TaxTMI 
TaxTMI 
Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016
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....ty appointed under sub-section (6) of section 125 of the Act; (d) "Company" means company as defined in sub-section (20) of section 2 of the Act and includes 'corresponding new bank' as defined in sub-section (d) of section 2 of the Banking Companies (Acquisition and Transfer of Undertakings) Act, 1970 (5 of 1970) and clause (b) of section 2 of the Banking Companies (Acquisition and Transfer of Undertakings) Act, 1980 (40 of 1980); (e) "Existing IEPF" means the Investor Education and Protection Fund (IEPF) constituted under section 205C of the Companies Acts 1956 (1 of 1956); (f) "Fund" means the Investor Education and Protection Fund (IEPF) constituted under section 125 of the Act; (g) "Investor" means any person, who has committed money in shares, or debentures, bond or deposits under a scheme or plan of a company registered under the Act; (h) "Member" means member of the Authority appointed under sub-section (6) of section 125 of the Act; and (i) "Section" means the section of the Act. (2) Words and expressions used in these rules and not defined herein bu....
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....en to the Fund by the State Governments, Companies or any other institutions for the purpose of the Fund as also the interest or other income received out of the Investments made from the Fund shall be credited to a separate sub-head under "800 - Other Receipts" below the MH 0075 - Misc. General Services. (iii) Amount booked under the above receipt head shall be transferred to the Fund account under Major Head '8235 - General and other Reserve Fund - 116 -IE & PF' by the PAO, Ministry of Corporate Affairs after making suitable budget provision under Major Head '3451 - Secretariat Economic Services 797 - Transfer to Reserve Fund Deposit Account - Transfer to Investor's Education and Protection Fund'. In case the amounts of receipts in a year is more than the budget provision made under Major Head 3451 transfer to the Fund, the difference shall be transferred to the Fund in subsequent year, after obtaining approval of the Budget Division of Department of Economic Affairs and after making adequate budget provision in the relevant year. (iv) Budget provision in connection with the activities to be financed from the Fund shall be made under Major Head 3451 ....
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.... authorised banks engaged by the MCA-21 system, within a period of thirty days Of such amounts becoming due to be credited to the Fund. (2) The amount shall be tendered by the Companies along with challan (in triplicate) to the specified Bank Branches Of Punjab National Bank and other authorised banks under MCA- 21 system who will return two copies of the challan, duly stamped in token Of having received the amount, to the Company. The third copy of the challan Will be forwarded along with the daily credit scroll by the receiving branch to its Focal Point Branch of the Bank for Onward transmission to the pay and Accounts Office, Ministry Of Corporate Affairs. (3) Every company shall file with the concerned Authority one copy Of the challan referred to in sub-rule (2) indicating the deposit of the amount to the Fund and shall fill in the full particulars of the amount tendered. including the head Of account to which it has been credited. (4) the company Shall, along with the copy of the challan as required under sub-rule (3), furnish a Statement in Form No. IEPF 1 containing details of such transfer to the Authority within thirty days of submission of challan. (5)&nb....
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....name of the company) with one of the depository participants as may be identified by the Authority within a period of thirty days of such shares becoming due to be transferred to the Fund: Provided that, in case the beneficial owner has encashed any dividend warrant during the last seven years, such shares shall not be required to be transferred to the Fund even though some dividend warrants may not have been encashed. (2) For the purposes of effecting transfer of such shares, the Board shall authorise the Company Secretary or any other person to sign the necessary documents. (3) The company shall follow the following procedure, namely:- (a) The shall inform at the latest available address, the shareholder concerned regarding transfer of shares three months before the due date of transfer of shares and also simultaneously publish a notice in the leading newspaper in English and regional language having wide circulation. and on their website giving details of such shareholders and shares due for transfer. Provided that in cases, where the seven years as provided under sub-section (5) of section 124 have been completed or are being completed within three ....
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....f the Fund; (v) on receipt of the duly filled transfer forms along with the duplicate share certificates, the Board or its Committee shall approve the transfer and thereafter the transfer of shares shall be effected in favour of the Fund in the records of the company. (4) The company or depository, as the case may be, shall preserve copies of the depository instruction slips, transfer deeds and duplicate certificates for its records (5) While effecting such transfer. the company shall send a statement to the Fund in Form NO. IEPF 4 containing details of such transfer. (6) voting rights on shares transferred to the Fund shall remain frozen until the rightful owner claims the shares: Provided that for the purpose of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, the shares which have been transferred to the Authority shall not excluded while calculating the total voting rights. (7) Once the physical shares are transferred in the name of the Authority, the Authority Shall dematerialise these shares and it shall keep only those shares in physical form, wher....
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....e documents as enumerated in Form IEPF-5 to the concerned company at its registered Office for verification of his claim. (3) The company shall. within fifteen days of receipt of claim form, send a verification report to the Authority in the format specified by the Authority along with all documents submitted by the claimant. (4) After verification of the entitlement of the claimant- (a) to the amount claimed, the Authority and then Drawing and Disbursement Officer of the Authority shall present a bill to the Pay and Accounts Office for e- payment as per the guidelines. (b) to the shares claimed. the Authority shall issue a refund sanction order with the approval of the Competent Authority and shall either credit the shares which are lying with depository participant in IEPF suspense account (name of the company) to the demat account of the claimant to the extent Of the claimant's entitlement or in case of the physical certificates, if any, cancel the duplicate certificate and transfer the shares in favour of the claimant. (5) The Authority shall, in its records, a note to be made of all the payments made under sub-rule (4). (6) A....
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....ansfer of assets, liabilities, etc., of the existing IEPF to the Authority.- On and from the date of establishment of the Authority,- (a) any reference to the existing IEPF in any law other than these rules or in any contract or other instrument shall be deemed as a reference to the Authority; (b) all properties and assets, movable and immovable, of, or belonging to, the existing IEPF, shall vest in the Authority; (c) all rights and liabilities of the existing IEPF shall be transferred to, and be the rights and liabilities of the Authority; (d) without prejudice to the provisions of clause (c), all debts, obligations and liabilities incurred, all contracts entered into and all matters and things engaged to be done by, with or for the existing IEPF immediately before that date, for or in connection with the purpose of the said existing IEPF shall be deemed to have been incurred. entered into, or engaged to be done by, with or for, the Authority; (e) all sums of money due to the existing IEPF immediately before that date shall be deemed to be due to the Authority; and (f) all suits and other legal proceedings instituted or which could have been ins....
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....Accounting, Audit, Transfer सतà¥à¤¯à¤®à¥‡à¤µ जयते and Refund) Rules, 2016] Form language o English o Hindi Statement of amounts Investor credited to Education and Protection Fund Refer instruction kit for details. Note 1 - Please adhere to the 'Process for uploading Investor-wise details' as mentioned on the Acknowledgment, to be generated upon upload of this eForm, Note 2-Please take a note that this form has to be filled only for one Financial Year at a time. Note - All fields marked in are to be mandatorily filled. 1.(a) Corporate identity number (CIN) of company/ Bank Corporate Identification number (BCIN) (b) Global Location Number (GLN) of company 2. (a) Name of the company/bank (b) Address of registered office of the company/bank Pre fill (c) email id of the company/bank 3. Service request number (SRN) in respect of payment made to the fund Pre-fill 4. Date of payment of amount to the fund (DD/MM/YYYY) 5. Amount credited to the fund (in Rs.) 6. Mode of payment Challan payment (Cash, Cheque, Demand draft) O Online Payment 7.*Details of the amount credited to the fund S. Particulars No. Amount ....
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....ed upon upload of this eForm. Note- All fields marked in are to be mandatorily filled. 1.(a) Corporate identity number (CIN) of company/ Bank Corporate Identification number (BCIN) (b) Global Location Number (GLN) of company Pre fill 2. (a) Name of the company/bank (b) Address of registered office of the company/bank (c) "email id of the company/bank 3. (a) Financial year ended (DD/MM/YYYY) (b) "Date of annual general meeting (AGM) or Due date whichever is earlier (DD/MM/YYYY) 4. "Whether registered with Reserve Bank of India (RBI) Yes No 5. Number of small shareholders of the company 6. Number of small depositors of the company 7. Details of unclaimed and unpaid amounts (a) Amount of Unclaimed and unpaid dividend (b) Amount of application moneys received and due for refund (c) "Amount of matured deposits (d) *Amount of matured debentures (e) Interest accrued on the amounts referred to in clause (b) to (d) above (i) "Application money due for refund (ii) "Matured deposit with companies (iii) "Matured debentures with companies (f) "Sale proceeds of fractional shares arising out of issuance of bonus shares, merger and amalgamation (g) *Redemption amount o....
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.... relates to court/ it tribunal/ authority Attachments 1. *Order of the court/tribunal/statutory authority; 2. Optional attachments, if any List of attachments Attach Attach Remove attachment Declaration I have been authorized by the Board of directors' resolution numb (DD/MM/YYYY) Dated to sign and submit this form. To the best of my knowledge and belief, I declare that all the requirements of Companies Act, 2013 and the rules made thereunder in respect of the subject matter of this form and matters incidental thereto have been complied with. I also declare that all the information given herein above is true, correct and complete including the attachments to this form and nothing material has been suppressed. DSC Box *To be digitally signed by *Designation "DIN of the director; or PAN of the manager or CEO or CFO; or Membership number of the secretary; or PAN of Authorized person of the bank Note: Attention is also drawn to provisions of Section 448 and section 449 of Companies Act, 2013 which provide for punishment for false statement and false evidence. Modity Check Form Prescrutiny Submit Affix filing details Form filing date For office use only....
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....tion Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] Form language O English O Hindi Refer instruction kit for details. सतà¥à¤¯à¤®à¥‡à¤µ जयते Note-All fields marked in are to be mandatorily filled. 1. Particulars of the applicant (a) *Name of the applicant (b) Address of the applicant Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund (IEPF) (c) Phone number (d) Mobile Number (e) E-mail ID 2. Particulars of the Company/Bank from which the amount is due Pre-fill (a) *Corporate identity number (CIN) of company/ Bank Corporate Identification Number (BCIN) (b) Name of the company/bank (c) Address of registered office of the company/bank (d) email id of the company/bank 3. Details of shares claimed Folio No./ DP ID -Client ID- Account number 4. Details of amount claimed Category Kind of Number share shares nominal of Total amount of the share S No Particulars (i) Dividend amount (ii) Application money due for refund (iii) Matured deposits with company (iv) Matured debentures with company (v) Interest accrued ....
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....n case of foreigners and NRI 10. Other optional document, (if any) Note: Attention is also drawn to provisions of Section 448 of Companies Act, 2013 which status that- "Save as otherwise provided in this Act, if in any return, report, certificate, financial statement, prospectus, statement or other document required by, or for, the purposes of any of the provisions of this Act or the rules made thereunder, any person makes a statement,- (a) which is false in any material particulars, knowing it to be false; or (b) which omits any material fact, knowing it to be material, he shall be liable under section 447." Modify Check Form Prescrutiny For office use only: Affox filing details eForm Service request number (SRN) eForm filing date Digital signature of the authorising officer This e-Form is hereby approved This e-Form is hereby rejected Date of signing Confirm Submission (DD/MM/YYYY) FORM NO. IEPF-6 [Pursuant to rule 8 of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] सतà¥à¤¯à¤®à¥‡à¤µ जयते Form language o English o Hindi Refer instruction kit for ....