List of Document Required for New Listing for the company listed on other stock exchange

S.No. Particular Doc. Rec.

1. Forms:
 Letter of application (as per Appendix B)
 Application Form (as per Appendix C - Part I)
 Listing agreement (as per Appendix F)
 Confirmation of provisions in Articles of Association of the
company relating to listing requirment.
2. Short history of the company including,
 Background of the company and business activity including
changes in business activities in last 3 years
 Capital evolution history including Public and Private Placements
 Name change, if any,
 Particular of any reorganization, restructuring, amalgamation etc.,
if any, in last five years
 CIN# and PAN# of the company.
3. Background of Promoters & Promoting Company: Brief profile of the
promoter and promoting company. Details should include full Name,
residential addresses and PAN# of the promoters of the company.
4. Details regarding group companies and companies promoted by the
promoter /promoting companies. The details must include :
 The business activities of the companies,
 Names of promoters/directors, including PAN no / DIN no.
 Details of shareholding of promoters/directors and
 Stock Exchanges on which these companies are listed, if any.
5. The shareholding pattern (as per the clause 35) of the company as on
31st March for the last 3 years and for last two quarters.
6. Stock Exchange
Year in which the company was listed for the first time on any recognized
stock exchange and subsequent listing on other Exchanges.
7. ISIN of the equity shares of the company
8. List of Directors / Key Managerial Person* with designation, their
addresses and other directorships. Details should include Full Name,
residential address, DIN# and PAN# (*KMP as define in companies act
2013)
9. Certificate given by statutory auditors with respect to following for last
three years:
 Net worth*
 Distributable Profit
 Dividend declared and paid
*Networth means Paid up equity capital + Free Reserves (i.e. reserve, the utilization of
which is not restricted in any manner may be taken into consideration excluding
revaluation reserves – Miscellaneous Expenses not written off) – Balance in profit and
loss account to the extent not set off.
 Certificate for statutory auditors with respect to following:
 The company has not been referred to BIFR.
 The company has not received any winding up petition admitted
by the court.
 The company / other listed group company has not been in default
in payment of listing fees to any stock exchange in the last three
years.
10. Certificate from statutory auditors/practicing auditors stating that,
details of Lock-in the following format (in any).
Number of Distinctive numbers range Lock-in upto
securities From To

You are requested to provide soft copy (excel format) of total Distinctive
Range.
11. Resolutions
Certified true copy of the resolution passed by the Board of Directors for
listing the equity shares of the company on the National Stock Exchange
of India Limited.
12. Principal Documents
 Memorandum and Articles of Association
 Annual reports for the last 5 years (Soft copy)
 Prospectuses / Letter of Offer issued by the company during the
last 5 years, if any along with certified true copy of the SEBI
comments on offer document, if any.
13. Latest Quarterly Submission for last 2 Quarter
- Quarterly Result,
- Corporate Governance Report
- Reconciliation of Share Capital Audit Report
14. Certificate from the company as on date of filing application, confirming
that the issuer has adhered to :
 Provisions of Listing Agreement
 Securities Contracts (Regulations) Act, 1956
 Securities Contracts (Regulations) Rule, 1957
 Companies Act 1956 / Companies Act 2013,
 Securities and Exchange Board of India Act, 1992, any rules
and/or regulations framed under foregoing statutes, as also any
circular, clarifications, guidelines issued by the appropriate
authority under foregoing statutes.
15. Disciplinary Action / Litigation
 Details of Disciplinary or Regulatory Actions taken / pending,
against the Company / Promoters / Directors / Group Companies
by Stock Exchanges and regulatory authorities in the past three
years, if any.(details of penalties levied less then Rs. 5,000 and
debarment from capital market for a period of less then 7 are days
not required provide)
 Copy of all show cause notice (s)/ order (s)/ issued by any
regulatory authority (e.g. SEBI, ROC, RBI, CLB, Stock exchange
 etc.) and correspondence there to, if any.(for the cases where the
action is not yet concluded)
 Details of litigations (the nature of litigation and the status of
litigation) in the past 3 years against the Company / Promoters /
Directors / Group Companies (Cases of litigations in respect of
companies to which the promoters were associated in the past as
Directors/Promoters but are no longer associated should be
included).
 Details of defaults in respect of payment of interest and/or
principal to the debenture/bond/fixed deposit holders by the
company, group companies, companies under same management,
promoters and companies promoted by the promoters of the
company (Cases of default in respect of companies to which the
promoters were associated in the past as Directors/Promoters but
are no longer associated should be included).
 Confirmation that the applicant company, its promoters/
promoting company (ies), group companies, companies promoted
by the promoters/promoting company (ies),
a. has not been compulsorily delisted or suspended in the past and
b. Not been proceeded against by SEBI or other regulatory authority
in connection with capital market related issues or otherwise.
16. Confirmation regarding the applicant company’s, its promoters’/
promoting companies’, companies promoted by the promoters’/promoting
company(ies), group companies’:
 Track record in redressal of investor grievances
 Arrangements envisaged for servicing its investor
 General approach and philosophy to the issue of investor service
and protection.
 Details of SCORES ID and copy of Investor compliant report
extracted from SCORES as on date of application.
17. Certified true copy of Form 32 / DIR 8 filed with the Registrar of
Companies for appointment of Company Secretary and receipt issued by
ROC acknowledging the same.
18. Specimen signatures of authorized signatories.
Note:
a. All details must be filled in the original forms provided.
b. The form should be submitted duly completed in all respects and all details asked for in the forms
should be filled. If a particular field/detail is not applicable, please mention that the same is not
applicable.
c. All pages of the forms must printed on the company letter head and bear initials of authorized
signatory.
d. In case the space provided in the form is not sufficient, please furnish the details as an annexure, duly
stamped and initialed.
e. The entire document is in proper sequence with proper box filings.
f. Also please note that all the declarations/confirmations shall be as per the checklist only.
g. Kindly note that the application submitted to the Exchange for listing and mere fulfilling the
eligibility criteria does not construe NSE's listing approval. The company shall use NSE’s reference
regarding listing only after the Exchange grants listing approval to the company.
h. The Exchange may reject application for new listing at any stage if the information submitted to the
Exchange is found to be incomplete / incorrect / misleading / false or for any contravention of Rules,
Bye-laws and Regulations of the Exchange, Listing Agreement, Guidelines / Regulations issued by
statutory authorities or for any reason in the interest of Investors and market intergrity.
i. The relevant authority may, in its discretion, approve subject to such terms as it deems proper, or
defer, or reject any application for admission of a security to listing on the Exchange.
j. Once the companies that have approached for listing are denied listing for any reason whatsoever,
they may reapply for listing after minimum period of six months. If rejected a second time, company
would not be eligible to apply again.

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