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

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....urity holder of copy of FIR including e-FIR/Police complaint/Court 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 per....

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.... ii. Form B- Indemnity for issuance of duplicate securities (word/pdf) iii. Form C - Format of Letter of Confirmation (word/pdf) iv. Investor Service Request 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 pr....

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....aimant(s) to submit the demat request as above, in case no such request has been received by the RTA / Issuer Company. j. In case of non-receipt of demat request from the claimant(s) within 120 days of the date of issue of the Letter of Confirmation, the securities shall be credited to Suspense 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 ....

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....led to rights and benefits of the above mentioned securities. Deponent(s) (1) (2) Page 8 of 16 (3) GB भारतीय प्रतिभूति और विनिमय बोर्ड Securities and Exchange Board of India Solemnly affirmed at Deponent(s): X_ Signed before me Place: Date: Signature of the ✗ Signature of Notary 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 h....

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....stor Service Requests Name of the Company: We refer to the request received from you for issuance of securities in your name. We would like to inform you that the request has been approved as detailed below: Name of first holder & PAN Joint holder 1 & PAN Joint holder 2 & PAN Number of securities Folio Number Certificate numbers Distinctive numbers Lock-In Yes or No. If yes, lock-in from till (DD/MM/YYYY) As you may be aware, SEBI vide Gazette Notification no. SEBI/LAD-NRO/GN/2022/66 dated January 24, 2022, has mandated that the securities that are issued pursuant to investor service request shall henceforth be issued in demat 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 acco....

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....­à¥‚ति और विनिमय बोर्ड Securities and Exchange Board of India B. I/We request you for the following (tick ☐ relevant box) ☐ Issue of Duplicate certificate Claim from Unclaimed Suspense Account Replacement / Renewal / Exchange of Endorsement securities certificate Sub-division Splitting of securities ☐ Consolidation of Folios certificate Consolidation of Securities certificate Transmission Transposition (Mention the new order of holders here) C. I/We are enclosing certificate(s) as detailed below**: Name of the Issuer Company Folio Number Name(s) of the security 1. holder(s) as per the 2. certificate(s) Certificate numbers 3. ** Distinctive numbers Number & Face value of securities Wherever applicable / whichever details are available D. I. Document / details required for specific service request: ☐ Duplicate securities certificate Page 14 of 16 II. GB भारतीय प्रतिभूति और विà¤....