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Listing Formalities

Listing of closed ended schemes (including ETFs) in BSE Ltd. is simple. Please find below the checklist of detailed formalities:

List of documents / details to be submitted for In-principle approval

A) Certified true copy of the following Agreements / documents:

  • Draft Scheme Information Document (SID). Hard as well as soft copy.
  • Statement of Additional Information (SAI).
  • Investment Management Agreement.
  • Certification of registration of Mutual Fund issued by SEBI.
  • Custodian Agreement.
  • R & T Agreement.
  • Resolution passed by trustee at their meeting approving listing of units of Mutual
  • Fund Scheme on the Bombay Stock Exchange.

B) A processing fees as per issue plus service tax.

The Exchange reserves the right to ask for documents other than those mentioned above.

List of documents / details to be submitted for Listing of units of Mutual Fund Schemes (Post allotment of units)

  • Letter of Application for listing of units of Mutual Fund Scheme.
  • Details of the applicant (In case of first Issue) and Issue Details.
  • Copy of the Due Diligence Certificate submitted to SEBI.
  • Certified True Copy of observations / comments received from SEBI on the Scheme Information Document (SID)
  • Certified true copy of the Final Scheme Information Document (SID) (soft copy also required)
  • Unitholding pattern of Unitholders of the Scheme
  • Confirmation from the CEO / Compliance officer regarding allotment of units and the actual no. of units allotted.
  • Collection Certificate from Bankers
  • Listing Agreement (In case of 1st Listing)
  • Confirmation regarding compliance with SEBI (Mutual Funds) Regulations, 1996 from the AMC
  • Tripartite Agreement (In case of 1st Listing)
  • Confirmation from NSDL and CDSL (ISIN activation)
  • Confirmation received from NSDL / CDSL for credit.
  • Confirmation from Registrar regarding dispatch of Certificates / Account statement.
  • Initial Listing fees and Annual listing fees (enclosed as “Listing Fee Structure”).

The scheme and individual Plan under the scheme shall have a minimum of 20 investors and no single investor shall account for more than 25% of the corpus of the scheme/Plan.

For more details please contact the following officials of the Exchange:

Mr. Nitin Pujari - (Ph.: +91 22 2272 8398, Email Id:
Mr. Prasad Bhide - (Ph.: +91 22 2272 8388, Email Id: