Norms for processing investor’s service requests
As an on-going measure to enhance the ease of doing business for investors in the securities market, the following norms, shall be applicable;
- Common and simplified norms for processing any service request from the holder, pertaining to the captioned items, by the RTAs
- Electronic interface for processing investor’s queries, complaints and service request
- Mandatory furnishing of PAN, KYC details and Nomination by holders of physical securities
- Freezing of folios without valid PAN, KYC details and Nomination
- Compulsory linking of PAN and Aadhaar by all holders of physical securities
Form for availing investor services
The form ISR-1 is applicable for all requests to register PAN, KYC details or changes / update thereof for securities held in physical mode - Form ISR-1
Update of signature of securities holder
For updating the signature of the securities holder, the holder / claimant shall furnish original cancelled cheque and banker’s attestation of the signature as per Form ISR-2.
It is mandatory for all holders of physical securities in listed entity to furnish PAN and nomination details to the RTA. The details of nomination shall be furnished either through hard copy or electronic mode.
- For nomination as provided in the Rules 19 (1) of Companies (Share capital and debenture) Rules, 2014 - Form SH - 13
- Declaration to opt out – Form ISR 3
- Cancellation of nomination by the holder(s) – Form SH - 14
- Change of Nominee – Form SH - 14