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Checklist for PMEX Corporate Broker Registration

Please ensure the following are attached with the completed Broker Registration form:

Yes/No/N
No. Documents Enclosed
A
Broker Registration form duly filled and signed by the Chief Executive / Nominee Director
1.
of the Company Annexure – A
2. Copy of PMEX membership certificate of the Company;
3. List of directors on the Company’s letterhead;
4. Attested copies of CNIC / Passport of all directors of the Company;
List of branches with complete address, telephone, fax numbers and name of contact
5.
person;
Recommendation letter of the Stock Exchange(s), if the Company is also a member thereof
6.
Annexure – B
7. Board Resolution, if Nominee Director is other than the Chief Executive of the company;
Attested copy of certificate of academic qualification (Minimum qualification of graduation
8.
is required) of the Chief Executive / Nominee Director of the Company;
Experience Certificate of the Chief Executive / Nominee Director of the Company
9.
(minimum experience of 5 years is required either in securities business or commodities);
Attested copy of memorandum and articles of association of the Company along with
10. Certificate of Incorporation and Certificate of Commencement of business (where
applicable);
Latest Statement of Net Capital Balance of the company as of date not earlier then 90 days,
11. along with report thereon by a Chartered Accountants Firm listed on the State Bank of
Pakistan’s panel of auditors – category A, B or C; Annexure – C
Undertaking in prescribed format at Company’s letterhead signed by the Chief Executive /
Nominee Director of the Company concerning maintenance of a segregated minimum net
12.
capital balance of Rs. 2.5 million to be maintained at all times by the member exclusively for
PMEX Annexure – D
Statement of Net Worth of the Company, along with report thereon by a Chartered
13. Accountants Firm listed on the State Bank of Pakistan’s panel of auditors – category A, B or
C; Annexure – E
14. Latest annual audited financial statements of the Company;
Affidavit in prescribed format to be filed by the Chief Executive / Nominee Director of the
Company in compliance with Rule 11 (1) of Commodity Exchange and Futures Contracts
15.
Rules, 2005 on a non-judicial stamp paper of Rs. 50 issued in the name of the Company
Annexure – F
16. Original paid bank challan of Rs. 50,000 against SECP broker registration fee;
17. Attested copies of latest Form ‘A’ and Form 29 of the Company filed with SECP;
List of companies in which directors of the member Company are also directors (Other
18.
directorships information)