Common and Simplified Norms for processing investor’s service request by RTA and norms for furnishing of PAN, KYC details, Nomination and Issuance of Securities in Dematerialized Form in case of Investor Service Requests
With reference to SEBI Circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021 and SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/687 dated December 14, 2021 (“SEBI Circular”), SEBI has introduced common and simplified norms for processing Investor’s service request by RTA and norms for furnishing of PAN, KYC details and Nomination by holders of physical securities.
Further, pursuant to SEBI Circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022, as an on-going measure to enhance ease of dealing in securities markets by investors, it has been decided that listed companies shall henceforth issue the securities in dematerialized form only (vide Gazette Notification no. SEBI/LAD-NRO/GN/2022/66 dated January 24, 2022) in case of investor service requests.
In this connection, please find below the link of the following forms notified by SEBI –
- Form ISR-1 (Request for registering PAN, KYC details or changes / updation thereof)
- Form ISR-2 (Confirmation of Signature of securities holder by the Banker)
- Form ISR-3 (Declaration Form for Opting-out of Nomination by holders of physical securities)
- Form No. SH-13 (Nomination Form)
- Form No. SH-14 (Cancellation or Variation of Nomination)
- Form ISR-4 (Request for issue of Duplicate Certificate and other Service Requests)
Please note in case of mismatch in the signature of the holder or Signature Card is not available in the records of the RTA, then the holder(s) / claimant(s) shall be required to furnish original cancelled cheque and banker’s attestation of the signature as per Form ISR-2.
Investors shall continue to use Form No. SH-13 and Form No. SH-14 for declaration of nomination and change in nomination respectively. However, in case Investor wants to opt-out of nomination, Form ISR-3 shall be submitted with the RTA.
Investors are requested to ensure the above details are updated with the RTA on or before April 01, 2023, otherwise the folios for which the above details are not available thereafter shall be frozen by the RTA.
Please note from January 01, 2022, the RTA of the Company shall not process any service requests or complaints received from the holder(s) / claimant(s), till PAN, KYC and Nomination documents/details are received.
The above Forms are required to be submitted to the RTA of the Company at the below mentioned address:
Link Intime India Private Limited
5th Floor, 506 to 508,
Amarnath Business Centre – 1 (ABC-1),
Beside Gala Business Centre,
Nr. St. Xavier’s College Corner,
Off C G Road, Ellisbridge, Ahmedabad – 380006.
Phone – (079) 2646 5179 / 86 / 87
Email – firstname.lastname@example.org