A. Mandatory furnishing of KYC details and Nomination by shareholders holding physical securities/shares
Securities and Exchange Board of India (“SEBI”) vide its circulars Nos. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023, SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 3, 2021 read with Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/687 dated December 14, 2021 prescribed certain mandatory provisions with regard to “Common and Simplified Norms for processing investor’s service request by Registrar and Transfer Agents (“RTAs”) and norms for furnishing PAN, KYC details and Nomination, where the shares are held in physical form.
The folios wherein any of the documents/details as mentioned in para 4 of SEBI Circular dated March 16, 2023, are not available on or after October 1, 2023 shall be frozen by the RTA.
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Shareholders holding shares in physical form shall provide the following documents / details to the RTA of the Company:
1. Permanent Account Number (“PAN”).
2. Nomination (for all eligible folios) in Form No. SH-13 or submit declaration to “Opt-Out” in Form No. ISR-3.
Note: Any cancellation or change in nomination shall be provided in Form No. SH-14.
3. Contact details including address available with RTA with PIN code, Mobile Number, e-mail address.
4. Bank account details (bank name and branch, bank account number, IFS Code).
5. Specimen signature.
For data validation, it shall be mandatory to provide corresponding folio numbers along with mobile number and e-mail ID by the holder.
The above documents/details are to be provided to Company’s RTA i.e. Alankit Assignments Limited, Alankit House, 4E/2 Jhandewalan Extension, New Delhi-110 055 (India) or email at rta@alankit.com along with Name and folio numbers.
The shareholders can download the forms mentioned in SEBI circular as given below:-
| Sr. No. |
Form |
Purpose |
Download Form |
| 1. | Form ISR-1 | Request for Registering PAN, KYC details or Changes/updations thereof (only for securities held in physical form) |  |
| 2. | Form ISR-2 | Confirmation of Signature of securities holder by Banker | |
| 3. | Form ISR-3 | Declaration form for Opting-out of Nomination by holders of physical securities | |
| 4. | Form SH-13 | Nomination Form | |
| 5. | Form SH-14 | Cancellation or Variation of Nomination | |
| 6. | Form ISR- 5 | Request for Transmission of Securities by Nominee or Legal Heir | |
B. For Shares in Dematerialised Form request may be sent to the Depository Participant where the shareholder is having account for dematerialized shares.
C. Issuance of Securities in dematerialized form in case of Investor Service Requests - SEBI Circular dated 25th January 2022
| Sr. No. |
Form |
Purpose |
Download Form |
| 1. | Form ISR-4 |
Request for issue of Duplicate Certificate and other Service Requests | |