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Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates - SEBI - SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/70

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..... friendly, the procedure and documentation requirements for issuance of duplicate securities has been further simplified. The requirements are as specified below: 2.1 Submission by the security holder of copy of FIR including e-FIR/Police complaint/Court injunction order/copy of plaint (where the suit filed has been accepted by the Court and Suit No. has been given), necessarily having details of the securities, folio number, distinctive number range and certificate numbers. 2.2 Issuance of advertisement regarding loss of securities in a widely circulated newspaper 2.3 Submission of Affidavit and Indemnity bond as per the format prescribed by the Board. 2.3.1 There shall be no requirement of submission of surety for issuance of duplicate sec .....

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Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates - SEBI

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..... zed and defaced by the RTA / listed company and disposed of in the manner, authorized by the Board of the Company. 4. Defaced certificate shall be kept in custody of the Company/ RTA and disposed of in the manner as authorized by the Board of the Company. 5. The listed company shall take special contingency insurance policy from the insurance company towards the risk arising out of the requirements relating to issuance of duplicate securities in order to safeguard and protect the interest of the listed company. 6. As mandated vide SEBI Circular dated January 25, 2022, duplicate securities shall be issued in dematerialized mode only. 7. The common norms stipulated in SEBI Circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2 .....

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Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates - SEBI

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..... available on SEBI website at www.sebi.gov.in under the categories “Legal Framework → Circulars”. Yours faithfully, Aradhana Verma Deputy General Manager Market Intermediaries Regulation and Supervision Department Tel. No. 022-2644 9633 Email id - aradhanad@sebi.gov.in Annexure I. Operational Guidelines for processing investor’s service request for the purpose of issuance of duplicate securities The operational guidelines for processing of investor service requests for the purpose of issuance of duplicate securities are as under: a. The RTA/Issuer Companies shall use the format for: 1. Form A- Affidavit made on non-judicial stamp paper, for issuance of duplicate securities, 2. Form B - Indemnity Bond made on appropriat .....

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Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates - SEBI

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