TaxTMI 
TaxTMI 
Issue of No Objection Certificate for release of 1% of issue amount
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....is amount was being released to issuer companies after obtaining a No Objection Certificate (NOC) from SEBI in accordance with the SEBI (Disclosure and Investor Protection) Guidelines, 2000. Since these Guidelines have now been rescinded, the NOC will be issued henceforth in accordance with this Circular. 2. For the purpose of obtaining the NOC, the issuer company shall submit an application on its letter head addressed to SEBI in the format specified in Annexure - A, after lapse of 4 months from listing on the Exchange which was the last to permit listing. The application shall be filed by the post issue lead merchant banker with the concerned designated office of SEBI under which the registered office of the issuer company falls, as spec....
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....mber 25, 2009) APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE DESIGNATED STOCK EXCHANGE Item Details 1. Issuer Company with ROC registration number 2. Designated Stock Exchange (DSE) 3. Post Issue Lead Merchant Banker (PILM) 4. Registrar to the Issue (RTI) 5. 1% deposit details: a. Cash component b. Bank Guarantee c. Total d. Date of expiry of Bank Guarantee, if applicable (min 2 months remaining validity; enclose copy) 6. Issue details for which NOC is sought: a. Issue type & security issued (Public / Rights; Equity / debentures / IDRs etc.) b. Number of securities offered c. Offer price per security for different categories d. Issue size / amount raised e. Issue open and....
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.... average time taken in solving the complaints and f. Performance in redressal of investor complaints (status on a recent date as per following format): Source Received Resolved Pending* SEBI Stock Exchange(s) Investors' Associations / Others Direct Total * Give reasons for pending complaints, if any. Enclose certificate from PILM/RTI's that no investor complaints are pending against the issuer as on date 9. Status of Refund Account: a. Total amount transferred to Refund Account b. Names of refund bankers c. Consolidated balance outstanding in Refund Accounts as of latest date (enclose bank certificates) 10. Status of Securities Escrow Account: a. Total number of securities transferred to the securities escrow account b....
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.... shares a. Name mismatch b. Inactive Demat account c. Invalid Demat account d. Any other (give details) Total N.A..: Not applicable b. Furnish additional certification from PILM / RTI that: * all applications for which refund of money or credit of shares is pending have been physically verified and they are not pending due to any data entry error. * the refund of money or credit of shares, if any, is pending after all efforts were made to communicate to the applicants viz., address as in the application, address as in the demat account, email, phone calls. 13. Any other information: CERTIFIED that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders/allotment letters....
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....radesh, Mizoram, Tripura, Sikkim, Jharkhand and Andaman & Nicobar Islands. SEBI - Western Regional Office Unit No: 002, Ground Floor SAKAR I, Near Gandhigram Railway Station Opp. Nehru Bridge Ashram Road Ahmedabad - 380 009 Telephone: 079-26583633-35 Fax: 079-26583632 Gujarat and Rajasthan. Annexure - C (to SEBI circular OIAE/Cir-1/2009 dated November 25, 2009) ACTION TAKEN REPORT - PROFORMA FOR SENDING RESPONSES TO SEBI FOR INVESTOR GRIEVANCES (i) The proforma in which companies shall send their responses to investor complaints is as specified below. (ii) The proforma shall be strictly adhered to, failing which the status of the complaint will not be updated by SEBI. Sr. No. Complaint Ref. No. Type/ Category Name of complainant ....