulations and $ela's of an

regulatordisci%lining $od during the last three

ears

/eclaration in

Anneure % is

%ro-ided

es

*o

&ommercial

'ndertaking


regulations

ntit is entitled for recei-ing remuneration as

%rescri$ed $


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Ref: Section 9.? of the

regulations

es

*o

/ighest daily cash

collection ( 0n Rs)


regulations


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Annexure 1: Details of Customer Base and Services Rendered

=isting #ustomer #ount acrossall Ser-ices (as on date of

a%%lication) 'hich 'ould $e

co-ered under *


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/ul authoried to sign this underta5ing for and on $ehalf of:

(*ame and Address of ,rganiation) (SealStam% of ,rganiation)


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Annexure : Legal !nderta"ing

t is here$ confirmed that 'e are entitled to act on $ehalf of our

cor%orationcom%anfirmorganiation and em%o'ered to %ro-ide this underta5ing that"

(i) *o %enalties ha-e $een im%osed on our organisationits %romotersdirectors and no

ma;or strictures ha-e $een %assed $ an court of la' or $ an regulator

$oddisci%lining authorit during the last three ears

(ii) *o disci%line case is %ending against the organisation or its %romotersdirectors as

on date of this declaration

/ated this /a of 2010

(Signature)@@@@@@@@@@@

*ame:@@@@@@@@@@@@@@@@@@@@@@ (n the ca%acit of)@@@@@@@@@@@@@@@@@@@@




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Annexure #: Commercial !nderta"ing

t is here$ confirmed that 'e are entitled to act on $ehalf of ourcor%orationcom%anfirmorganiation and em%o'ered to %ro-ide this underta5ing that m

institution" if registered as Aggregator under *


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Annexure $: %ormat for providing &overnance Structure

An entit should %ro-ide details of its o-ernance structure co-ering:

1. oard structure

2. ist of nde%endent directors

3. 4onitoring mechanism

. #ash handlingmonitoring mechanism

. 4echanism for detectioncontrol of frauds etc

6. #ustomer grie-ance redressal %rocess

?. An other rele-ant matter


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Annexure ': (echnical ) *anpo+er Capacit, !nderta"ing


cor%orationcom%anfirmorganiation and em%o'ered to %ro-ide this underta5ing that mour

institution" is ha-ing necessar technical & man%o'er ca%acit for %ro-iding *


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Annexure-: %ormat for see"ing exemption/relaxation of an, eligi0ilit, criteria

!4No Reference in Regulation

(&lause No4 , $age No4)

Etent of #eviation Brief Reason

1.

/ated this /a of 2010

(Signature)@@@@@@@@@@@

*ame:@@@@@@@@@@@@@@@@@@@@@@ (n the ca%acit of)@@@@@@@@@@@@@@@@@@@@




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Annexure-: Declaration of Details of Consortium 2artner


com%anfirmorganiation and em%o'ered to %ro-ide this underta5ing that mour institution" is

creating a consortium of one or more entit for %ro-iding *


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$e

*

Letter of Consent_Final3195544137

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