Common and Simplified Norms for processing Investor’s Service request by RTA

Download Form No.

Updation Particulars

Mode of submission of documents to the RTA

ISR-1

For updating PAN, Address, Bank details, e-mail address, Mobile number, Demat Account details, Signature

1. In-Person Verification (IPV): by producing the originals to the authorized person of the RTA, who will retain copy(ies) of the document(s). (or)

2. In hard copy: by furnishing self-attested photocopy(ies) of the relevant document, with date. (or)

Through e-mail address already registered with the RTA, with e-sign of scanned copies of documents.

ISR-2

1. Minor mismatch in Signature

2. Major mismatch in Signature or its non-availability with the RTA

1. The RTA shall intimate the holder at the existing address, seeking objection, if any, within 15 days.

2. Banker’s attestation of the signature of the holder(s) and Original cancelled cheque with name of security holder printed on it or Bank Passbook or Bank Statement attested by the Bank.

ISR-3

Declaration form for Opting-out of Nomination

1. In hard copy: by furnishing self-attested photocopy(ies) of the relevant document, with date. (or)

2. Through e-mail address already registered with the RTA, with e-sign of scanned copies of documents.

Declaration to Opt-Out of nomination has to be furnished by the holder(s) separately for each listed company.
Applicability
Phase 1: January 1, 2022 onwards – Single account holders
Phase II: April 1, 2022 onwards – Joint account holders

Issuance of Securities in dematerialized form and processing of Investor services like

i. Issue of duplicate securities certificate;
ii. Claim from Unclaimed Suspense Account;iii. Renewal / Exchange of securities certificate;
iv. Endorsement; v
. Sub-division / Splitting of securities certificate;
vi. Consolidation of securities certificates/folios;
vii. Transmission;
viii. Transposition;

1. The securities holder/claimant shall submit duly filled up Form ISR-4 along with the documents/details specified therein.

For item nos. iii to viii the securities holder/claimant shall submit the original securities certificate(s) for processing of service requests.

SH-13

Nomination Form

Please submit the duly filled up Nomination Form to RTA either physically or through e-mail address already registered with the RTA, with e-sign. Nomination form to be filled in duplicate.

SH-14 & ISR-3

Cancellation of existing Nomination

Details of nomination details shall be furnished in hard copy or through electronic mode with e-signature, separately for each company.

SH 14

Change in existing Nomination

SEBI/HO/MIRSD/POD-1/P/CIR/2023/181 dated November 17, 2023