TaxTMI 
TaxTMI 
TaxTMI 
Streamlining the Process of Public Issues and redressal of Investor grievances
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.... delay in unblocking of application amounts by SCSBs and has prescribed certain compliance and reporting standards to be adopted by SCSBs. 4. The performance of SCSBs on timely unblocking of application amounts has been reviewed and based on the feedback received from market intermediaries, a new reporting format for Annexure IV of the March'21 Circular has been devised to capture the data of all ASBA applications unblocked by SCSBs and their corresponding date of actual unblock. SCSBs shall submit the Annexure IV of the March'21 Circular in the format prescribed in Annexure IV of this circular. 5. It is reiterated that the SCSBs shall continue to compensate the investors for delays in unblocking of application amounts as per the compensation clause provided in the March'21 Circular. 6. The compensation prescribed in the March'21 Circular shall be applicable to all ASBA applications processed by the SCSBs. 7. Paragraphs 13 and 14 of the March'21 Circular stand modified to the extent stated above. Payment of Processing Fee to SCSBs 8. To claim the processing fee, SCSBs shall make an application to the Merchant Bankers with a copy to the Registrar to the Issue in the format pre....
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....Manager +91-22-26449639 [email protected] ============= Document 1 Format for Annexure - IV Name of the IPO_ Banker to the Issue Registrar to the Issue CERTIFICATION OF COMPLIANCE BY SCSBS FOR COMPLETION OF UNBLOCK OF FUNDS ON THE NEXT WORKING DAY FROM THE FINALIZATION OF BASIS OF ALLOTMENT BY REGISTRAR TO THE ISSUE (BOA+1). Note: All SCSBs are required to submit to the Lead Managers and Registrar to the Issue a certificate as per the format provided hereunder by the end of closing hours of Bank Day on BOA+1. Upon receipt of this certificate, the Registrar to the Issue shall maintain a record of the same and the consolidated compliance of all SCSBs shall be provided by the Registrar to the Issue to Post Issue Lead Manager on BOA+1. The Post Issue Lead Manager shall provide the same to SEBI as and when it is sought. Format of certificate to be submitted by SCSBs for Unblocking of Application Monies 1. We, [Name of the Bank], hold a valid certificate of registration as a Banker to an Issue under the SEBI (Bankers to an Issue) Regulations, 1994. Our SEBI registration number is valid up to 2. The summary of applications processed in the Public Issue of is prov....
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....o the SCSB. 1. We, [Name of the Bank], hold a valid certificate of registration as a Banker to an Issue under the SEBI (Bankers to an Issue) Regulations, 1994. Our SEBI registration number is valid up to 2. We hereby submit our application for release of the processing fee payable to us amounting to Rs. We attach the workings relating to the aforementioned estimate of processing fee/selling commission. 3. We confirm that all unblocking of ASBA application amounts at our end is fully completed. We have enclosed a data file of all ASBA applications unblocked by us in the format specified below: Mode of ASBA application S. Issuer Applicant No. Name Name Application No. submission (Bank, Online, UPI (online), UPI (offline, if any) - as provided by Unblocki ng Amount (Rs.) Date of BOA+1 (in DD/MM/Y YYY format) Date of Actual Unblock (DD/MM/Y YYY) RTI) 6| Page 4. We further confirm that we have paid all applicable compensation relating to investor complaints in terms of the requirements of applicable SEBI circulars including SEBI circular dated March 16, 2021. We have enclosed a data file of all ASBA applications for which we have paid applicable ....
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....UPI Application Mode of ASBA Total application cumulative submission blocked S.No. Issuer Applicant Application Name Name (Bank, Online, UPI No. amount Date of receipt less the of complaint (online), original (DD/MM/YYYY) UPI (offline, application Date on which multiple amounts were blocked (DD/MM/YYYY) Date of Date of Actual Compensation payment of Unblock (DD/MM/YYYY) by SCSB (DD/MM/YYYY) Mode of payment of paid by SCSB Compensation Compensation (direct credit/ (Rs.) IMPS/ RTGS/ NEFT etc.) if any) - as amount (Rs.) provided by RTI) Schedule III - Format for provision of information on compensation for blocking more amount than the application amount Mode of ASBA application Date on which submission S.No. Issuer Applicant Application Name Name No. (Bank, Online, UPI (online), UPI (offline, Blocked Amount less Application Amount the funds to Date of if any) - as provided by RTI) (Rs.) Date of receipt the excess of Date of Actual Compensation payment of of complaint application Unblock paid by SCSB Compensation (DD/MM/YYYY) amount were (DD/MM/YYYY) (Rs.) by SCSB blocked (DD/MM/YYYY) Mode of payment of Compensat....