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Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’ - SEBI - SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/687

Extract

..... AN, KYC details and Nomination. 2. Based on the representations received from the Registrars Association of India (RAIN), it has been decided to provide clarity on certain provisions and on the applicability of the aforementioned circular. The said clarifications are given in Annexure to this circular. 3. All other provisions mentioned in the circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021 shall remain unchanged. 4. Stock Exchanges and Depositories are advised to: a) make necessary amendments to the relevant bye-laws, rules and regulations, operational instructions, as the case may be, for the implementation of the above circular; and b) bring the provisions of this circular to the notice of their constituents and .....

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Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’ - SEBI

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..... livered, RTA shall advise the investor to obtain the signature verification by the Banker so as to process the request. c. In case of an objection, the RTA, after removing the objection, shall advise the Investor to furnish signature verification by the Banker along with any of the documents as detailed in Para 2.3 a) of the Circular. (ii) Major mismatch in signature or Signature Card is not available (Para 2.2) The holder / claimant shall furnish original cancelled cheque with name of the security holder printed on it / Bank Passbook / Bank Statement attested by the Bank, and Banker’s attestation of the signature as per Form ISR-2. (iii) Mismatch in name (Para 2.3) Driving license in Smart Card form, Book form or copy of digital form .....

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Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’ - SEBI

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..... KYC details across all folios of the holder, maintained by the RTA (Para 2.9) In this regard, it is clarified as under: (a) RTA shall update the folio(s) of the holder with the information on 1) present address, 2) bank details, 3) E-mail id and 4) mobile number from the details available in the Client Master List (CML), if the holder / claimant provides the CML. (b) Details which are already available with the RTA are to be overwritten on specific request received from the investor as per the authorization clause given in Form ISR-1 (pdf) (Word File). (c) In the normal course, only details which are not available for the physical folio in RTA database, shall be updated from the demat account details. (vii) Mode for providing documents / d .....

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Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’ - SEBI

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