Standard Documents for Investors

  • 1. Processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination.

  • 2. Confirmation of Signature of securities holder by the Banker.

  • 3. Declaration Form for Opting-out of Nomination by holders of physical securities in Listed Companies.

  • 4. Nomination form Shareholders Form SH-13 and 14

  • 5. Circular – Common Norms and Compulsory KYC

  • 6. Clarification Circular

  • 7. SEBI Circular on Issuance of Securities in dematerialized form

  • 8. Form ISR-4 – Request for issue of Duplicate Certificate and other Service Requests.

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

  • 10. Dispute Resolution Mechanism through Arbitration at Stock Exchanges

  • 11. Modal Tripartite Agreement between the Issuer, Existing Share Transfer Agent and New Share Transfer Agent.

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    15. Ease of Doing Investments and Format for providing Nomination

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    12. SOP for dispute resolution under the Stock Exchange arbitration mechanism for disputes between a Listed Company and or RTAs and its Shareholder(s)Investor(s).

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    13. Online Resolution of Disputes in the Indian Securities Market

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    14. Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform.