Mandatory furnishing KYC details and nomination by holders of physical securities

Securities and Exchange Board of India (“SEBI”) vide its circular No. SEBI/HO/ MIRSD/ MIRSD_RTAMB/P/CIR/2021/655 dated November 3, 2021 prescribed certain mandatory provisions with regard to “Common and Simplified Norms for processing investor’s request by Registrar and Transfer Agents (“RTAs”) and norms for furnishing PAN, KYC details and Nomination (“SEBI Circular”), where the shares are held in physical form”. Click here for SEBI Circular.

SEBI Circular prescribes about the following norms, in case the shares are held in physical form:

1. Common and simplified norms for processing any service request from the holder, pertaining to the captioned items, by the RTAs,
2. Electronic interface for processing investor’s queries, complaints and service request,
3. Mandatory furnishing of PAN, KYC details and Nomination by holders of physical securities,
4. Freezing of folios without valid PAN, KYC details and Nomination,
5. Compulsory linking of PAN and Aadhaar by all holders of physical securities.

Shareholders of the Company holding shares in physical form shall provide the following documents / details to the RTA of the Company:

1. Permanent Account Number (“PAN”).
2. Nomination (for all eligible folios) in Form No. SH-13 or submit declaration to “Opt-Out” in Form No. ISR-3. Note: Any cancellation or change in nomination shall be provided in Form No. SH-14.
3. Contact details including postal address with PIN code, Mobile Number, e-mail address.
4. Bank account details including bank name and branch, bank account number, IFSC.
5. Specimen signature.

Please provide the above documents / details to the RTA of the Company at the address mentioned in below table along with other basic details like name of the shareholder, folio number, certificate number and distinctive numbers.

Please provide the above documents / details to the RTA of the Company at the address mentioned in below table along with other basic details like name of the shareholder, folio number, certificate number and distinctive numbers.

Please find below the link of the following documents, which are required to be uploaded on the website of the Company, as per the SEBI Circular:

1. Form No. ISR-1 – request for registering PAN, KYC details or changes / updation thereof
2. Form No. ISR-2 – confirmation of signature of securities holder by the Banker
3. Form No. ISR-3 – declaration form for opting-out of nomination by holders of physical securities in listed companies
4. Form No ISR-4 – Request for issue of Duplicate Certificate and other Service Requests
5. Form No. SH-13 – nomination form
6. Form No. SH-14 – cancellation or variation of nomination

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Online Dispute Resolution (ODR) Portal

For escalation of the matter, the investor can initiate dispute resolution through the Online Dispute Resolution (ODR) Portal by clicking on the following link: https://smartodr.in/login For more information on Online Resolution of Disputes in the Indian Securities Market click here – SEBI circular on Online Dispute Resolution.