Investor

 

To be a trusted, transparent and prompt service provider to the investors, conforming to the highest standards of compliance, confidentiality and professionalism in conduct, to meet the obligation towards investors in Indian capital markets.

 

• To maintain high standard of integrity in the conduct of business by fulfilling obligations in a prompt, ethical and professional manner.
• To comply with all regulatory requirements in a time bound manner
• To facilitate prompt service to investors by and through streamlining the process and harnessing technology
• To facilitate easy approach, communication and interface with investors so as to resolve their queries / grievances

 

• Providing details of allotment and clarification on allotment.
• Processing change in /up-dation of the KYC details of the investors for physical holdings like change of address/bank account details/ e-mail address /telephone/mobile/ nomination and PAN).
• Processing and updating investor holding/title change requests viz name deletion, transmission, transposition, issue of duplicate shares, dematerialization and rematerialisation of securities.
• Processing of other requests, viz., recording of declaration w.r.t. exemption / lower tax rates for TDS on dividend/interest, revalidation and reissue of dividend and interest instruments.
• Execution and intimation of other corporate actions viz., ESOPs, Dividend payment, Stock split, Bonus issue and Merger/Demerger activities.
• Communication of Rights issue entitlements.
• Communication of Buyback, exit offer, takeover made by the company/ acquirer, and the procedure to be followed by investor in respect of these issues
• Mandatory execution of transfer of shares and dividends to IEPF and transfer of undelivered share certificates to Suspense account.
• Process grievance received through mails and Letters and those through SCORES also.

 

• Receive all the benefits/ material information declared by the Company.
• Actively participate in the AGM / EGM of the company & E-voting events so as to be a part of the decision making of the Company’s business resolutions.
• In case of any grievances, approach RTA, Depository, Company, Stock Exchange or SEBI for resolution within prescribed timelines.

 Do's

• Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF.
• Follow up diligently and promptly if you have not receive allotment intimation/ certificate / dividend / interest etc.
• Ensure that your PAN is registered with the RTA for all your folios.
• Ensure nomination is registered for all your securities to smoothen the transmission.
• Ensure that all KYC details viz full postal address with PIN, mobile number, e-mail address etc. are updated to facilitate the RTA for sending communication.
• Ensure that correct and complete Bank details are recorded with RTA to facilitate prompt electronic credit of dividend / interest / redemption amounts and eliminate possibility of unclaimed amounts / underlying securities being transferred to IEPF.
• Promptly inform the RTA in writing and complete required formalities in case of loss of securities.
• Ensure that the documents provided for availing any investor service request are complete in all respects and keep copies of documents sent to the RTA.
• Monitor all corporate announcements pertaining to investments made.

 Dont's

• Do not keep your folios without PAN.
• Do not keep your folios without nomination
• Do not deal with unauthorized persons for any investor service requests such as change in / up-dation of address, e-mail address, mobile number and bank details.
• Do not share security details, viz. folio number, certificate number, distinctive number(s), bank details, specimen signature, KYC documents, etc. with unknown person(s).

 

Date	Reference Number	Circular
25/05/2023	SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/79	Model Tripartite Agreement
16/03/2023	SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37	Common and simplified norms for processing investor’s service
27/01/2023	SEBI/HO/OIAE/2023/03391	Awareness on availability of Dispute Resolution Mechanism at Stock Exchanges
25/05/2022	SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/70	Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates
18/05/2022	SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/65	Simplification of procedure and standardization of formats of documents for transmission of securities
25/01/2022	SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8	Issuance of Securities
26/11/2021	SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/67	Investor Charter and Disclosure