Guidelines on Investor Education and Awareness through SEBI Empanelled Resource Persons (Under Investor Protection and Education

Fund) Objective The objective is to promote investor awareness and education through SEBI empanelled resource persons (RPs) who would act as faculty / speakers in the workshops of target groups, as may be identified by SEBI on the recommendations of the Advisory Committee for IPEF, and in workshops organized by RPs / SEBI / recognized investor associations. Note: The following target groups have been identified by SEBI on the recommendations of the Advisory Committee for IPEF on the date of these Guidelines: a. b. c. d. e. f. g. Investment Planning for Retirement Investment Planning for Executives Investment Planning for Home Makers Financial Planning for Young Investors Financial Education for Middle Income Group Financial Education for School Children, and Financial Education for Self Help Groups.

Note: SEBI / NISM on behalf of SEBI shall solicit applications through advertisement in newspapers and / or their websites or by writing to Schools and Colleges from eligible candidates interested to act as RPs. SEBI/NISM shall screen the applicants by personal interaction for aptitude and commitment and provide the necessary training (for seven days) to selected candidates. On completion of the training, the candidates shall take the prescribed certification examination. The names of the candidates who successfully complete the certification will be included in the panel of RPs. Their performance would be reviewed every year. Only those RPs whose performance is found satisfactory would be imparted continuing education (for two days) and their names will be retained in the panel for the next year. Also, a midyear review meeting may be organised for evaluating the RPs performance. For the review meeting, the RPs shall be reimbursed ` 1,000/- as honorarium allowance, travelling cost of 2 tier AC train fare from the place of residence to the respective place of meeting and local conveyance upto ` 1,000/-. Eligibility to apply for RPs The candidate must: a. be a teacher or a retired teacher, b. have teaching experience of at least three years, c. have a post graduation degree in commerce, management, economics or finance, d. have a good understanding of financial markets and financial products, e. have aptitude for investor awareness and education, f. have proficiency in English and in the local language of the state / union territory /area where intends to act as RP, g. have good presentation and communication skills, h. not be above the age of 65, and i. neither be an intermediary or associated with any intermediary.

Obligations of Resource Persons A RP shall: a. act as faculty / speaker at least in 12 workshops and at best in 52 workshops in a calendar year. He may accept invitations to act as speaker / faculty from SEBI recognized investor associations or target groups. He shall not ordinarily refuse an invitation. He may also organize workshops in association with target groups where he may act as faculty / speaker. SEBI reserves the right to allow more workshops to those RPs who have completed 52 workshops subject to their satisfactory performance and provide No Objection Certificate to those RPs who have completed 12 mandatory workshops sponsored by SEBI to conduct workshops of other bodies such as MCA, subject to fulfilling certain other condition. b. act as faculty / speaker in workshops organized in his state / union territory / area assigned to him, c. conduct the workshop ordinarily in local language, d. conduct workshop with a minimum participation of 50(nos), e. distribute free of cost the standard published material made available by SEBI. He shall not make any monetary gain by using such material in any manner, f. not conduct workshop in the same institution/organisation, without a gap of 15 days g. be fair, respectful and courteous to participants and organisers of the workshops, h. not indulge in selling and/or promoting any specific investment product, i. not promote commercial interest of any intermediary or issuer or undertake any securities markets related business activity, j. not engage in any activity which has potential to bring disrespect to SEBI, k. not represent, by conduct or otherwise, to be an agent or employee of SEBI, and l. maintain all records including the details of workshops and participants, expenses etc. in the manner, as may be specified by SEBI and provide to SEBI as and when desired. m. Shall obtain SEBI No Objection Certificate before taking up similar assignment of any other organisations n. Shall not make any exaggerate claim about efficacy of any product or market Obligation of SEBI SEBI shall a) Maintain and update the panel of RPs along with their contact details and make these available in public domain b) Arrange for training, certification and continuing education programme of RPs c) Provide the published material for use by RPs in the workshops d) Pay honorarium of ` 4,000/-(for workshop conducted within the place of city/town/village of RP) and ` 4,500/- (for workshop conducted other than the place of city/town/village of RP) per workshops to the RPs. e) Disseminate the schedule of workshops in advance in its website Organisation of Workshops A RP / SEBI may approach the select target group or the target group may approach SEBI / a RP for organising a workshop. The venue shall be ordinarily provided by the select target group free of cost. The RP shall seek prior approval of SEBI for organising a workshop of select group / acting as speaker / faculty of a workshop organized by select group/investor association in the proforma A at-least 10 working days in advance. She/he shall claim honorarium in proforma B along with the certificate of the leader / head of the select group in proforma C and along with any other information desired by SEBI. RP shall be paid honorarium of ` 4,000/-(for workshop conducted within the place of city/town/village of RP) and ` 4,500/- (for workshop conducted other than the place of city/town/village of RP) per workshops. SEBI may restrict number of workshops in a particular target group at its discretion.

Relaxation / Termination of Guidelines SEBI may relax any of the above guidelines in deserving cases. It may discontinue the panel of RPs / these guidelines at any time and consequently investor education and awareness workshop through RPs, without any obligation towards anybody. Review These Guidelines shall be effective since April 2012 and remain in force until further reviewed

Proforma A Form for seeking prior approval for Financial Education Workshop by a RP Date: _________ To The Concerned Division Chief OIAE-Investor Awareness Division Full address of the concerned regional office Dear Sir, I have been invited to be a speaker / faculty at the workshop by .. / I am organising a target group workshop, the details of which are as under: 1 Details of workshop 1) 2) 3) 4) 5) 6) 2 Date of Workshop Time of Workshop Place and Venue of Workshop (Full address) Number of participants expected (Not less than 50) Language of the Workshop Workshop within place of city/town/village Yes/No (if No, name of the city / town / village)

Target Group1 (Please mention the Target group) Batch/class/section/group/Department (for which workshop is being conducted Contact details of the Head / Leader of the target group 1) Name of Head of institute 2) 3) 4) 5) Designation of head of institute Full Address of head of institute (with Pin code) Phone with STD codes E-mail address

Study Material 1) Copies of study material required (Nos.) 2) Language 3)

Place of Dispatch (venue of the program or the correspondence address of RP) I request you to kindly accord approval to the above. Yours sincerely,

Name of resource person Signature of resource person RP Number, E-Mail Id, Telephone Number

Name of Target Group 1) Financial Education for School Children 3) Investment Planning for Executives 5) Financial Education for Middle Income Group 7) Financial Literacy for Self Help Groups 2) Financial Planning for Young Investors 4) Investment Planning for Home Makers 6) Investment Planning for Retirement

Proforma B FORM FOR CLAIMING HONORARIUM FOR WORKSHOPS BY RPs Date: ____________ To

Concerned division chief OIAE-Investor Awareness Division Full address of the concerned regional office
Dear Sir, Please refer to SEBI approval No dated.. Accordingly, I acted as a speaker / faculty at the workshop organized by ..The details of the workshop are as under: 1 Details of workshop 1) 2) 3) 4) 5) 6) Date of Workshop Time of Workshop Place and Venue of Workshop (Full address) Number of participants Language of the Workshop Yes/No (If No, name of the city / town / village)

Whether workshop conducted within place of city/town/village Target Group2 (Please mention the Target group) Batch/class/section/group/Department (for which workshop is being conducted Contact details of the Head / Leader of the target group 1) 2) 3) 4) 5) Name of Head of institute Designation of head of institute Address of head of institute Phone with STD codes E-mail address

5 6 7

Study Material 1) Copies of study material Used (Nos.) 2) Language Name of the SEBI official, if any, who attended the workshop Details of Payments 1) 2) Honorarium Amount (Rs.) Any other expenses

Whether softcopy of workshop photographs sent through e-mail

I enclose the certificate from leader / head of the target group / investor association in the Proforma C.I request you to kindly arrange to pay me a sum of ` 4,000/ `4,500/- towards honorarium for the aforesaid workshop. Yours sincerely, Name and signature
2

Name of Target Group 1) Financial Education for School Children 3) Investment Planning for Executives 5) Financial Education for Middle Income Group 7) Financial Literacy for Self Help Groups 2) Financial Planning for Young Investors 4) Investment Planning for Home Makers 6) Investment Planning for Retirement

Proforma-B Annexure FINANCIAL EDUCATION PROGRAM REPORT FROM PARTICIPANTS Name of the Program Date and Time Place Venue Particulars of the participants S. no 1 Name of the participant Contact number E-mail id Study material received Remarks, if any Like to receive information through (tick) E-mail SMS Signature (Target group)

N Name and signature of Resource Person (Add extra sheets if required)

Proforma C Certificate from the leader / head of the target group/investor association (On the letter head of the institute) Date: __________ To The Division Chief OIAE-Investor Awareness Division Full address of the concerned regional office Dear Sir, This is to certify that Mr. /Ms. __________ with RP No. __________ has acted as speaker / faculty at the workshop organized for ___________ (target group) on ______________ (date and time) at ______________ (venue and place) which was attended by __________ (Nos.) of participants.

Yours faithfully,

Name Designation Signature

Application for granting NOC for conducting MCA programmes

Date: To The General Manager Investor Awareness Division SEBI Bhavan, Plot no. C4-A, G Block, Bandra Kurla Complex, Bandra (E), Mumbai-400051

Dear Sir, I have been approached by ---------------------------------- (body) for rendering my services as resource person for conducting investor awareness programmes of MCA. I have already completed the minimum stipulated 12 (nos) of workshops of SEBI for the calendar year (year) (Details Enclosed). My certification validity is upto --------------(validity date)

While conducting the programmes for MCA I consent to abide by the following conditions: i. To conduct as much number of programs for SEBI as I conduct for MCA, in addition to the minimum stipulated number of workshops of SEBI ii. To adhere to all terms and conditions in conducting the workshop of SEBI as agreed during empanelment I request you to please grant me NOC for conducting programmes of MCA. I also understand that non fulfilling the above conditions shall amount to automatic cancellation of the NOC granted to me. Yours sincerely,

Name of the Resource Person RP Regd No Regd validity