Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2021.

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....(2)], in the proviso, the words "Advance Receipts", shall be omitted. 3 In the Principal Rules, in Schedule II, - (1) for the words, figures and bracket, "Rs. 2,00,000 (Rupees Two Lakh only)," wherever occurring, Rs. 5,00,000 (Rupees five lakh only), shall be substituted. (2) under heading, "Documents to be submitted to the Authority to register transmission of securities", under subheading " A. Documentary requirement for securities held in physical mode",- (i) in item 1, under the heading, "Where the shares are held singly with nomination,- (a) in sub-item '1.1', for the word, "nominee", the word, "claimant" shall be substituted; (b) for sub-item '1.2', the following shall be substituted, namely: - "Copy of death certificate of security holder attested by claimant." (c) for sub-item '1.4', the following shall be substituted, namely: - "The original share certificate is to be sent to the company and scanned copy to be attached with the form". (ii) in item 2, under the heading, "Where the shares are held singly without nomination, the following documents in addition to the documents specified at paragraph 1 are....

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.... (iv) in item '4', under the heading, "Where the shares are held jointly without nomination, the following documents in addition to the documents specified at paragraph 3 are required",- (a) for sub-item '4.2', the following shall be substituted, - "Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal". (b) for sub-item '4.3', the following shall be substituted, namely: - "For value of securities more than 5,00,000 (Rupees Five lakh only) per issuer company as on date of application: Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal.". (c) after sub-item '4.3', and before sub-heading 'B' the following explanation shall be inserted, namely: - "Explanation: (1) The Company may enhance the limit of Rs. 5,00,000 (Rupees Five lakh only) per issuer company in accordance with SCHEDULE VII of Securities and ....

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....,000 (Rupees Five lakh only) per issuer company in accordance with SCHEDULE VII of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, after taking approval of its Board of Directors and provide copy of Board resolution to Authority at the time of verification of claim. (2) for the case where will is provided, following documents shall also be required: (a) Legal heirship certificate issued by Competent Authority; (b) No Objection Certificate from all legal heirs in favor of the claimant; (c) Affidavit from witness about confirmation of will wherever alive or death certificate of such witness; (d) Affidavit with regard to the will as last will and no matter is pending before any court with regard to such will; (e) Surety affidavit by at least two sureties with their PAN Card.". (iii) in item '3', - (a) in sub-item '3.1' for the word, "nominee", the word, "claimant" shall be substituted; (b) for sub-item '3.2', the following shall be substituted, namely: - "Copy of death certificate of security holder attested by claimant." (c) for sub-....

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....', for letters, figures and symbols, "Rs. 10,000", the letters, figures and symbols, "Rs. 5,00,000" shall be substituted. 5. in the Principal Rules , in Schedule IV, under the heading, " Procedure to be followed while disposing the claims", in item '2', - (i) sub-item (iv) shall be omitted; (ii) in sub-item (ix), the words, "verification of transaction statement of the unclaimed suspense account of the company. At any point of time, details of every investor whose shares have been transferred from unclaimed suspense account, may be called from depository." shall be omitted. (iii) in sub-item (x), after letters, symbols, figures and words, "IEPF-1 or INV-1 or IEPF-1A" and before the symbol, ".", the word, letters, symbol and figure, "or IEPF-7" shall be inserted. 6. in the Principal Rules, for the Form No. IEPF-5, the following Form shall be substituted:- [F. No. 05/1/2021-IEPF] MANOJ PANDEY, Jt. Secy. Note: The principal rules were published in the Gazette of India vide number G.S.R. 854 (E), dated the 5^th September, 2016 and amended vide notification number G.S.R. 178(E) dated 28th February, 2017, G.S.R. 1267 (E) dated 13th October, 2017,....

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.... Folio No./ Type of share Number of shares Complete Demat Account Number from which transfer has been made to IEPF 6. Claim Details *Number of claims Folio No. Demat A/c No [भाग II –खण्ड 3 ( i ) ] भारत का राजपत्र : असाधारण Year wise details of securities / deposits for which the amount is claimed Туре of Type of holding Folio Demat No./Complete Amount of the account claim Financial Year to which claim relates Reason for non- receipt Claim number from which transfer has been made to IEPF 7. Refund Account Details Folio Principle Demat A/c No Interest Details of Bank account in which refund shall be credited Bank account number Bank Name Demat account number in which shares shall be credited IFSC Code Bank Branch 8 (a) *Copy of Aadhaar Card of the claimant and if joint holders are there, copy of Aadhar card of all joint holders Browse Browse (b) *Copy of Passport, OCI and PIO card in case of fo....