Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates

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.... injunction order/copy of plaint (where the suit filed has been accepted by the Court and Suit No. has been given), necessarily having details of the securities, folio number, distinctive number range and certificate numbers. 2.2 Issuance of advertisement regarding loss of securities in a widely circulated newspaper 2.3 Submission of Affidavit and Indemnity bond as per the format prescribed by the Board. 2.3.1 There shall be no requirement of submission of surety for issuance of duplicate securities 2.4 There shall be no requirement to comply with Para 2.1 and 2.2 of this circular, if the value of securities as on the date of submission of application, along with complete documentation as prescribed by the Board does not exceed Rs.5 Lakhs. 2.5 The applicant shall quantify the value of the securities on the basis of the closing price of such securities at any one of the recognized stock exchanges a day prior to the date of such submission in the application. 2.6 An overseas securities holder, in lieu of documents mentioned in Para 2.1 of this circular, shall be permitted to provide self-declaration of the security certificates lost/misplaced/stolen which shall be duly no....

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....quest Form - 4 (ISR 4)(word/pdf) 10. The RTAs/ listed company shall strictly adhere to the formats and documentation specified through this Circular for all service requests related to issuance of duplicate securities. 11. The Stock Exchanges are advised to bring the provisions of this circular to the notice of listed companies and also to disseminate the same on their websites. 12. This Circular is being issued to protect the interests of investors in securities and to promote the development of, and to regulate the securities market in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992. This Circular is available on SEBI website at www.sebi.gov.in under the categories "Legal Framework → Circulars". Yours faithfully, Aradhana Verma Deputy General Manager Market Intermediaries Regulation and Supervision Department Tel. No. 022-2644 9633 Email id - [email protected]   Annexure I. Operational Guidelines for processing investor's service request for the purpose of issuance of duplicate securities The operational guidelines for processing of investor service requests for the purpose of issuance of duplic....

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....uspense Escrow Demat Account of the Issuer Company. ============= Document 1 GB भारतीय प्रतिभूति और विनिमय बोर्ड Securities and Exchange Board of India FORM-A AFFIDAVIT [For issuance of duplicate securities] Note: This affidavit is to be executed in the presence of a Public Notary [To be submitted in non-judicial stamp paper of appropriate value] I/We, Son/daughter of follows. having Permanent Account No (s) residing at _do hereby solemnly affirm and state on oath as 1. That I/We, shareholders ") hold the following in ("all the _(number of) securities under Folio no. (name of the company) in my our name as single holder / joint 1) 2) 3) holder: Company Folio No. Name No. of securities held Security Certificate Distinctive Nos. No. 2. I/We From Το further swear / solemnly declare that I/ we am/are applying for issue of duplicate certificate(s) to me/us on the ground that the original security(ies) certificate(s) has/have been misplaced / not found by me/us, despite a diligent search made by me/u....

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....with Official Seal of Notary & Regn. No. Page 9 of 16 GB भारतीय प्रतिभूति और विनिमय बोर्ड Securities and Exchange Board of India Note: Form-B INDEMNITY [For issuance of duplicate securities] This indemnity is to be executed in the presence of a Public Notary I Gazetted Officer [To be submitted on non-judicial stamp paper of appropriate value] I/We, Son daughter oath as follows. having spouse residing of at Permanent Account No (s) _do hereby solemnly affirm and state on 1. That l/we, am/are the sole/joint holder/s of the Securities in following folios. I/We request you to issue duplicate certificate(s) for securities, as detailed below in my/our name(s): Name Company of the Certificate No.** Distinctive No.* Folio No. No. ** ** and value of securities held Face 1 2 3 4 **In case of non-availability of Certificate Nos./Distinctive Nos./ Folio nos., security holder shall obtain the same from RTA. 2. That the above securities were acquired by me/us for valuable consideration out of my/our own investme....

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....t mode only and hence the security certificates (wherever applicable) are retained at our end. Accordingly, within 120 days of this letter, please request your Depository Participant (DP) to demat these securities using the Dematerialization Request Form (DRF). Please fill the DRF with the details mentioned in this letter, sign it and present this letter in original to your DP along with the DRF for enabling your DP to raise a Demat Request Number (DRN). In case you do not have a demat account, kindly open one with any DP. Please note that you can open Basic Service Demat Account at minimal / nil charges. Please note that this letter is valid only for a period of 120 days from the date of its issue within which you have to raise demat request with the DP as above. Any request for processing demat after the expiry of aforesaid 120 days will not be entertained and as per the operating guidelines issued by SEBI, the subject securities shall be transferred to a Suspense Escrow Demat Account of the Company. Thanking you, Yours faithfully, For ABCD Limited (RTA) Authorized Signatory Page 12 of 16 GB भारतीय प्रतिà....