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Investor Service Request

SEBI vide its circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021 and circular no. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/687 dated December 14, 2021 has introduced common and simplified norms for processing investor’s service requests by Registrar and Share Transfer Agent (RTAs) and norms for furnishing PAN, KYC details and Nomination by members holding shares in physical form. The said norms/ procedural requirements were further simplified/ modified/ revised by the SEBI vide its circular no. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023 (“SEBI circular dated March 16, 2023”) to address the difficulties being faced by the investors regarding certain procedural aspects of the provisions and documentation required for processing investor service requests. The SEBI circular dated March 16, 2023 supersedes the earlier aforesaid circulars.

The key highlights of the circulars are as under:

All holders of physical securities of the Company are mandatorily required to furnish the following documents / details to the RTA i.e. KFin Technologies Limited (KFin):

  1. PAN
  2. Nomination
  3. Contact Details
  4. Bank Account details
  5. Specimen Signature

The detailed requirements are given in Annexure – A to the SEBI Circular dated March 16, 2023. Please refer below the link to access the SEBI Circular.

The holders of physical securities in Company shall submit form ISR-1 to KFin for updating PAN and other KYC details.

(As required by the Income Tax Authorities, members are requested to link PAN and Aadhaar by June 30, 2023, or any other date as may be specified by the Central Board of Direct Taxes, if not linked earlier, to avoid freezing of folio)

In case of mismatch in the signature of the holder in the records of KFin, the investor shall furnish original cancelled cheque and banker’s attestation of the signature as per form ISR-2.

The holders of physical securities in Company shall continue to use form SH-13 and SH-14 for declaration of nomination and change in nomination, respectively. However, in case the holders of physical securities in Company wants to opt-out of nomination, form ISR-3 shall be filed.

The holders of physical securities in Company are requested to ensure the above details are updated with KFin before October 01, 2023, since folios for which the above details are not available thereafter shall be frozen.

Form Description Download
Form ISR-1 Request For Registering Pan, KYC Details Or Changes / Updation Thereof
Form ISR-2 Confirmation of Signature of securities holder by the Banker
Form ISR-3 Declaration Form for Opting-out of Nomination by holders of physical securities in Listed Companies
Form ISR-4 Request for issue of Duplicate Certificate and other Service Requests
Form SH-13 Nomination Form
Form SH-14 Form for Cancellation or Variation of Nomination
Notice Notice to physical shareholders regarding availability of Dispute Resolution Mechanism at Stock Exchanges
SEBI Circular SEBI circular no. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023 with Annexure – A