The Custodian Declaration Form is a mandatory regulatory document required by Indian law for entities providing custodial services in the securities market. This document is essential for demonstrating compliance with the SEBI (Custodian of Securities) Regulations, 1996, and other relevant Indian securities laws. The form is typically required during initial registration as a custodian, during periodic renewals, or when there are significant changes in the custodian's operations or services. It contains detailed declarations about the entity's operational capabilities, risk management systems, compliance procedures, and segregation of client assets. The document serves as a formal attestation to regulatory authorities about the custodian's adherence to prescribed standards and requirements under Indian law.
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1. Declarant Details: Full details of the custodian entity making the declaration, including registration numbers and SEBI registration details
2. Regulatory Status: Confirmation of current regulatory status, licenses, and registrations held by the custodian
3. Operational Capabilities: Declaration of infrastructure, systems, and procedures in place for custodial services
4. Compliance Declarations: Specific declarations regarding compliance with SEBI regulations and other applicable laws
5. Risk Management: Declarations regarding risk management systems and procedures in place
6. Segregation of Assets: Confirmation of proper segregation of client assets and maintenance of separate accounts
7. Record Keeping: Declarations regarding maintenance of proper records and reporting systems
8. Authorization: Details of authorized signatories and execution block
1. Foreign Portfolio Services: Additional declarations specific to handling foreign portfolio investments, required if offering services to foreign investors
2. Digital Assets Custody: Specific declarations regarding digital asset custody capabilities, required if handling digital securities or assets
3. Sub-Custodian Arrangements: Declarations regarding any sub-custodian relationships, required if using sub-custodians
4. Insurance Coverage: Details of insurance policies maintained, optional but recommended for enhanced transparency
1. Schedule A - List of Services: Detailed list of custodial services offered and corresponding capabilities
2. Schedule B - Key Personnel: List of key management personnel and their qualifications
3. Schedule C - Compliance Certificate: Recent compliance certificates from auditors or regulatory authorities
4. Appendix 1 - Technical Infrastructure: Details of technical systems and infrastructure in place for custodial services
5. Appendix 2 - Risk Management Framework: Detailed documentation of risk management procedures and systems
Relevant legal definitions
Applicable Laws
Assets Under Custody
Authorized Representative
Board
Client
Client Assets
Custodial Services
Custody
Declarant
Designated Bank Account
Eligible Securities
Financial Year
Foreign Portfolio Investor
Group
Key Managerial Personnel
Material Change
Net Worth
Principal Officer
Regulatory Authority
SEBI
Securities
Securities Account
Segregated Account
Sub-Custodian
System
Technical Infrastructure
Risk Management Framework
Compliance Officer
Digital Assets
Custodial Operations
Associated Entity
Control
Depository
Depository Participant
Electronic Form
Force Majeure Event
Operating Procedures
Registered Office
Related Party
Working Day
Assets Under Custody
Authorized Representative
Board
Client
Client Assets
Custodial Services
Custody
Declarant
Designated Bank Account
Eligible Securities
Financial Year
Foreign Portfolio Investor
Group
Key Managerial Personnel
Material Change
Net Worth
Principal Officer
Regulatory Authority
SEBI
Securities
Securities Account
Segregated Account
Sub-Custodian
System
Technical Infrastructure
Risk Management Framework
Compliance Officer
Digital Assets
Custodial Operations
Associated Entity
Control
Depository
Depository Participant
Electronic Form
Force Majeure Event
Operating Procedures
Registered Office
Related Party
Working Day
Clauses
Regulatory Compliance
Asset Segregation
Record Keeping
Risk Management
Operational Capability
Systems and Infrastructure
Personnel Qualifications
Insurance Coverage
Conflict of Interest
Anti-Money Laundering
Confidentiality
Data Protection
Business Continuity
Sub-Custodian Arrangements
Client Asset Protection
Reporting Requirements
Internal Controls
Fee Structure
Service Standards
Account Management
Audit Rights
Technology Infrastructure
Regulatory Reporting
Corporate Governance
Professional Indemnity
Declaration of Truth
Authorization
Asset Segregation
Record Keeping
Risk Management
Operational Capability
Systems and Infrastructure
Personnel Qualifications
Insurance Coverage
Conflict of Interest
Anti-Money Laundering
Confidentiality
Data Protection
Business Continuity
Sub-Custodian Arrangements
Client Asset Protection
Reporting Requirements
Internal Controls
Fee Structure
Service Standards
Account Management
Audit Rights
Technology Infrastructure
Regulatory Reporting
Corporate Governance
Professional Indemnity
Declaration of Truth
Authorization
Relevant Industries
Financial Services
Banking
Securities Market
Asset Management
Investment Management
Wealth Management
Corporate Services
Trust Services
Global Custody Services
Securities Trading
Relevant Teams
Legal
Compliance
Risk Management
Operations
Custody Services
Regulatory Affairs
Corporate Secretarial
Internal Audit
Finance
Board Secretariat
Relevant Roles
Compliance Officer
Legal Counsel
Company Secretary
Risk Manager
Operations Director
Chief Financial Officer
Head of Custody Services
Regulatory Affairs Manager
Managing Director
Board Director
Chief Operating Officer
Head of Legal
Internal Auditor
Custodial Operations Manager
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