TaxTMI 
TaxTMI 
Streamlining the Process of Public Issues and redressal of Investor grievances
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....melines for certain provisions of the Circular were deferred. Redressal of Investor grievances 3. The Circular provided a mechanism of compensation to investors for 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. Pay....
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....Board of India Act, 1992. 16. This circular is available on SEBI website at www.sebi.gov.in under the categories "Legal Framework" and "Issues and Listing". Yours faithfully, Vandana Joglekar Deputy General 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, [Nam....
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....BASIS OF ALLOTMENT (BOA) BY REGISTRAR TO THE ISSUE. Note: In order to claim the processing fee, all SCSBs are required to submit to the Merchant Bankers, with a copy to Registrar to the Issue, an application as per the format provided hereunder (complete with requisite information mentioned herein) not later than 30 days from BOA. Format of application to be submitted by an SCSB to Merchant Bankers for release of Processing Fee payable to 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, ....
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.... submission withdrawal/ Date of S.No. Issuer Applicant Application Name Name No. Online, UPI (Bank, Application Date of receipt Amount of complaint deletion is placed in (online), UPI (offline, (Rs.) (DD/MM/YYYY)| Stock Exchanges Date of Actual Compensation payment of Unblock paid by SCSB Compensation (DD/MM/YYYY) (Rs.) by SCSB (DD/MM/YYYY) Mode of payment of Compensation (direct credit/ IMPS/ RTGS/ NEFT etc.) if any) - as provided by RTI) Bidding Platform (DD/MM/YYYY) Schedule | Format for provision of information on compensation for blocking of multiple amounts for the same 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....