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.

15. Ease of Doing Investments and Format for providing Nomination

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).

13. Online Resolution of Disputes in the Indian Securities Market

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