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-2023 Un-Claimed Suspense Account

Unclaimed SecuritiesAll unclaimed securities pertaining to public issues and ‘other issues’ (like bonus, split, consolidation etc.) of listed companies are kept in Suspense Account. In other issues, securities are allotted in physical or in demat mode as per the existing shareholding. In addition, the security certificates which are returned undelivered to the issuer company /RTA shall also be transferred to Un-claimed Suspense Account by following the procedure laid down in Regulation 39(4) of SEBI (LODR) Regulations, 2015. If these securities are unclaimed: a) unclaimed physical securities are dematerialized and kept in the Unclaimed Suspense Accountb) unclaimed demat securities are kept in the Demat Suspense Account  All corporate benefits accruing on unclaimed securities are also credited to these aforesaid suspense accounts and their voting rights remain frozen. Investors can claim securities from these accounts by filing Form ISR-4 along with an application to the listed company/ RTA. SEBI vide circular dated January 25, 2022, has mandated that securities that have been transferred to an unclaimed suspense account shall be claimed only in demat mode Securities lying in the Demat Suspense Account can be claimed only in demat mode and the investor has to provide a demat account for the same.  Request for Unclaimed amounts will be considered, provided the amount is found to be outstanding and not transferred to the General Revenue Account of the Central Government or the Investor Education and Protection Fund (Refer XII for details). The said request letter shall be considered for remittance of the un-claimed shares if the documents submitted are clear in all respects.

-2023 What documents are required to be submitted for claiming securities from Suspense Escrow Demat Account?

Securities which have been moved to Suspense Escrow Demat Account may be claimed by the securities holder / claimant on submission of below mentioned documents to RTA : a) Request letterb) Original Letter of Confirmationc) Duly filled in and signed Form ISR-4d) DP Certified Client Master List, the details mentioned in the CML should match with the details recorded with the RTA 

-2023 What happens in case the Securities holder / Claimant fails to submit the demat request within 120 days from the date of issuance of Letter of Confirmation

In case the securitiesholder/claimant fails to submit the demat request within 120 days from the date of issuance of letter of confirmation (LOC), RTA shall credit the securities to the Suspense Escrow Demat Account of the company.

-2023 What is Suspense Escrow Demat Account (SEDA)?

Please note, SEBI vide their Circulars have mandated:Furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement), and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. Click on the link to download a copy of the SEBI Circular dated 16th March 2023. For Physical Folios who are Not KYC compliant, please comply with:The relevant Forms for registering /changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein. Kindly also ensure that your Aadhaar is seeded with PAN, for the folio to be KYC Compliant. Completing to a full KYC is easy. Simply drop into our office location on any Business Day for (IPV):In-Person Verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.Focus AddressIn case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal. Please click the link -> KYC ComplianceSEBI vide it circular bearing ref no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022, has decided that listed companies shall henceforth issue the securities in dematerialized form only (ie by way of Letter of Confirmation, "LOC").The following are the various investor service requests processed by the RTA through LOC: a) Issue of Duplicate Securities certificate.b) Claim from unclaimed suspense account.c) Claim from suspense escrow demat account.d) Renewal / Replacement /Exchange of securities certificate.e) Endorsement.f) Splitting / Sub-Division of Securities Certificate.g) Consolidation of Securities certificates.h) Transmission.i) Transposition.j) Release of unclaimed/outstanding corporate benefits.__Read__more__The securities holder/claimant shall submit duly filled-up Form ISR-4 along with the documents/details specified therein. For items nos. (c to i) above, the RTA / Issuer Companies shall obtain the original securities certificate(s) for processing service requests.The RTA / Issuer Companies shall verify and process the service requests and thereafter issue a ‘Letter of confirmation’ in lieu of physical securities certificate(s), to the securities holder/claimant within 30 days of its receipt of such request after removing objections, if any.__Read__more__a. The ‘Letter of Confirmation’ shall be valid for a period of 120 days from the date of its issuance, within which the securities holder/claimant shall make a request to the Depository Participant for dematerializing the said securities.b. The RTA / Issuer Companies shall issue a reminder after the end of 45 days and 90 days from the date of issuance of Letter of Confirmation, informing the securities holder/claimant to submit the demat request as above, in case no such request has been received by the RTA / Issuer Company.c. In case the securities holder/claimant fails to submit the demat request within the aforesaid period, RTA / Issuer Companies shall credit the securities to the Suspense Escrow Demat Account of the Company (SEDA). __Read__more__Investor shall make the request within 120 days from the date of the letter of confirmation to Depository Participant (DP) for dematerializing the said securities along with the original letter of confirmation or a copy of the email with e –sign and/or digital signature, as the case may be. The DP on receipt of the foregoing documents shall generate demat request on the basis of the letter of confirmation and forward the same to the issuer company / RTA for processing the demat request.

Any service request

Please note, SEBI vide their Circulars have mandated the furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement) and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. For Physical Folios who are not KYC compliant, please submit the following:For Non-compliant KYC folios, the relevant Forms for registering/changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website under Downloads -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein.__Read__more__Completing to a full KYC is easy:Simply drop into our office location on any Business Day for (IPV):In-Person Verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.In case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal under Investor Services -> KYC ComplianceKindly fill and submit Form ISR-1, and Form ISR-4 duly signed by the holder(s) as per the specimen signature recorded with the Company along with supporting documents as mentioned below:Self-attested copy of any 1 of the following documents issued by a Government authority:a. Client Master List (CML) of your demat account, provided by the Depository Participantb. Valid Passport / Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance Bill*c. Utility bills like telephone bills (only landline), electricity bills or gas bills (not more than 3 months old)d. Identity Card with photo/document with address, issued by Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutionse. For FII/subaccount, Power of Attorney given by FII/subaccount to the Custodians (which are duly notarized and/or apostilled or consularised) that gives the registered address.f. Proof of address in the name of the spouse*g. Unique Identification Number (UID) (Aadhaar) * Kindly provide an additional self-attested copy with the date as Identity Proof of the holder/claimant.Important points to be noted:The identity and address proof should be legible and in the name of the first registered account holder.Investors are informed that after verification of the documents submitted and in case of any differences observed, additional procedures/documents may be further called as part of KYC.Note: If your Folio is not KYC Compliant we shall not be able to process any service request.

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How do I obtain a duplicate Tax Deduction Certificate (TDC)?

Please write, giving: Details of the TDC that you require, the name of the Company in which you hold the securities, your full name, address, and your folio number/DP_CL, which will be available from the share/debenture certificate(s) or Client Master List (CML), dividend/interest warrant(s) payment date(s) and financial year for any queries not covered herein.Focus AddressEmail-R-T

How to register for SWAYAM?

1. Visit us at https://swayam.linkintime.co.in/# .2. Click on the "Sign-Up" button and follow the step-by-step instructions.3. Ensure you have access to your email and mobile for OTP verification.4. Optionally, you may upload a copy of your PAN image at the time of registration.5. Upon successful registration, you will receive a confirmation email of account activation.5. Access the ‘SWAYAM’ portal using your credentials and start benefiting from the hosts of services.

How to Un-Block or allow pop-ups ?

By default, Google Chrome blocks pop-ups from automatically showing up on your screen. When a pop-up is blocked, the address bar will be marked Pop-up blocked . You can also decide to allow pop-ups.If you still get pop-ups after disabling them:You may have previously subscribed to receive notifications from a site. You can block notifications if you don’t want any communications from a site to show up on your screen. Learn how to manage your notifications.Your computer or phone may be infected by malware. Learn how to get rid of malware.Change your default pop-ups & redirects settingsOn your computer, open Chrome.At the top right, click More   Settings.Click Privacy and security  Site Settings  Pop-ups and redirects.Choose the option that you want as your default setting.Manage pop-ups & redirects for a specific siteNot all pop-ups are ads or spam. Some legitimate websites display web content in pop-up windows.Allow pop-ups and redirects from a siteBlock pop-ups and redirects from a site

I am not a taxpayer, am I required to file a declaration for non-deduction of tax at source for my dividend / interest amount?

As per the Finance Act 2020 and applicable Section 194 of the Income-Tax Act, 1961 and amendments thereto tax will be deducted at source, with effect from 1st April, 2020, as follows-FOR RESIDENT INDIVIDUALS: at the rate of 10%, if the amount due exceeds Rs.5000.00 (the threshold limit).In case a resident individual is not a tax-payer/not liable for deduction of tax at source, a declaration in Form 15G for claiming tax exemption from dividend or interest paid on debentures is required to be submitted to TCPL. For a resident individual who is of the age of 60 years or more, this declaration is to be made in Form 15H.FOR NON-RESIDENTS: (including Companies other than domestic Companies) at the rate of 20%. To avail TDS benefit under Double Taxation Avoidance Agreement, Non Resident investors to submit,- Tax Residency Certificate (TRC) issued by the Tax / Government authority of the country in which the Non-Resident is a resident of.- Form 10F containing therein information to be provided under sub-section (5) of section 90 or sub-section (5) of section 90A of the Income-tax Act, 1961, if not so covered in TRC.Important points to be noted:Form 15G/15H, as applicable, must be submitted either in hard copy or scanned copy of the same should be forwarded to the designated email ids as conveyed by the respective Companies in the tax communications sent to the shareholders. .Self-attested copy of valid PAN Card of the declarant must be sent along with the tax exemption form in Form 15G/15H as applicable. Declaration shall be invalid if PAN is not recorded for the folio/demat account.In case PAN is not available, tax deducted at source will be at higher rate.Name of the Company and Folio No. / DP id Client id must be provided in the Form15G/15H.The duly completed forms may please be sent by the 1st of April every year to avoid missing out on book closure/record dates.Forms15H/15G are valid for only one financial year and fresh declaration has to be submitted every year.

If the holding is in joint names and either of the holders is deceased, what is the procedure for Name deletion?

For securities held in physical form, please submit the following:-1. Name Deletion form duly completed and signed by the surviving holder(s) as per the specimen signature(s) recorded with the Company.2. Original death certificate or copy of death certificate:, attested by the survivor subject to verification with the original (only in case of in-person verification) or copy of death certificate, duly attested by a Notary Public or by a Gazetted Officer. Attestation by Notary Public / Gazetted Officer should mention their name, full address, registration number and affix their seal, Notarial Fee stamps, as applicable.3. Self-attested copy of the PAN Card of the surviving holder(s), issued by the Income Tax Department.4. Original security certificate(s).5. Duly completed Form ISR-1, Form SH-13 / Form ISR-3 , and Form ISR-4For securities held in electronic form, please contact your Depository Participant.Note:Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

I have an old warrant which I forgot to encash and is now time-barred? Can I still obtain the amount due to me?

Yes, you can. Provided the amount is found to be outstanding and not transferred to the General Revenue Account of the Central Government or the Investor Education and Protection Fund (Refer XII for details)and the account is KYC compliant.In case your account is KYC compliant, you may send the outdated instrument to us, to facilitate remittance of the payment.

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Is Transfer of Securities allowed?

Please note that as per SEBI circular dated 27th March 2019, w.e.f. April 01, 2019 fresh requests for effecting transfer of securities shall not be processed unless the securities are held in dematerialized form with a depository.You are, therefore, requested to coordinate with the transferor(s) to convert the physical shares into demat mode and subsequently arrange to transfer the shares into your Demat account.For unlisted private limited companies, the transfer can be effected for which you need to :1. Submit duly executed Form SH-4.2. Submit original certificates for the securities3. Attach a self-attested copy of the PAN Card of the transferor(s) as well as of the transferee(s)4. Frank/affix stamp duty on the Form SH-4 @ 0.25% of the market value or the consideration amount (whichever is higher). Calculation of market value of the securities must be as on the execution date mentioned on Form SH-45. In the case of debentures/bonds, where the market value is not available, stamp duty is to be calculated on the face value of the securities being transferred.

Non Receipt of Fractional Entitlement / Proceeds from sale of Fractional securities submitted during offer

A request letter for non-receipt of Fractional Entitlement or non-receipt of amount from fractional securities tendered to the company provided the fractional entitlement amount is found to be outstanding and not transferred to the General Revenue Account of the Central Government or the Investor Education and Protection Fund (Refer XII for details) and the account is KYC compliant, then the said request letter shall be considered for remittance of the unpaid amount to your bank account.The duly signed letter by all the holders should mention the Issuer's Company Name, Application Number, or Folio/DPCL, Fractional entitlement & PAN.A self-certified copy of PAN and canceled cheque leaf bearing the first name of the investor is desired.

On Tax Deduction

I am not a taxpayer, am I required to file a declaration for non-deduction of tax at source for my dividend / interest amount?As per the Finance Act 2020 and applicable Section 194 of the Income-Tax Act, 1961 and amendments thereto tax will be deducted at source, with effect from 1st April, 2020, as follows-FOR RESIDENT INDIVIDUALS: at the rate of 10%, if the amount due exceeds Rs.5000.00 (the threshold limit).In case a resident individual is not a tax-payer/not liable for deduction of tax at source, a declaration in Form 15G for claiming tax exemption from dividend or interest paid on debentures is required to be submitted to TCPL. For a resident individual who is of the age of 60 years or more, this declaration is to be made in Form 15H.FOR NON-RESIDENTS (including Companies other than domestic Companies):at the rate of 20%. To avail TDS benefit under Double Taxation Avoidance Agreement, Non Resident investors to submit, Tax Residency Certificate (TRC) issued by the Tax / Government authority of the country in which the Non-Resident is a resident of.Form 10F containing therein information to be provided under sub-section (5) of section 90 or sub-section (5) of section 90A of the Income-tax Act, 1961, if not so covered in TRC.Important points to be noted:Form 15G/15H, as applicable, must be submitted either in hard copy or scanned copy of the same should be forwarded to the designated email ids as conveyed by the respective Companies in the tax communications sent to the shareholders. .Self-attested copy of valid PAN Card of the declarant must be sent along with the tax exemption form in Form 15G/15H as applicable. Declaration shall be invalid if PAN is not recorded for the folio/demat account.In case PAN is not available, tax deducted at source will be at higher rate.Name of the Company and Folio No. / DP id Client id must be provided in the Form15G/15H.The duly completed forms may please be sent by the 1st of April every year to avoid missing out on book closure/record dates.Forms15H/15G are valid for only one financial year and fresh declaration has to be submitted every year.Forms 15H/15G are applicable for securities held in demat mode & Physical mode.

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Transfer of Securities

Can I transfer physical securities to my name?Please note that as per SEBI circular dated 27th March 2019, w.e.f. April 01, 2019 fresh requests for effecting transfer of securities shall not be processed unless the securities are held in dematerialized form with a depository.You are, therefore, requested to coordinate with the transferor(s) to convert the physical shares into dematmode and subsequently arrange to transfer the shares into your demat account.In the case of securities of unlisted private limited companies, transfer can be effected for which you need to :1. Submit duly executed Form SH-4.2. Submit original certificates for the securities3. Attach self-attested copy of the PAN Card of the transferor(s) as well as of the transferee(s)4. Frank / affix stamp duty on the Form SH-4 @ 0.25% of the market value or the consideration amount (whichever is higher). Calculation of market value of the securities must be as on the execution date mentioned on Form SH- 4In the case of debentures/bonds, where the market value is not available, stamp duty is to be calculated on the face value of the securities being transferred.For securities held in electronic form, please contact your depository participant.

What are some of the functions of SEBI?

SEBI has the following functions;1. Protective Function2. Regulatory Function3. Development FunctionThe following functions will be discussed in detailProtective Function: The protective function implies the role that SEBI plays in protecting the investor interest and also that of other financial participants. The protective function includes the following activities.a. Prohibits insider trading: Insider trading is the act of buying or selling securities by the insiders of a company, which includes the directors, employees, and promoters. To prevent such trading SEBI has barred the companies to purchase their own shares from the secondary market.b. Check price rigging: Price rigging is the act of causing unnatural fluctuations in the price of securities by either increasing or decreasing the market price of the stocks which leads to unexpected losses for the investors. SEBI maintains strict watch in order to prevent such malpractices.c. Promoting fair practices: SEBI promotes fair trade practices and works towards prohibiting fraudulent activities related to the trading of securities.d. Financial education provider: SEBI educates the investors by conducting online and offline sessions that provide information related to market insights and also on money management.Regulatory Function:Regulatory functions involve the establishment of rules and regulations for the financial intermediaries along with corporates that helps in the efficient management of the market.The following are some of the regulatory functions.a. SEBI has defined the rules and regulations and formed guidelines and codes of conduct that should be followed by the corporates as well as the financial intermediaries.b. Regulating the process of taking over a company.c. Conduct inquiries and audits of stock exchanges.d. Regulates the working of stock brokers, and merchant brokers.Developmental Function:Developmental function refers to the steps taken by SEBI in order to provide investors with knowledge of the trading and market function. The following activities are included as part of the developmental function.1. Training of intermediaries who are a part of the security market.2. Introduction of trading through electronic means or through the Internet with the help of registered stock brokers.3. By making the underwriting an optional system in order to reduce the cost of the issue.

What are the contact nos of Swayam?

Contact no is 022-49186174 during business hours or email us at swayam@linkintime.co.inDrop in your feedback at feedback-swayam@linkintime.co.in

What are the Objectives of SEBI?

Following are some of the objectives of the SEBI1. Investor Protection: This is one of the most important objectives of setting up SEBI. It involves protecting the interests of investors by providing guidance and ensuring that the investment is safe.2. Preventing the fraudulent practices and malpractices which are related to trading and regulation of the activities of the stock exchange3. To develop a code of conduct for financial intermediaries such as underwriters, brokers, etc.4. To maintain a balance between statutory regulations and self-regulation

What are the office timings?

For Investor Servicing: Monday - Friday 10:00 AM – 4:00 PM, excluding Bank Holidays.

What is a Sub-Division?

When the face value of the share of a Company is split into smaller denominations, the share is said to be subdivided viz. a share of Rs.100/- each may be subdivided into 10 shares of Rs.10/- each.

What is Common and Simplified Norms for processing investors service request by RTAs?

As an ongoing measure to enhance the ease of doing business for investors in the securities market, the following norms will be applicable. RTAs to provide an electronic interface for processing investor's queries, complaints, and service requests. Investors holding physical securities are mandatorily required to furnish PAN, Nomination, Postal Address with PIN, Mobile Number, and Bank Account Details. Linking of PAN and Aadhaar by all holders of physical securities is mandatory. In the absence of any one of the above in a physical folio, the same will be frozen.

What is Investor Charter?

In order to facilitate investor awareness about various activities which an investor deals with while availing the services provided by Registrar & Share Transfer Agent, SEBI has developed an Investor Charter for RTA's. This Charter is a brief document containing details of service provided to investors, their rights, dos and don'ts, responsibilities, investor grievance handling mechanism and timelines thereof, etc., at one single place, in a lucid language, for ease of reference

What is R & T

R&T means Registrar and Share Transfer Agents.

What is SEBI?

SEBI stands for Securities and Exchange Board of India. It is a statutory regulatory body that was established by the Government of India in 1992 for protecting the interests of investors investing in securities along with regulating the securities market. SEBI also regulates how the stock Registrar & Share Transfer Agents and other intermediaries function. It also supervises the function of stock market and mutual funds.

What is SWAYAM?

‘SWAYAM’, is a Self-Service Portal for Investors, developed by Link Intime India Pvt Ltd, offering a wide range of services and features at your fingertips.Click on https://swayam.linkintime.co.in

What is the purpose of SEBI?

The purpose for which SEBI was set up was to provide an environment that paves the way for mobilization and allocation of resources. It provides practices, frameworks, and infrastructure to meet the growing demand.It meets the needs of the following groups:1. Issuer: For issuers, SEBI provides a marketplace that can be utilised for raising funds.2. Investors: It provides protection and supply of accurate information that is maintained on a regular basis.3. Intermediaries: It provides a competitive market for intermediaries by arranging for proper infrastructure.

What is the structure of SEBI?

SEBI board comprises nine members. The Board consists of the following members.One Chairman of the board who is appointed by the Central Government.One Board member who is appointed by the Central Bank, that is, the RBI.Two Board members who are hailing from the Union Ministry of Finance.Five Board members who are elected by the Central Government.

What service Swayam offers?

 Here are a few key features and benefits of using the ‘SWAYAM’ Investor Self-Service Portal: Account Statements: Generate Consolidated Account Statements for securities held against your PAN.Transaction History: Get Details of Payment status such as Dividend/Interest/Redemption Amounts.Securities Overview:a. Track your securities at the PAN level.b. View your entire portfolio serviced by Link Intime & its subsidiaries (through a single login).c. Obtain Company-wise summary of securities held.d. Fetch Valuation of Securities as per the closing rates at BSE/NSE of the previous trading day.e. View/Download/Print details of securities held in multiple accounts.4. Generate & Track service requests through this portal.

Who is IDIA?

IDIA is a chatbot that helps users find the nearest answers to their queries.

Why are Lines Busy?

There is unusual heavy call traffic. All our customer care executives are busy attending to calls. Your call is important to us and we appreciate your patience and understanding. Kindly do not disconnect the line.

Why should I keep securities in joint names?

 It is advisable to register securities in joint names in order to facilitate Succession. 

Loss of Securities Certificate, and Procedures to claim the same.

Immediately intimate the Company about the loss of securities certificate by means of a signed letter as per the specimen signatures. For folio(s) which are not KYC compliant, registered holder(s) should ensure to do the KYC Compliance first, by filling up Form ISR-1, ISR-2, Form SH-13/ ISR-3 as per SEBI Circular dated 16th March 2023.1. [ Form ISR-4 ] duly filled in all respect:. as per SEBI Circular dated 25th JanuarythJanuary, 2022. SEBI has mandated the listed companies to issue securities in Demat mode only, pursuant to the investor service request. 2.Affidavit (Form-A): A Notarized Affidavit from the registered holder(s) of securities: made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim to the securities.  3. Indemnity Bond (Form-B): A Notarized Indemnity Bond from the registered holder(s):of securities to be made non-judicial stamp paper of appropriate value in prescribed format indemnifying the Share Transfer Agent / Listed entity.(a)   Self-attested identification and address proof of Witnesses to Indemnity, as in (a) and (b) below: a) PAN Card as proof of identity. b) Aadhaar card, Valid Passport, Utility bills like Telephone Bill, Electricity bills & Gas Bill (not more than three months old). Any one document, as proof of address is to be submitted. 4. Client Master List (CML): of the Demat Account of the holder(s) / Registered Holder(s) /claimant(s), (if the holder(s) /claimant(s) have a demat account, provided by the Depository Participant,) in the order of names as per Form-ISR4. If the value of securities as on date of submission of application exceeds Five lakhs#, we request you to additionally comply with items (5 to 7) as stated under:#. The value shall be ascertained on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission in the application.5. Original newspaper clippings, where the loss of securities has been published in a widely circulated newspaper as per draft of advertisement format 6. F.I.R / e-F.I.R /Acknowledged Police Complaint/ Court injunction order/copy of plaint:(where the suit filed has been accepted by the Court and Suit No. has been given), reporting the loss of securities, containing details of the securities, folio number, distinctive number range, and certificate numbers. 7. For overseas securities holders instead of submitting F.I.R / e-F.I.R /Acknowledged Police Complaint:,shall be permitted to provide self-declaration of the security Certificates lost/ misplaced/stolen, duly notarised / Apostilled / attested by the Indian Consulate /Embassy in their country of residence, along with self-attested copies of Valid passport and overseas address proof. Notes: Affidavit/Indemnity Bond to be purchased in the name of holder(s)/applicant(s) and to be notarized and executed and signed before the Notary Public/ Gazetted Officer. The date of execution and attestation should be the same.The witness should be other than a family member. The signature(s) of the holder(s) / witnesses on the indemnity must be affirmed before the Notary Public/Magistrate.The name and full address of the attesting authority for the Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, notarial /court fee stamps and mention the registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization of Affidavit and IndemnityPost-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

+2023 Duplicate Issue

Where the market value of lost securities is below Rs.5 lakhs as of the date of submission of complete documentation (The applicant shall quantify the value of the securities on the basis of the closing price of such securities at any one of the recognized stock exchanges a day prior to the date of such submission in the application) List of documents required to be submitted:i)     Form ISR-4.ii)    Affidavit (Form A)iii)   Indemnity (Form B)iv)   Additional documents for Non-KYC Compliant Folios:a.    Form ISR-1b.    Form ISR-2c.    Form SH-13 or ISR-3 Where the market value of lost shares is above Rs.5 lakhs as of the date of submission of complete documentation.List of documents required to be submitted:i)     Form ISR-4.ii)    Copy of FIR including e-FIR/ Police Complaint/court injunction (An overseas securities holder in lieu of these shall be permitted to provide self-declaration of the security certificates lost/misplaced/stolen duly notarized / apostilled / attested by the Indian Consulate / Embassy in their country of residence along with self-attested copies of valid passport and overseas address proof.iii)   Advertisement in a widely circulated newspaper. iv)   Affidavit (Form A)v)    Indemnity (Form B)vi)   Additional documents for Non-KYC Compliant Folios:a.    Form ISR-1b.    Form ISR-2c.    Form SH-13 or ISR-3 As part of enhanced due diligence, RTA / Issuer Company shall seek additional documents from the security holder(s) for processing any service request/complaint.

-2023 Loss of Securities Certificate, and Procedures for duplicate.

Immediately intimate the RTA/Company about the loss of the securities certificate by means of a signed letter, quoting the Name of the Company, Folio Number, and Shares/Debentures lost as per the specimen signatures recorded with the Company/RTA.Please also note, SEBI vide their Circulars have mandated:Furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement), and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. Click on the link to download a copy of the SEBI Circular dated 16th March 2023. For Physical Folios who are Not KYC compliant, please comply with:The relevant Forms for registering /changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein. Kindly also ensure that your Aadhaar is seeded with PAN, for the folio to be KYC Compliant. Completing to a full KYC is easy. Simply drop into our office location on any Business Day for (IPV):In-Person Verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.Focus AddressIn case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal. Please click the link -> KYC ComplianceFor KYC-compliant Folios kindly comply with the forms as stated herein:The request letter duly signed as per the specimen signature registered with the company/RTA, containing basic essentials of the shareholder such as Company Name, Folio Num, Name(s) of the Shareholder, Number of securities, and details of the lost certificates and shall complete the following processes:__Read__more__1. [ Form ISR-4 ] duly filled in all respect:As per SEBI Circular dated 25th January 2022. SEBI has mandated the listed companies to issue securities in Demat mode only, pursuant to the investor service request. 2. Affidavit (Form-A): A Notarized Affidavit from the registered holder(s) of securities: made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim to the securities.  3. Indemnity Bond (Form-B): A Notarized Indemnity Bond from the registered holder(s):of securities to be made non-judicial stamp paper of appropriate value in prescribed format indemnifying the Share Transfer Agent / Listed entity.(a)   Self-attested identification and address proof of Witnesses to Indemnity, as in (a) and (b) below: a) PAN Card as proof of identity. b) Aadhaar card, Valid Passport, Utility bills like Telephone Bills, Electricity bills & Gas Bills (not more than three months old). Any one document, as proof of address is to be submitted. 4. Client Master List (CML): of the Demat Account of the holder(s) / Registered Holder(s) /claimant(s), (if the holder(s) /claimant(s) have a demat account, provided by the Depository Participant,) in the order of names as per Form-ISR4. If the value of securities as on the date of submission of the application exceeds Five lakhs#, we request you to additionally comply with items (5 to 7) as stated under#. The value shall be ascertained on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission of the application.5. Original newspaper clippings, where the loss of securities has been published in a widely circulated newspaper as per draft of advertisement format 6. F.I.R / e-F.I.R /Acknowledged Police Complaint/ Court injunction order/copy of plaint:(where the suit filed has been accepted by the Court and Suit No. has been given), reporting the loss of securities, containing details of the securities, folio number, distinctive number range, and certificate numbers. 7. For overseas securities holders instead of submitting F.I.R / e-F.I.R /Acknowledged Police Complaint:,shall be permitted to provide self-declaration of the security Certificates lost/ misplaced/stolen, duly notarised / Apostilled / attested by the Indian Consulate /Embassy in their country of residence, along with self-attested copies of Valid passport and overseas address proof. The securities holder(s) shall submit a self-certified copy of the PAN holder(s)Notes: Affidavit/Indemnity Bond to be purchased in the name of the holder(s)/applicant(s) and to be notarized and executed and signed before the Notary Public/ Gazetted Officer. The date of execution and attestation should be the same.The witness should be other than a family member. The signature(s) of the holder(s) / witnesses on the indemnity must be affirmed before the Notary Public/Magistrate. Self-attested copy of PAN of the witness should be attached with the request. The name and full address of the attesting authority for the Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, and notarial /court fee stamps and mention the registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization of the Affidavit and IndemnityPost-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Service Request - Form ISR 4

Service of Investor Request for Loss of Securities as per [ Form ISR-4 ] duly filled in all respect as per SEBI Circular dated 25th January, 2022. SEBI has mandated the listed companies to issue securities in Demat mode only, pursuant to the investor service request.

Loss of Securities for value more than 5 Lakhs.

Immediately intimate the Company about the loss of the securities certificate by means of a signed letter as per the specimen signatures. For folio(s) which are not KYC compliant, registered holder(s) should ensure to do the KYC Compliance first, by filling up Form ISR-1, ISR-2, Form SH-13/ ISR-3 as per SEBI Circular dated 16th March 2023.1. [ Form ISR-4 ] duly filled in all respect:. as per SEBI Circular dated 25th January, 2022. SEBI has mandated the listed companies to issue securities in Demat mode only, pursuant to the investor service request. 2.Affidavit (Form-A): A Notarized Affidavit from the registered holder(s) of securities: made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim to the securities.  3. Indemnity Bond (Form-B): A Notarized Indemnity Bond from the registered holder(s):of securities to be made non-judicial stamp paper of appropriate value in prescribed format indemnifying the Share Transfer Agent / Listed entity.(a)   Self-attested identification and address proof of Witnesses to Indemnity, as in (a) and (b) below: a) PAN Card as proof of identity. b) Aadhaar card, Valid Passport, Utility bills like Telephone Bill, Electricity bills & Gas Bill (not more than three months old). Any one document, as proof of address is to be submitted. 4.  Client Master List (CML): of the Demat Account of the holder(s) / Registered Holder(s) /claimant(s), (if the holder(s) /claimant(s) have a demat account, provided by the Depository Participant,) in the order of names as per Form-ISR4. If the value of securities as of the date of submission of the application exceeds Five lakhs#, we request you to additionally comply with items (5 to 7) as stated under#. The value shall be ascertained on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission of the application.5. Original newspaper clippings, where the loss of securities has been published in a widely circulated newspaper as per draft of advertisement format 6. F.I.R / e-F.I.R /Acknowledged Police Complaint/ Court injunction order/copy of plaint:(where the suit filed has been accepted by the Court and Suit No. has been given), reporting the loss of securities, containing details of the securities, folio number, distinctive number range, and certificate numbers. 7. For overseas securities holders instead of submitting F.I.R / e-F.I.R /Acknowledged Police Complaint:,shall be permitted to provide self-declaration of the security Certificates lost/ misplaced/stolen, duly notarised / Apostilled / attested by the Indian Consulate /Embassy in their country of residence, along with self-attested copies of Valid passport and overseas address proof. Notes: Affidavit/Indemnity Bond to be purchased in the name of holder(s)/applicant(s) and to be notarized and executed and signed before the Notary Public/ Gazetted Officer. The date of execution and attestation should be the same.The witness should be other than a family member. The signature(s) of the holder(s) / witnesses on the indemnity must be affirmed before the Notary Public/Magistrate.The name and full address of the attesting authority for the Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, notarial /court fee stamps and mention the registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization of the Affidavit and Indemnity.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Loss of Securities for value not exceeding 5 Lakhs.

Immediately intimate the Company about the loss of the securities certificate by means of a signed letter as per the specimen signatures. For folio(s) which are not KYC compliant, registered holder(s) should ensure to do the KYC Compliance first, by filling up Form ISR-1, ISR-2, Form SH-13/ ISR-3 as per SEBI Circular dated 16th March 2023.1. [ Form ISR-4 SEBI ] duly filled in all respect:As per SEBI Circular dated 25th Januaryth, 2022. SEBI has mandated the listed companies to issue securities in Demat mode only, pursuant to the investor service request. 2.Affidavit (Form-A): A Notarized Affidavit from the registered holder(s) of securities: made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim to the securities.  3. Indemnity Bond (Form-B): A Notarized Indemnity Bond from the registered holder(s):of securities to be made non-judicial stamp paper of appropriate value in prescribed format indemnifying the Share Transfer Agent / Listed entity.(a)   Self-attested identification and address proof of Witnesses to Indemnity, as in (a) and (b) below: a) PAN Card as proof of identity. b) Aadhaar card, Valid Passport, Utility bills like Telephone Bill, Electricity bills & Gas Bill (not more than three months old). Any one document, as proof of address is to be submitted. 4.  Client Master List (CML): of the Demat Account of the holder(s) / Registered Holder(s) /claimant(s), (if the holder(s) /claimant(s) have a demat account, provided by the Depository Participant,) in the order of names as per Form-ISR4. If the value of securities as on the date of submission of application is less than Five lakhs#, then the investor is not required to comply with News Paper Advertisement, FIR, or Police Complaint.#. The value shall be ascertained on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission in the application.Notes: Affidavit/Indemnity Bond to be purchased in the name of holder(s)/applicant(s) and to be notarized and executed and signed before the Notary Public/ Gazetted Officer. The date of execution and attestation should be the same.The witness should be other than a family member. The signature(s) of the holder(s) / witnesses on the indemnity must be affirmed before the Notary Public/Magistrate.The name and full address of the attesting authority for the Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, notarial /court fee stamps and mention the registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization of Affidavit and Indemnity.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

What is an Affidavit on account of loss of certificate?

An affidavit of loss is a document declaring the loss of security usually through theft or destruction. The affidavit contains all the details regarding the loss, such as the owner's name and any information pertaining to the security. That information may include a serial number or the security as on date of issue. After the statement has been made, a letter of indemnity can be issued requesting the replacement of the security.

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What is Indemnity in terms of loss of securities?

The concept of indemnity has to do with holding someone harmless, and a letter of indemnity outlines the specific measures that will be used to hold a party harmless.A letter of indemnity (LOI) is a contractual document that guarantees certain provisions will be met between two parties. Such letters are traditionally drafted by third-party institutions like banks or insurance companies, which agree to pay financial restitution to one of the parties, should the other party fail to live up to its obligations.In other words, the chief function of an LOI is to ensure that Party A won't ultimately suffer any losses if Party B falls delinquent.

-What is Securities Certificates?

A company issues the securities certificate to assure that a person is the registered owner of the company securities (such as equity shares, preference shares, bonds, debentures, etc..) from the date the certificate is issued to that person. The securities certificate issued by a company is the prima facie evidence that a person is the owner of the company’s securities. The misplacement and loss of securities certificates will affect the holder(s) financially, as there will be no proof of their ownership. Thus, the company will issue a duplicate securities certificate if the original is misplaced or lost.A company will issue a duplicate securities certificate if the original certificate: Is proved to be lost or destroyed. Has been mutilated, defaced, or torn and is surrendered to the company.As per SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022, has mandated that the shares that are issued pursuant to investor service request shall henceforth be issued in demat mode only.

-What are the steps to follow when a Securities Certificate(s) is Lost or Misplaced?

The holder(s) and a company must follow certain steps when a securities certificate of a registered holder(s) is/are lost or misplaced, as provided below.In case Folio is not KYC Compliant, kindly ensure to do KYC Compliance first.The steps to be taken by holders when the certificate is lost or misplaced are:The holder must immediately inform the company about the lost or misplaced certificate(s).The communication of the information of the securities certificate being lost or misplaced can be done by posting a signed letter to the company’s address or by emailing to the company/RTA.The signature must tally with the specimen signature as recorded.The holder must provide the details of the lost or misplaced securities certificate, like name, folio number, address and certificate number.   The steps to be taken by a company when the share certificate is lost or misplaced are:When a company receives the information of the lost or misplaced certificate, it must freeze the said folio for at least 30 days to prevent any illegal proceeding of fraudulent transfer.After completing the required procedure and establishing the holder’s identity, the company should guide the holder for the issuance of a duplicate securities certificate.As per SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022, has mandated that the shares that are issued pursuant to investor service request shall henceforth be issued in demat mode only.

-What is Loss Securities Certificates?

A share certificate is a document that indicates the ownership of company shares by its shareholder/beholder. It acts as prima facie evidence of the title of the individual holding the shares. When the beholder of the share certificate loses or misplaces the original document, the company will issue a duplicate share certificate.When a person loses his/her share certificate, it can lead to a substantial financial loss to the shareholder and the company in which he/she held shares. Thus, to avoid any unnecessary loss to the company and its shareholders, the Companies Act, 2013, provides for the issue of duplicate share certificates under Section 46 and Rule 6(2)(a) to (c) of the Companies (Share Capital and Debentures) Rules, 2014. As per SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022, has mandated that the shares that are issued pursuant to investor service request shall henceforth be issued in demat mode only.

Nomination of Securities

For Securities held in Physical form and which are KYC Compliant:You can nominate/change of nomination by filling out the nomination form. For KYC-compliant folio, you may nominate person(s) by completing Form No.SH-13 and registering the same with us. Kindly download Form SH-13A nomination can be changed at any time by filling out the same form. By availing of the nomination facility, the nominees are entitled to receive shares outstanding in the name of the deceased holder(s). However, the following categories of investors cannot nominate:HUF accountsPower of attorney holdersAccounts in the name of society, trust body corporate.

Can I cancel or nominate someone else in place of existing nominee

Yes, you can. For securities held in physical form, please ensure that your folio is KYC compliant.For KYC-compliant folio, you may vary or cancel the nomination and nominate a new person(s) in place of the existing nominee(s) by completing Form No. SH-14 and registering the same with us. Kindly download Form SH-14

If I do not want to avail nomination facility, what should I do?

For securities held in physical form, please ensure that your folio is KYC compliant.For KYC compliant folio, you may complete Form ISR-3 for opting out of nomination and registering the same with us. Kindly download Form ISR-3

-2023 Cancellation/ Variation of Nominee

Please note, SEBI vide their Circulars have mandated:Furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement), and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. Click on the link to download a copy of the SEBI Circular dated 16th March 2023. For Physical Folios who are Not KYC compliant, please comply with:The relevant Forms for registering /changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein. Completing to a full KYC is easy. Simply drop into our office location on any Business Day for (IPV):In-Person Verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.Focus AddressIn case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal. Please click the link -> KYC ComplianceFor KYC compliant folio, please submit the following:A nomination once made can be modified by submitting a fresh nomination form. The investor will have to fill outForm SH -14 and submit it to the RTA for effecting the changes.Focus Address A nomination once made can be canceled by submitting a Form SH -14 along with Form ISR-3 declaration for opt-out to the RTA for effecting the changes. To opt-out Investor will have to submit Form ISR 3 to the RTA to opt out of the nomination in the folio. A written request for cancellation of nomination in Form ISR-1, duly signed by the first holder as per the specimen signature recorded with the Company.You are requested to provide a self-certified copy of PAN along with your request.Important points to be noted:The identity and address proof should be legible and in the name of the first registered account holder.Investors are informed that after verification of the documents submitted and in case of any differences observed, additional procedures/documents may be further called as part of KYC.Non-individuals including Society, Trust, Body Corporate, Partnership Firms, Karta of Hindu Undivided Family, and holders of Power of Attorney cannot nominate.For KYC-compliant folio, you may vary or cancel the nomination and nominate a new person(s) in place of the existing nominee(s) by completing Form No. SH-14 and registering the same with us. Kindly download Form SH-14Points to be noted:Investors are informed that after verification of the documents submitted and in case of any differences observed, additional procedures/documents may be further called as part of KYC.

-2023 Opt out of Nomination

Please note, SEBI vide their Circulars have mandated:Furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement), and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. Click on the link to download a copy of the SEBI Circular dated 16th March 2023. For Physical Folios who are Not KYC compliant, please comply with:The relevant Forms for registering /changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein. Kindly also ensure that your Aadhaar is seeded with PAN, for the folio to be KYC Compliant. Completing to a full KYC is easy. Simply drop into our office location on any Business Day for (IPV):In-Person Verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.Focus AddressIn case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal. Please click the link -> KYC ComplianceFor the KYC-compliant folio, and where the Nomination is already registered, we request you to first cancel the Nomination through Form SH-14 and complete Form ISR-3 for opting out of the nomination.Kindly register with us the above-stated forms. In case you do not wish to nominate any one kindly submit the Form ISR-3 through a request letter duly signed as per the specimen signature(s) registered with the company/RTA, containing basic essentials of the shareholder(s) such as Company Name, Folio Num, Name(s) of the Shareholder's and shall complete the following processes:Kindly fill out Form ISR-3 to register your request to OPT-OUT of nomination for the concerned Folio-num in the said Issuer Company where you hold securities.You are requested to submit a self-certified copy of PAN along with your request.Important points to be noted:The identity and address proof should be legible and in the name of the first registered account holder.Investors are informed that after verification of the documents submitted and in case of any differences observed, additional procedures/documents may be further called as part of KYC.Non-individuals including Society, Trust, Body Corporate, Partnership Firms, Karta of Hindu Undivided Family, and holders of Power of Attorney cannot use OPT-OUT, since nomination cannot be registered for such types of accounts.

Cancellation of Nominee

For securities held in physical form, please ensure that your folio is KYC compliant. For more details on KYC compliance, please refer to the relevant Forms for registering/changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, SH-14 as well as the SEBI circulars are available on our website at https://www.linkintime.co.in -> KYC-FormatsIn order to make the folio KYC compliant, the holder is required to submit the duly completed Forms along with supporting documents as indicated therein.For KYC-compliant folio, you may vary or cancel the nomination and nominate a new person(s) in place of the existing nominee(s) by completing Form No. SH-14 and registering the same with us. Kindly download Form SH-14Important points to be noted:Investors are informed that after verification of the documents submitted and in case of any differences observed, additional procedures/documents may be further called as part of KYC.

Form ISR 3 Opt-Out of Nomination.

ISR-3 form is meant to help you to:a)   Opt-out of existing nomination orb)   Opt for No Nomination by Holders of Physical Securities in Listed Companies.Without nomination, your Folio will be treated as Non-KYC Complaint. Use of ISR-3 will be applied for the entire securities against the said folio.

Transmission of Securities in the name of Registered Nominee.

For securities held in physical form, please submit the following:-1. Transmission Request [ Form ISR-5 ] duly signed by all the Nominee(s) as per SEBI circular dated 18th May, 2022.2. Original death certificate OR: a copy of death certificate attested by the nominee subject to verification with the original OR copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Original security certificate(s).4. Self-attested copy of PAN Card of the nominee(s), issued by the Income Tax Department.5. Original canceled cheque leaf:which is issued in the name of the first Nominee OR the latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first nominee, duly attested by the Bank Manager.6. Nomination Form SH-13 or Form ISR-3:Declaration for opting out of Nomination signed by all the nominee(s)/Guardian; if the nominee is a minor.7. Client Master List (CML):of the Demat Account of the Nominee(s), if the Nominee(s) have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Copy of Birth Certificate (in case nominee is a minor).9. KYC of the Guardian (for nominee being a minor or of unsound mind).Note: Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

What is Form SH-13?

SH-13 form is meant to help you make a nomination if you are an individual applying/ holding securities on your own behalf, singly or jointly. The nomination will be registered only when it is complete in all respects including the signature of1.  All registered holder(s) (as per specimen lodged with the Company) /RTA and2. The complete details of the nominee and witness being furnished. The Nominee will be entitled to all the rights in the securities upon demise of all holders in the folio.Non-individuals including Society, Trust, Body Corporate, Partnership Firm, Karta of Hindu Undivided Family, holder of Power of Attorney cannot nominate.

What is Nomination?

Nomination is a facility that enables a securities holder(s) to nominate an individual, who can claim the securities, post the demise of the original securities holder(s).

Points to remember while doing Nomination.

•  Mention the full name, age, address, and your relationship with the nominee.•  Do not write the nomination in favor of "wife" and "children" as a class. Give their specific names and particulars existing at that moment.•  If the nominee is a minor, appoint a person who is a major as an appointee giving his full name, age, address, and relationship to the nominee.It is advisable to take out some time to regularise “nominationâ€� in all your securities held, whether in demat or physical segment. You will render your close ones a huge help when they would need it the most.

What is the term "Nomination of Securities" ?

For Securities held in Physical form and which are KYC Compliant:You can nominate/change of nomination by filling out the nomination form. For KYC-compliant folio, you may nominate person(s) by completing Form No.SH-13 and registering the same with us. Kindly download Form SH-13A nomination can be changed at any time by filling out the same form. By availing of the nomination facility, the nominees are entitled to receive shares outstanding in the name of the deceased holder(s). However, the following categories of investors cannot nominate:HUF accountsPower of attorney holdersAccounts in the name of society, trust body corporate.

Who is a Nominee?

A Nominee is a person whom you can list in your investment as the person(s) who can receive the proceeds of your account in case of your unexpected death.The nominee can be anyone you deem to be your first relative - your parents, spouse, kids, siblings etc. Some investments also allow you to have multiple nominees where you can assign percentages of your money to each one of them. If you don’t specify percentages, it is shared equally.

Why nominate someone?

In case of the unfortunate event of one’s demise, one’s a family/ near ones go through a very painful and difficult time of coping with the loss. To add to this, whether we like it or not, financial security and means are necessary for the surviving partner or your close ones. All companies have standard and simpler processes for settling death claims, where nomination is clearly mentioned in the account or folio. Download Nomination Form.However, in absence of nomination, the process of settling a death claim may require a host of documents, including death, succession certificates, a will, or a court order. Although it may sound simple on paper, it ends up being a long-drawn process in real life and it is not a situation in which you would want to put your loved ones at a time, which would anyways be an already emotionally painful situation for them.

-2023 Claim of Shares/Securities and/or Dividend/Interest from IEPF Authority.

In terms of Section 124 (6) of the Companies Act, 2013 and Rule 7 of the IEPF Rules, you may claim both the unclaimed/unpaid amounts and the shares/securities from IEPF Authority.You may submit the required documents for verification to the Nodal Officer/RTA of the Company (retain the copies of the same with you along with the original share certificate(s)) for claiming the shares/dividends from the IEPF Authority. On verification of the documents, if the same is found complete in all respects, the Nodal Officer/RTA of the Company will issue an Entitlement Letter.You may, thereafter, lodge the Claim with the IEPF Authority by filing an application on the MCA website at www.iepf.gov.in. Thereafter, you are required to forward to the Nodal Officer/RTA of the Company the hard copy of the above-mentioned Form IEPF-5 duly signed (as per the specimen signature recorded with the Company)along with the requisite original documentsThe Rules and the Application Form (Form IEPF-5), as prescribed by the MCA for claiming the shares/dividend are available on the website of MCA at www.iepf.gov.in.Please also note that:1. No claim shall lie against the Company in respect of unclaimed dividend amount and shares transferred to IEPF Authority pursuant to the said Rules.2. Post transfer of securities to the IEPF Authority, all subsequent corporate benefits accruing on them shall also be credited in favor of the demat account of the IEPF Authority and you can claim the benefits from them.Important points to be noted:Investors are informed that after verification of the documents submitted and in case of a change in signature / non-availability of signature/inability to sign due to old age or health problem/difference in name/requirements related to enhanced due diligence, additional documents will be called for, viz. an Affidavit, Government Gazette, proof of identity/address, PAN and bank details, and such other additional procedures/documents, as applicable.Investors are advised to submit an attested copy of any one of the following documents in case of a mismatch in the name on their PAN Card, Aadhaar Card, supporting documents vis a vis Security Certificate, or Company Records.Valid PassportLegally recognized Marriage CertificateGazette notification regarding Change in NameAadhaar Card__Read__more__Please access the IEPF-5 webform for filing the claim for a refund. Read the instructions provided on the website/instruction kit along with the web form carefully before filling out the form.New users click hereExisting Users click hereContinue to file your online IEPF-5 claim-formView / Download Sample IEPF-5 Claim FormView / Download Sample Pre-Filled IEPF-5View / Download Sample (SRN) AcknowledgmentView / Download Indemnity Bond for IEPF-5__Read__more__Additional Documents required by IEPF:In case the Joint holder is deceased, a Notarized Copy of the Death certificate. Additional Documents in Case of Address Mismatch:In case the claimant’s address as per Company’s record is not matching with any of the documents such as Aadhaar Card, Passport, Copy of Bank Passbook, CML, etc., the following documents will be required:a) An affidavit (duly notarized) explaining the above deviation, on non-judicial stamp paper of appropriate value as prescribed under Stamp Act according to State; andb) Proof of Old as well as New address, duly self-attested by the claimants.Additional Documents in Case of Name Mismatch:In case the claimant’s name as per Company’s record is not matching with any of the documents such as PAN Card, Adhaar Card, Passport, canceled cheque leaf, CML, etc., the following documents will be required:a) An affidavit (duly notarized) explaining the above deviation, on non-judicial stamp paper of appropriate value as prescribed under Stamp Act according to State; andb) Marriage certificate, Gazette notification etc., if applicableAdditional Documents in Case of Transmission of shares (IEPF):In case the Claimant is the legal heir/representative of the Deceased Person, the Transmission Form along with the following documents:i. Where the nomination is registered:Duly signed transmission request form by the nominee.Original or copy of death certificate(s) duly attested.Self-attested copy of PAN card.Original share certificate(s) (Physical Mode) / Copy of transaction statement duly certified by Depository Participant (DEMAT Mode).Any other Government ID proof of the nominee.ii. Where the nomination is not registered:[in addition to the documents specified at Para (i)Affidavit from all the legal heirs made on appropriate non-judicial stamp paper - to the effect of identification and claim of legal ownership to the securities.Note: In case the legal heir(s) or claimant(s) is named in the succession certificate or probate of will or Letter of Administration, an Affidavit from such legal heir(s) or claimant(s) alone.For the value of securities up to Rs. 5,00,000 (Rs. 5 lakh only) per issuer company as on the date of application, one or more of the following documents:(a) Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of the Indian Succession Act, 1925.(b) In the absence of the documents mentioned at (a) above,(i) No objection certificate from all legal heir(s) executed by all the legal heirs of the deceased holder not objecting to such transmission (or) copy of Family Settlement Deed duly notarized and (ii) An Indemnity bond made on appropriate non-judicial stamp paper — indemnifying the STA or Issuer Company.For the value of securities more than Rs. 5,00,000 (Rs. 5 lakhs only) per issuer company as on the date of application:(a) Succession certificate or probate of will or will or letter of administration or court decree, as may be applicable in terms of the Indian Succession Act, 1925.Additional Documents in case Original share certificates are lost/misplaced/not available for claim from IEPF:In case of loss of original share certificate:a) Notarized copy of FIR / Police Compliant containing information of security holder, holding details, folio number and distinctive numbers of shares.b) Surety Affidavit of value equal to the market value of shares as on date of execution along with identity proof like PAN Card of sureties duly attested by Notary.c) Indemnity bond by security holder on a non-judicial stamp paper of requisite value duly attested by Notary, by the person in whose name the original share certificates are being issued that he has not sold / disposed-off the involved shares or acted in any manner by which any interest of third party would have been created.Note: The claimant will publish the requisite advertisement for the loss of share certificate whose market value as of date is more than 5,00,000 (Five Lakhs), in at least one English-language national daily newspaper having nationwide circulation and in one regional language daily newspaper published in the place of the registered office of the companyWhat are the documentary requirement by IEPF authorities, in case the claimant is a legal heir?:(i) In the case of a legal heir - the claimant is required to register transmission with the company by providing requisite documents as per SEBI Guidelines. According to SEBI Guidelines for registering transmission, the company may require a copy of the death certificate, Affidavit from legal heirs, Indemnity Bond, Succession Certificate or probate of will or letter of administration, etc. for share with a market value greater than 5 lacs, NOC from other legal heirs and relinquishment deed in favor of claimant etc;(ii) In case of the death of any of the holders in the joint holding of securities, but not covered in the family hierarchy – the claimant is required to get the name of the deceased holder of security deleted from the register of the members/other records, if any, in the company immediately after the death of a joint security holder before filing claim application. The claimant is also required to obtain NOC from other holders of securities, if any, and submit the same along with the claim application. SEBI Guidelines may also be seen before filing a claim application. The company is required to issue an entitlement letter under rule 7(9) of IEPF Rules 2016 in favor of the claimant and send it along with a copy of the documents submitted by the claimant with its verification report.For any further help, the IEPF helpline can also be contacted. Public Relations Officers Phone No: 011-23441777. Helpdesk - 0124-4832500What are the documents required to be submitted with IEPF -5?:1. Printout of duly filled claim form with claimant signature and in case of joint holders, the form should be signed by all the joint holders along with annexures submitted with the form.2. Copy of acknowledgment generated on online submission of IEPF – 5 e-form, bearing a unique serial number (SRN),3. Indemnity Bond (original) with claimant signature( auto-generated ) after uploading Form IEPF-5.4. Proof of entitlement, (Original share certificate /Interest warrant /Application No. etc.),. Original matured deposit /Original Debenture certificate [ in case of securities held in physical form] or copy of transaction statement in case of securities held in Demat Form.]5. Self-attested Copy of Aadhaar Card and Client Master List.6. Proof of entitlement (original share certificate /Interest warrant Application No. etc.)7. Cancelled Original Cheque leaf,8. Self-attested Copy of Passport, OCI, and PIO card in case of Other Nationalities and NRI duly apostilized.9. In the event of the death of any joint holder, a Copy of the Death certificate is to be attached.10. In cases of transmission, loss of original shares, mismatch in name and address etc., relevant documents as mentioned in Schedule II, III and IV respectively.11. Any other document relevant to prove the entitlement of the claimant.For any further help, the IEPF helpline can also be contacted. Public Relations Officers Phone No: 011-23441777. Helpdesk - 0124-4832500

-2023 How do I claim unclaimed / unpaid amounts and shares that are transferred to IEPF?

In terms of Section 124 (6) of the Companies Act, 2013 and Rule 7 of the IEPF Rules, you may claim both the unclaimed/unpaid amounts and the shares from IEPF AuthorityYou may submit the required documents for verification to the Nodal Officer/RTA of the Company (retain the copies of the same with you along with the original share certificate(s)) for claiming the shares/dividends from the IEPF Authority. On verification of the documents, if the same is found complete in all respects, the Nodal Officer/RTA of the Company will issue an Entitlement Letter.You may, thereafter, lodge the Claim with the IEPF Authority by filing an application on the MCA website at www.iepf.gov.in. Thereafter, you are required to forward to the Nodal Officer/RTA of the Company the hard copy of the above-mentioned Form IEPF-5 duly signed (as per the specimen signature recorded with the Company)along with the requisite original documentsThe Rules and the Application Form (Form IEPF-5), as prescribed by the MCA for claiming the shares/dividend are available on the website of MCA at www.iepf.gov.in.Please also note that:1. No claim shall lie against the Company in respect of unclaimed dividend amount and shares transferred to IEPF Authority pursuant to the said Rules.2. Post transfer of securities to the IEPF Authority, all subsequent corporate benefits accruing on them shall also be credited in favor of the demat account of IEPF Authority and you can claim the benefits from them.Important points to be noted:Investors are informed that after verification of the documents submitted and in case of a change in signature / non-availability of signature/inability to sign due to old age or health problem/difference in name/requirements related to enhanced due diligence, additional documents will be called for, viz. an Affidavit, Government Gazette, proof of identity/address, PAN and bank details, and such other additional procedures/documents, as applicable.Investors are advised to submit an attested copy of any one of the following documents in case of a mismatch in the name on PAN Card, Aadhaar Card, supporting documents vis a vis Security Certificate, or Company Records.Valid PassportLegally recognized Marriage CertificateGazette notification regarding Change in NameAadhaar Card

When are securities such as shares,debentures transferred to the Investor Education Protection Fund of the Central Government?

As per provisions of the Companies Act, 2013 and Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016, it is prescribed that all shares shall be transferred to IEPF in respect of which unpaid or unclaimed dividend is transferred as provided under Section 124 (5) and 124 (6) of the Companies Act, 2013 and rules prescribed therein.Further, please note that the Ministry of Corporate Affairs, Government of India has notified the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2017 (IEPF Rules). According to the said IEPF Rules, Companies are required to transfer such shares for which dividend has not been claimed for 7 consecutive years, to the demat account of IEPF Authority.__Read__more__In terms of the provision of the Companies Act, 2013 and IEPF Rules, the Company has transferred such shares by canceling the original share certificate registered in the names of the shareholders and issuing duplicate share certificate in lieu of the original share certificate and transmitting the same to the demat account of IEPF Authority.Thereafter, the original share certificate would automatically stand canceled and deemed non-negotiable or not tradeable and there would be no holding under the registered Folio of the holder. Please note that no claim shall lie against the Company in respect of unclaimed dividend amount and shares transferred to IEPF pursuant to the IEPF Rules.

When is Unclaimed / Unpaid Amounts transferred to General Revenue Account / Investor Education Protection Fund (IEPF) of the Central Government.?

As per Section 205(A) of the Companies Act, all unclaimed and unpaid dividend maintained in the separate dividend account of the Company was required to be transferred to the General Revenue Account of the Central Government after the prescribed period of approximately 3 years. Any claim post transfer to the Central Government should be made to the Registrar of Companies in the prescribed form.However as per the Amendment vide the Companies (Amendment) Ordinance, 1998, Section 205 (A) of the Companies Act 1956, this clause has been amended with effect from 31st October, 1998. Accordingly, all unclaimed Dividend / Interest / Principal / Maturity amounts on Deposits/ Debentures after expiry of 7 years from the date they were due for payment shall be transferred to Investor Education and Protection Fund. ("THE FUND").

Transmission of Securities

Transmission of securities means transferring ownership of securities to the nominee/successors / Legal heirs in the event of death of the sole / all joint holders or to surviving joint holders in the event of death of one/more joint holders. The word 'transmission' means devolution of title to shares otherwise than by transfer, for example, devolution by death, succession, inheritance, bankruptcy, marriage, etc. Transmission of shares is done by forwarding the necessary documents (eg. a notarized copy of the death certificate) to the RTA/company.SEBI vide it's Circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/65, dated May 18, 2022, has simplified the procedure and standardized the formats and documents for transmission of securities.Transmission of Securities held jointly:In case the deceased was one of the joint holders, then the surviving holders have to request the Company vied a form called transmission application form along with a copy of notarised death certificate to transmit the securities lying in the account of the deceased to the account of the surviving holders. The Transmission request form must be supported with Form ISR-5 along with the supporting documents as stated in Form ISR-5. You may download the Procedure for Name Deletion or Transmission of securities to the surviving holder(s)Transmission of Securities in the Name(s) of Registered Nominee(s):Where the deceased holder(s) have already registered nomination, the Nominee(s) are requested to claim such securities by submitting Form ISR-5 along with the supporting documents as stated in Form ISR-5. You may download the Procedure for Claim of Securities by Nominee(s)Transmission of Securities in the Name(s) of Legal Heir(s)/Claimant(s):Where the deceased holder(s) have not registered nomination, the Legal Heir(s) / Claimant(s) are requested to claim such securities by submitting Form ISR-5 along with the supporting documents as stated in Form ISR-5. You may download the Procedure for Claim of Securities by Legal Heir(s)/Claimant(s).The Company shall issue a Letter of Credit upon successful execution of the documents attached.

-2023 Name Deletion and Transmission of Securities

Please note, SEBI vide their Circulars have mandated:Furnishing of PAN, Address with PIN code, Email address(optional), Mobile No., Bank Account details, Specimen Signature & Nomination by holders of physical securities (collectively, called KYC requirement), and that “From January 1, 2022, RTAs shall not process any service requests or complaints received from the holder(s)/claimant(s), till PAN, KYC, and Nomination documents/details are received. Click on the link to download a copy of the SEBI Circular dated 16th March 2023. For Physical Folios who are Not KYC compliant, please comply with:The relevant Forms for registering /changing KYC details and Nomination, viz. Forms ISR-1, ISR-2, ISR-3, SH-13, and SH-14 as well as the SEBI circulars are available on our website -> KYC-Formats In order to make the folio KYC compliant, the holder is required to submit the duly completed KYC Forms along with supporting documents as indicated therein. Kindly also ensure that your Aadhaar is seeded with PAN, for the folio to be KYC Compliant. Completing to a full KYC is easy. Simply drop into our office location on any Business Day for (IPV):In-person verification with our officer as per your convenience, with the set of original documents and self-attested copies of documents to be submitted.Alternatively, you may also courier the self-attested copies with the date, and the courier the complete set of KYC documents to our office address.Focus Address In case you wish to comply with the KYC, using E-sign, do mail us from your registered e-mail id only. Alternatively, the e-signed documents are also accepted at our web portal. Please click the link -> KYC Compliance__Read__more__If the holding is in joint names and either of the holders is deceased, what is the procedure for Name deletion?:For a KYC-compliant folio, please submit the following:-1. Application Form for Name Deletion duly completed and signed by the surviving holder(s) as per the specimen signature(s) recorded with the Company.2. Original death certificate or copy of death certificate, attested by the survivor subject to verification with the original (only in case of in-person verification) or copy of death certificate, duly attested by a Notary Public or by a Gazetted Officer. Attestation by Notary Public / Gazetted Officer should mention their name, full address, and registration number and affix their seal, and Notarial Fee stamps, as applicable.3. Self-attested copy of the PAN Card of the surviving holder(s), issued by the Income Tax Department.4. Original security certificate(s).5. Duly completed Form ISR-1,Form SH-13 / Form ISR-3 and [Form ISR-4 ]Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.For securities held in electronic form, please contact your Depository Participant.__Read__more__I am the registered nominee in respect of securities where the sole holder / all holders is/are deceased. What is the procedure for the transmission of securities?:For securities held in physical form, please submit the following:-1. Transmission Request ( Form ISR-5 ] duly signed by all the Nominee(s) as per SEBI circular dated 18th May, 2022.2. Original death certificate OR a copy of death certificate attested by the nominee subject to verification with the original OR copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Original security certificate(s).4. Self-attested copy of PAN Card of the nominee(s), issued by the Income Tax Department.5. Original canceled cheque leaf which is issued in the name of the first Nominee OR the latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first nominee, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the nominee(s)/Guardian; if the nominee is a minor.7. Client Master List (CML) of the Demat Account of the Nominee(s), if the Nominee(s) have a demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Copy of Birth Certificate (in case the nominee is a minor).9. KYC of the Guardian (for nominee being a minor or of unsound mind).Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.For securities held in electronic form, please contact your Depository Participant.__Read__more__I am the legal heir/executor in respect of securities where the sole / all holder(s) is/are deceased, and the nomination is not registered with the Company. What is the procedure for the transmission of securities?-For securities held in physical form and in the sole/joint name of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : [ Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR a copy of death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or the latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML) of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s) made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities whose value exceeds Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:# The value shall be ascertained: on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission.9. Copy of any of the following required documents for transmission as may be applicable:duly attested by the legal heir(s)/claimant(s) subject to verification with the original or duly attested by anotary public or by a gazetted officer:a. Succession Certificate ORb. Probate of Will ORc. Will, along with a notarized indemnity bond from the legal heir(s)/claimant(s) to whom the securities are to be transmitted, as per the format specified and provided in Annexure E ORd. Letters of Administration ORe. Court Decree ORf. Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with;Notarized Indemnity Bond: made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. The bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s) as per the format provided in Annexure E; andNo Objection from all the Non-Claimants (remaining legal heirs):, stating that they have relinquished their rights to claim for transmission of securities, duly attested by a notary public or by a Gazetted Officer as per the format specified and provided in Annexure F__Read__more__10. Where the value of securities does not exceed Rupees Five lakhs(#) per listed entity as of the date of submission of application for transmission and the documents as mentioned in point 9 above are not available, the legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission in the format provided in Annexure F; ORCopy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office;andii)Notarized Indemnity Bond made: on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. The bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s) as per the format provided in Annexure EIMPORTANT POINTS:1) Documents, as mentioned in items no 1 to 8, are mandatory for the Transmission of securities irrespective of the value of securities, whereas items no 9 or 10 as applicable with the value of securities.2) Legal Heir(s) / Claimant(s) shall submit Affidavit & Indemnity Bond in Non-Judicial Stamp Paper (NJS) of appropriate value. You may use the E-Stamping facility or Franking of Documents if the facility is available in your location.3) Where the registered office of the Issuer Company is situated in the state of Maharashtra, the Indemnity Bond is to be submitted on NJS of Rs.500/- and Affidavit on NJS of Rs.100/-.4) For securities standing in joint names and where all the holders are deceased, legal documents (viz. Succession Certificate or Probate of Will or Will or Letters of Administration or Court Decree or Legal Heirship Certificate) for the holder, who is deceased last, is required to be submitted.5) Attestation by Notary Public / Gazetted Officer should mention their name, full address, and registration number and affix their seal, and Notarial Fee stamps, as applicable.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.For securities held in electronic form, please contact your Depository Participant.

+2023 Transmission of Securities -Demise of sole / all holders, where Nominee is NOT Registered.

Where the Market value of securities is below Rs.5 lakhs as of the date of submission of complete documentation.List of Documents required to be submitted:i)     Original security certificateii)    Copy of the Death Certificate attested by a Notary public or by a gazetted officer.iii)   Notarized Affidavit executed by all Legal Heirs (Annexure D)iv)   Notarized Indemnity bond (Annexure E)v)    No Objection Certificate from all legal heir(s) or copy of family settlement deed executed by all the legal heirs duly attested by a Notary Public or by a gazetted officer (Annexure F)vi)   Form ISR-1 (applicable for non-KYC compliant folio)vii)  Form ISR-2viii) Original Cancelled Cheque leaf or Client Master List copy duly attested by Depository Participant. (For updation of Bank details in Folio)ix)   Form ISR-5 (Annexure C)x)    Form SH-13 or ISR-3xi)   Self-attested copy of PAN card of the legal heir(s) / claimant(s) issued by the Income Tax Department along with address proof.xii) Copy of Birth Certificate (in case the nominee/claimant / legal heir is a minor).Where the Market value of securities is above Rs.5 lakhs as of the date of submission of complete documentation.List of Documents required to be submitted:i)     Original security certificateii)    Copy of Death Certificate attested by Notary Public / Gazetted Officeriii)   Affidavit executed by all Legal Heirs (Annexure D)In case the legal heir(s) / claimant(s) are named in any of the documents for transmission of securities as mentioned in (iv) below, an affidavit from such legal heir(s) / claimant(s) alone shall be sufficient.iv)   Notarized copy of Succession Certificate / Probate of Will / Letters of Administration / Will / Legal Heirship Certificatev)    Form ISR-1 (applicable for non-KYC compliant folio)vi)   Form ISR-2vii)  Original Cancelled Cheque leaf or Client Master List copy duly attested by Depository Participant. (For updation of Bank details in Folio)viii) Form ISR-5 (Annexure C)ix)   Form SH-13 or ISR-3x)    In case where a Legal Heirship Certificate or its equivalent certificate issued by a competent government authority is submitted, the same shall be accompanied with –(a)  A notarized indemnity bond from the legal heir(s) / claimant(s) to whom the securities are transmitted; (Annexure E)(b)  No Objection from all non-claimants (remaining legal heir(s) relinquishing their rights, duly attested by a notary public or by a gazetted officer (Annexure F) xi)   In case where Will is submitted, the same shall be accompanied with –(a)  Notarized indemnity bond from the legal heir(s) / claimant(s)to whom the securities are transmittedxii)  Copy of Birth Certificate (in case the nominee/claimant / legal heir is a minor).As part of enhanced due diligence, RTA / Issuer Company shall seek additional documents from the security holder(s) for processing any service request/complaint.

+2023 Transmission of Securities -Demise of sole / all holders, where Nominee is Registered

In the event of the Demise of sole / all holders, where the Nominee is Registered. List of Documents required to be submitted:i)     Original security certificateii)    Copy of Death Certificate attested by Notary Public / Gazetted Officeriii)   Form ISR-1iv)   Form ISR-2v)    Original Cancelled Cheque leaf or Client Master List copy duly attested by Depository Participant. (For updation of Bank details in Folio)vi)   Form ISR-5 (Annexure C)vii)  Form SH-13 or ISR-3viii) Self-attested copy of PAN card of the nominee issued by the Income Tax Department.ix)   Copy of Birth Certificate (in case the nominee/claimant / legal heir is a minor). As part of enhanced due diligence, RTA / Issuer Company shall seek additional documents from the security holder(s) for processing any service request/complaint.

Claim of securities made by Legal Heir(s), What is the process?

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : ( Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities whose value exceeds Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:The value shall be ascertained: on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission.__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with,:(i) Notarized Indemnity Bond- As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s); and(ii) No Objection from all the Non-Claimants (remaining legal heirs)- As per the format specified and provided in Annexure F:stating that they have relinquished their rights to claim for transmission of securities, duly attested by a notary public or by a Gazetted Officer.For securities whose value does not exceed Rupees Five lakhs(#) and the  documents as mentioned in point 9 are not available such as:__Read__more__ Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority.The legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer. Name and full address of the attesting authority for Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, notarial /court fee stamps and mention the registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization on Affidavit and Indemnity. Affidavit/Indemnity to be purchased in the name of holder(s)/applicant(s) and to be notarized and executed before the Notary Public/Gazetted Officer. The date of execution and attestation should be the same. The Company shall issue a Letter of Credit upon successful execution of the above documents. For securities held in electronic form, please contact your Depository Participant.

Claim by Legal Heir(s) for Value of Securities less than 5 Lakhs.

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : ( Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities whose value does not exceed Rupees Five lakhs(#) and the  documents as mentioned in point 9 are not available such as:__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority.The legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Claim by Legal Heir(s) for Value of Securities more than 5 Lakhs.

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : ( Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities exceeding Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:The value shall be ascertained: on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission.__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with,:(i) Notarized Indemnity Bond- As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s); and(ii) No Objection from all the Non-Claimants (remaining legal heirs)- As per the format specified and provided in Annexure F:stating that they have relinquished their rights to claim for transmission of securities, duly attested by a notary public or by a Gazetted Officer.Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

If a successor is not able to provide either the succession certificate / Probate of the will / Letter of administration, then what is the way to get the securities

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : [ Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities exceeding Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:The value shall be ascertained: on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission.__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with,:(i) Notarized Indemnity Bond- As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s); and(ii) No Objection from all the Non-Claimants (remaining legal heirs)- As per the format specified and provided in Annexure F:stating that they have relinquished their rights to claim for transmission of securities, duly attested by a notary public or by a Gazetted Officer.For securities whose value does not exceed Rupees Five lakhs(#) and the  documents as mentioned in point 9 are not available such as:__Read__more__ Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority.The legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Important Points to remember for Claim by Legal Heir(s)/Claimants

IMPORTANT POINTS:1)  Legal Heir(s) / Claimant(s) shall submit Affidavit & Indemnity Bond in Non-Judicial Stamp Paper (NJS) of appropriate value. You may use the E-Stamping facility or Franking of Documents if the facility is available in your location.2)  Where the registered office of the Issuer Company is situated in the state of Maharashtra, the Indemnity Bond is to be submitted on NJS of Rs.500/- and Affidavit on NJS of Rs.100/-. 3)  For securities standing in joint names and where all the holders are deceased, legal documents (viz. Succession Certificate or Probate of Will or Will or Letters of Administration or Court Decree or Legal Heirship Certificate) for the holder, who is deceased last, is required to be submitted.4)  Attestation by Notary Public / Gazetted Officer should mention their name, full address, and registration number and affix their seal, Notarial Fee stamps, as applicable.Note: Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Transmission of securities in the name of Legal Heir(s).

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : [ Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities exceeding Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:The value shall be ascertained: on the basis of the closing price at any one of the recognized stock exchanges a day prior to the date of submission.__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with,:(i) Notarized Indemnity Bond- As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s); and(ii) No Objection from all the Non-Claimants (remaining legal heirs)- As per the format specified and provided in Annexure F:stating that they have relinquished their rights to claim for transmission of securities, duly attested by a notary public or by a Gazetted Officer.For securities whose value does not exceed Rupees Five lakhs(#) and the  documents as mentioned in point 9 are not available such as:__Read__more__ Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority.The legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

-2023 PROCEDURE FOR NAME DELETION

A. DELETION OF NAMES OF THE DECEASED HOLDERS IN CASE OF DEATH OF 1ST/AND OR 2ND AND/OR 3RD HOLDER :1. Application Form for Name Deletion duly completed and signed by the surviving holder(s) as per the specimen signature(s) recorded with the Company.2. Original death certificate or copy of death certificate:,attested by the survivor subject to verification with the original (only in case of in person verification) or copy of death certificate, duly attested by a Notary Public or by a Gazetted Officer. Attestation by Notary Public / Gazetted Officer should mention their name, full address, registration number and affix their seal, Notarial Fee stamps, as applicable.3. Self-attested copy of the PAN Card of the surviving holder(s), issued by the Income Tax Department.4. Original security certificate(s).5. Duly completed Form ISR-1,Form SH-13 / Form ISR-3 and [Form ISR-4 ]  Note:Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

PROCEDURE FOR DELETION OF NAME ON DEATH OF A HOLDER OR TRANSMISSION OF SECURITIES TO SURVIVING HOLDERS

A. DELETION OF NAMES OF THE DECEASED HOLDERS IN CASE OF DEATH OF 1ST/AND OR 2ND AND/OR 3RD HOLDER :1. Application Form for Name Deletion duly completed and signed by the surviving holder(s) as per the specimen signature(s) recorded with the Company.2. Original death certificate or copy of death certificate:,attested by the survivor subject to verification with the original (only in case of in person verification) or copy of death certificate, duly attested by a Notary Public or by a Gazetted Officer. Attestation by Notary Public / Gazetted Officer should mention their name, full address, registration number and affix their seal, Notarial Fee stamps, as applicable.3. Self-attested copy of the PAN Card of the surviving holder(s), issued by the Income Tax Department.4. Original security certificate(s).5. Duly completed Form ISR-1,Form SH-13 / Form ISR-3 and [Form ISR-4 ]  Note:Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Transmiission of Securities in the name of Legal Heirs OR Claim by Legal Heir(s) for Value of Securities less than 5 Lakhs.

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : ( Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities whose value does not exceed Rupees Five lakhs(#) and the  documents as mentioned in point 9 are not available such as:__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority.The legal heir(s)/claimant(s) may submit the following documents:(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer.Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

Transmiission of Securities in the name of Legal Heirs OR Claim by Legal Heir(s) for Value of Securities more than 5 Lakhs.

Where securities are held in the sole/joint name(s) of the deceased holder(s), without nomination, please submit the following:-1. Transmission Request : [ Form ISR-5 ] duly signed by legal heir(s)/claimants.2. Original death certificate OR: copy of the death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original (only in case of in-person verification) OR a copy of the death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Self-attested copy of PAN Card of the legal heir(s)/claimant(s), issued by the Income Tax Department.4. Original security certificate(s).5. Original canceled cheque leaf which is issued in the name of the first legal heir/claimant or:latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first legal heir/claimant, duly attested by the Bank Manager.6. Nomination Form SH-13 or Declaration for opting out of Nomination as per Form ISR-3 signed by all the Legal heir(s) / Claimant(s).7. Client Master List (CML): of the Demat Account of the Legal Heirs(s) / claimant(s), if the applicants of the transmission request form have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Affidavit (Annexure-D): A Notarized Affidavit from ALL legal heir(s) / claimant(s): made on non-judicial stamp paper of appropriate value in the prescribed format, to the effect of identification and claim of legal ownership to the securities. However, In case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities, such as Succession Certificate or Probate of Will or Will or Letters of Administration or Legal Heirship Certificate (or its equivalent certificate), an Affidavit from such legal heir(s)/claimant(s) alone shall be sufficient). Separate Affidavits are to be executed by the legal heir(s) / claimant(s).For securities whose value exceeds Rupees Five lakhs(#) additional documents as stated in point 9 are to be provided:__Read__more__9. Copy of any of the following:a. Succession Certificate OR b. Probate of Will OR c. Will, along with a notarised indemnity bond from the legal heir(s)/claimant(s)  to whom the securities are to be transmitted, as per the format specified and provided in Annexure E OR d. Letters of Administration ORe. Court Decree OR f..Legal Heirship Certificate (or its equivalent certificate) issued by a competent Government Authority to be accompanied with.(i) No Objection Certificate in the format provided in Annexure F: made on non-judicial Stamp Paper of appropriate value in the prescribed format, and is to be executed jointly by all legal heir(s) stating that they do not object to such transmission; OR Copy of Family settlement deed executed by all the legal heir(s), duly attested by a Notary Public or by Gazetted Office; and(ii) Notarized Indemnity Bond-  As per the format provided in Annexure E:made on non-judicial Stamp Paper of appropriate value in the prescribed format, indemnifying the Listed entity /Share Transfer Agent. Bond of Indemnity is to be executed jointly by all the legal heir(s) including the claimant(s)Note:All Documents for transmission as may be applicable, duly attested by the legal heir(s)/claimant(s) are to be submitted, subject to verification with the original or duly attested by a notary public or by a gazetted officer. Name and full address of the attesting authority for the Indemnity bond and Affidavit must be mentioned. The attesting authority should affix their seal, notarial /court fee stamps, and mention registration number, as applicable. The Notary Public should mention Book No. and Serial No. against the notarization on Affidavit and Indemnity. Affidavit/Indemnity to be purchased in the name of holder(s)/applicant(s) and to be notarized and executed before the Notary Public/Gazetted Officer. The date of execution and attestation should be the same. The Company shall issue a Letter of Credit upon successful execution of the above documents. For securities held in electronic form, please contact your Depository Participant. 

What is an Affidavit?

The term Affidavit refers to a sworn statement in written format made especially under an oath or affirmation before an authorised officer or Magistrate.In other words, an Affidavit is a declaration of facts made in writing and sworn before a person having the authority to administer oath. All affidavits are verified statements and printed on Stamp papers of different denominations.All affidavits need to be drawn up in the first person and should contain facts and not inferences. A person who makes an affidavit is called a Deponent or an Affiant. The person who has authority to attest a certificate may be a Magistrate who may in turn be either a Judicial or an Executive Magistrate, a Notary Public or a Commissioner of Oaths depending upon the affidavit which needs to be attested. Indians living abroad can swear affidavits before Consular officers posted in Indian missions.

What is an Indemntity?

The concept of indemnity has to do with holding someone harmless, and a letter of indemnity outlines the specific measures that will be used to hold a party harmless.A letter of indemnity (LOI) is a contractual document that guarantees certain provisions will be met between two parties. Such letters are traditionally drafted by third-party institutions like banks or insurance companies, securities exchange board of India (SEBI), which agree to pay financial restitution to one of the parties, should the other party fail to live up to its obligations.In other words, the chief function of an LOI is to ensure that Party A won't ultimately suffer any losses if Party B falls delinquent.

What is NOC (No Objection Certificate)?

No Objection Certificate (NOC) is a legal document issued by legal heirs who have relinquished their claim over the securities of the deceased holder. It further states that the issuer of NOC has no objection to the mentioned details in the document.

Transmission of Securities in the Name(s) of Registered Nominee(s)

For securities held in physical form, please submit the following:-1. Transmission Request ( Form ISR-5 ] duly signed by all the Nominee(s) as per SEBI circular dated 18th May, 2022.2. Original death certificate OR: a copy of death certificate attested by the nominee subject to verification with the original OR copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.3. Original security certificate(s).4. Self-attested copy of PAN Card of the nominee(s), issued by the Income Tax Department.5. Original canceled cheque leaf:which is issued in the name of the first Nominee OR the latest copy of the Bank Statement/Passbook with details of Bank Name, Branch, Account Number, and IFSC, of the first nominee, duly attested by the Bank Manager.6. Nomination Form SH-13 or Form ISR-3:Declaration for opting out of Nomination signed by all the nominee(s)/Guardian; if the nominee is a minor.7. Client Master List (CML):of the Demat Account of the Nominee(s), if the Nominee(s) have a Demat account, provided by the Depository Participant, in order of the names as per the Form-ISR-5.8. Copy of Birth Certificate (in case nominee is a minor).9. KYC of the Guardian (for nominee being a minor or of unsound mind).Note: Post-processing of the request, a Letter of Confirmation shall be issued to facilitate submission of the same with the Depository Participant for dematerialization in compliance with SEBI circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022.

What is an Affidavit?

The term Affidavit refers to a sworn statement in written format made especially under an oath or affirmation before an authorised officer or Magistrate.In other words, an Affidavit is a declaration of facts made in writing and sworn before a person having the authority to administer oath. All affidavits are verified statements and printed on Stamp papers of different denominations.All affidavits need to be drawn up in the first person and should contain facts and not inferences. A person who makes an affidavit is called a Deponent or an Affiant. The person who has authority to attest a certificate may be a Magistrate who may in turn be either a Judicial or an Executive Magistrate, a Notary Public or a Commissioner of Oaths depending upon the affidavit which needs to be attested. Indians living abroad can swear affidavits before Consular officers posted in Indian missions.

What is an Indemnity?

The concept of indemnity has to do with holding someone harmless, and a letter of indemnity outlines the specific measures that will be used to hold a party harmless.A letter of indemnity (LOI) is a contractual document that guarantees certain provisions will be met between two parties. Such letters are traditionally drafted by third-party institutions like banks or insurance companies, securities exchange board of India (SEBI), which agree to pay financial restitution to one of the parties, should the other party fail to live up to its obligations.In other words, the chief function of an LOI is to ensure that Party A won't ultimately suffer any losses if Party B falls delinquent.

What is Form ISR-5?

Form ISR-5 form is meant to help investors in soliciting the following requests from the RTA/ Company.WHERE:Either of the holder(s) is deceased and Name Deletion is required.The Registered Nominee(s) wishes to claim the rights & title upon the demise of the sole/all holders of the securities.The Legal heir(s) / Executor of securities wishes to claim the rights & title upon the demise of the sole/all holders of the securities and where no nomination is registered in the folio. Read moreAfter processing the service request, the RTA shall issue a ˜Letter of Confirmation” to the claimant(s), which is valid only for 120 days. Using this ˜Letter of Confirmation”, the claimant shall request the DP to dematerialize the securities, failing which the securities shall be credited to the Suspense Escrow Demat Account of the Company. (SEDA)An important aspect of Form ISR-5 is that claimants will be able to claim all their benefits only in electronic form.

What is NOC (No Objection Certificate)?

No Objection Certificate (NOC) is a legal document issued by legal heirs who have relinquished their claim over the securities of the deceased holder. It further states that the issuer of NOC has no objection to the mentioned details in the document.