National Stock Exchange of India Limited

Checklist/ List of Documents to be submitted for in-principle approval of public issue of Debentures/ bonds proposed to be listed
on CM Segment (for existing issuers only)
Sr. No. Particulars Submitted: Remarks
Yes/No/NA
1 Certified true copy of the resolution passed by the Board of Directors and shareholders for
authorizing the issue of securities.
2 Certified true copy of the resolution passed by the Board of Directors for listing the securities of
the issuer on National Stock Exchange of India Limited.
3 (i) Certificate from the company confirming that the issue is in compliance with SEBI (Issue and
Listing of Debt securities) Regulations, 2008, provisions of the Companies Act, 2013, rules
prescribed thereunder and other applicable laws and SEBI (Listing Obligation and Disclosure
Requirement) 2015.
(ii) Certificate from the Merchant Banker confirming that the issue is in compliance with SEBI
(Issue and Listing of Debt securities) Regulations, 2008, provisions of the Companies Act, 2013,
rules prescribed thereunder and other applicable laws.
4 Current status of investor grievances (as per SCORES).
5 Certified true copy of Draft Offer document prepared as per the SEBI (Issue and Listing of Debt
securities) Regulations, 2008 and also soft copy.
6 Letter(s) issued by credit rating agency(ies).
7 Debenture Trust Deed/Consent letter of the Debenture Trustee. If Debenture Trust Deed is not
executed, undertaking from the Company Secretary or authorized signatory confirming that they
will execute the Trust Deed within three months of the closure of the issue and submit the
certified true copy to the Exchange.
8 Certificate from the Issuer confirming that the issuer company or any of its promoters or
directors has not been declared as willful defaulter by bank.
9 Confirmation from the Issuer confirming that the issuer company or any of its promoters or
directors have not been directly or indirectly, debarred from accessing the capital market or have
been restrained by any regulatory authority from, directly or indirectly, acquiring the securities.
10 Confirmation from the Issuer confirming that the issuer company or any of its promoters or
directors do not have direct or indirect relation with the companies, its promoters and whole time
director, which are compulsorily delisted by any recognized stock exchange.
11 Processing fees

Date
Place
Authorised Signatory and Stamp of the company
Name
Designation

Note:
A. All pages of the documents/details provided must bear rubber stamp of company and initials of Company Secretary/
Compliance officer.
B. The Exchange reserves the right to ask for documents other than those mentioned above.
C. If documents required as per the checklist is not applicable, kindly provide remarks.