SEBI vide its circular SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021 has introduced common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination. Key highlights of the circular are as under:
All holders of physical securities of the Company are mandatorily required to furnish the following documents / details to the RTA i.e. KFin Technologies Limited (KFin):
- PAN
- Nomination
- Contact Details
- Bank Account details
- Specimen Signature
- Investors shall submit form ISR-1 to KFin/RTA for updating PAN and other KYC details.
- Investors shall submit form ISR-2 to KFin/RTA for updating & confirming their signatures.
- Investors shall submit form SH-13 to KFin/RTA for declaration of nomination.
- Investors shall submit form SH-14 to KFin/RTA for cancelation or variation in nomination.
- Investors shall submit form ISR-3 to KFin/RTA for opt-out of nomination.
- Investors shall submit form ISR-4 to KFin/RTA for issuance of duplicate share certificate and other services.
- Investors shall submit Form A to KFin/RTA as Affidavit – cum – Indemnity for issuance of duplicate share certificate.
| Form | Description | Download |
|---|---|---|
| Form ISR-1 | Request for Registering PAN, KYC Details or Changes / Updation Thereof |  |
| Form ISR-2 | Confirmation of Signature of securities holder by the Banker | |
| Form SH-13 | Nomination Form | |
| Form SH-14 | Cancellation Or Variation Of Nomination | |
| Form ISR-3 | Declaration Form for Opting-out of Nomination by holders of physical securities in Listed Companies | |
| Form ISR-4 | Request For Issue Of Duplicate Certificate And Other Service Requests | |
| Form A | Affidavit – Cum – Indemnity for issuance of duplicate securities | |