In-House RTA / STA
January 23, 2024
SEBI Communique on SEBI Circular dated November 03, 2021
Intimation to Physical security holders with respect to electronic payment of dividend/ Interest or redemption from April 01, 2024.
The Physical security holders whose folio(s) do not have PAN or Choice of Nomination or Contact details or Mobile Number or Bank Account details or Specimen Signature updated, shall be eligible for any payment including dividend, interest or redemption of such folios, only through electronic mode with effect from April 01, 2024.
SEBI Circular dated December 27, 2023
In terms of SEBI Circular No. SEBI/HO/MIRSD/POD-1/P/CIR/2023/193 dated December 27, 2023, it has been decided to extend the last date for submission of 'choice of nomination' for demat accounts and mutual fund folios to June 30, 2024 based on representations received from the market participants, for ease of compliance and investor convenience.
The provisions of the said SEBI Circular shall come into force with immediate effect.
November 17, 2023
SEBI Circular dated November 17, 2023 regarding freezing of folios
SEBI vide its Circular SEBI/HO/MIRSD/POD-1/P/CIR/2023/181 dated November 17, 2023 has done away with (or) deleted the provisions of freezing of folios and referring folios to the administering authority under the Benami Transactions (Prohibitions) Act, 1988 and/or Prevention of Money Laundering Act, 2002 as envisaged in SEBI Circular SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023 and SEBI Circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021.
SEBI Circular dated September 26, 2023
In terms of SEBI Circular No. SEBI/HO/MIRSD/POD-1/P/CIR/2023/158 dated September 26, 2023, In respect of Trading and Demat accounts, the following has been decided on the basis of representations received from the Exchanges, Depositories, Brokers' Associations and various other stakeholders:
2.1. Submission of 'choice of nomination' for trading accounts has been made voluntary as a step towards ease of doing business;
2.2. With respect to demat accounts, it has been decided to extend the last date for submission of 'choice of nomination' to December 31, 2023.
For physical security holders, on the basis of representations received from the Exchanges, Depositories, Brokers' Associations and various other stakeholders the last date for submission of PAN, Nomination, Contact details, Bank A/c details and Specimen signature for their corresponding folio numbers has been extended to December 31, 2023.
The provisions of the said SEBI Circular shall come into effect immediately in supersession of relevant provisions contained in various circulars issued by SEBI including Master Circulars.
SEBI Circular dated March 16, 2023
In terms of SEBI Circular No. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023, Investors holding securities in physical mode have to mandatorily furnish PAN, Nomination, Contact details, Bank A/c details and Specimen Signature for their corresponding folio numbers by submitting duly filled up forms, failing to update the said details by October 01, 2023, the respective folio's shall be frozen.
Frozen folios shall be referred by the RTA/ Listed Company to the administrating authority under the Benami Transactions (Prohibitions) Act, 1988 and/or Prevention of Money Laundering Act, 2002, if they continue to remain frozen as on December 31, 2025.
The provisions of the said SEBI Circular shall come into effect from April 01, 2023.
SEBI Circular dated January 25, 2022
In terms of SEBI Circular No. SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 dated January 25, 2022 on Issuance of Securities in dematerialized form in case of Investor Service Requests. Investors holding securities in physical mode have to submit duly filled up Form ISR - 4, for processing service request(s) as specified therein.
The provisions of the said SEBI Circular shall come in to effect from January 01, 2022.
Form ISR - 4 (Request for issue of Duplicate Certificate and other Service Requests) - Fillable Form
SEBI Circular dated November 3,2021 read with SEBI circular dated December 14, 2021
In terms of SEBI Circular No. SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655, dated November 03, 2021, read with SEBI Circular No. SEBI/HO/MIRSD/MIRSD RTAMB/P/CIR/2021/687, dated December 14, 2021, Investors holding securities in physical mode have to Register / change / up-date PAN, Nominee, Contact details (postal address, Mobile Number & E-Mail ), Bank Details etc., by submitting duly filled up Forms as given under, failing to update the said details by April 01, 2023, the respective folio's shall be frozen.
The provisions of the said SEBI Circular shall come in to effect from January 01, 2022.
Form ISR-1:
Request for Registering PAN, KYC Details or Changes Updation thereof
Form ISR-2:
Major mismatch in signature or Signature Card is not available
Form ISR-3:
Declaration Form for Opting-out of Nomination
Declaration Form for Opting-out of Nomination - Fillable Form
Form SH-13:
Nomination Form
Nomination Form - Fillable Form
Form SH-14:
Cancellation or Variation of Nomination
SEBI Circular dated November 26,2021
In terms of SEBI Circular No. SEBI/HO/MIRSD/MIRSD_
RTAMB/P/CIR/2021/670, dated November 26, 2021, SEBI has developed an Investor Charter for RTAs, inter- alia, detailing the services provided to Investors, Rights of Investors, various activities of RTAs with timelines, Dos and Don'ts for Investors and Grievance Redressal Mechanism.
Investor Charter - Registrars to an Issue and Share Transfer Agents (RTA's