Issue of No Objection Certificate for release of 1% of issue amount

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....e case may be, with the designated stock exchange. This 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 Since these Guidelines have now been rescinded, the NOC will be issued henceforth in accordance with this Circular. 2.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....

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.... Encl: a/a Annexure - A (to SEBI circular OIAE/Cir-1/2009 dated November 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; Equi....

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....at credit       Enclose certificate of the RTI, counter signed by the PILM, confirming • despatch of refunds, allotment letters & certificates • ECS, demat credit and instructions to Self Certified Syndicate Banks pertaining to all applicants, including NRIs. 8. Grievance redressal system: A note on the existing complaint redressal system followed by the Company/Registrar to the Issue highlighting a. Name, address, e-mail address & phone number of Compliance officer b. Infrastructure c. Manpower d. computer back-up e. average time taken in solving the complaints and f. Performance in redressal of investor complaints (status on a recent date as per following format)....

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....cimens of the letters sent, proof of their despatch and a fresh Refund Bankers certificate / DP statement, after completion of the exercise. Table I: Additional information where there is balance in the Refund Account   Date of despatch Mode of despatch No. of cases Value Rs. 1st Reminder         2nd Reminder         Balance after latest reminder         Reasons for pending refund cases, if any, as on date:   No. of cases Value Rs. a. Refund Orders despatched but not encashed     b. Refund Orders returned undelivered     c. Any other (give details)  ....

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....ature of Authorised Signatory) Place: Date: Countersigned by: Post Issue Lead Merchant Banker (Name & Signature of Authorised Signatory) Place: Date: Annexure - B (to SEBI circular OIAE/Cir-1/2009 dated November 25, 2009) Jurisdiction of Regional offices / Head office of SEBI for processing application for NOC SEBI Office Registered Office of the issuer company SEBI (Head Office) SEBI Bhavan Plot No.C4-A,'G' Block, Bandra Kurla Complex, Bandra (East), Mumbai - 400 051 Tel. Board: +91-22-26449000 / 40459000 Fax : +91-22-26449027 Maharashtra, Madhya Pradesh, Chhatisgarh, Goa, Diu, Daman and Dadra & Nagar Haveli. SEBI - Northern Regional Office 5th Floor, Bank of Baroda Building, 16, Sansad ....

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....ken in brief           1. nature of action taken           2. instrument & despatch details (Table I & II) [or] correspondence & despatch details (Table III) [or] stay details   ATR shall contain the following details / information / documents: • Where the company has made payment or despatched securities, then the ATR should contain details of instrument as mentioned in Table I along with details of despatch as mentioned in Table II. • Where the complaint is pending for redressal as additional documents / information has been sought from the complainant then, the ATR should contain details mentioned in Tabl....