Schedule IIIInserted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2019 dated 14.08.2019 w.e.f., 20.08.2019. To view the Notification, Click Here.
Documents to be submitted to the Authority in case of loss of securities held in physical mode.
1. Self attestedSubstituted by Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2021 dated 09.11.2021. To view the notification, Click Here Notarised copy of FIR/ Police Compliant containing information of security holder, holding details, folio number and distinctive numbers of share certificate if the market value of the shares is greater than five lakh rupees.Inserted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here.
2.Omitted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. Surety Affidavit of value equal to market value that of shares as on date of executionOmitted by Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2021 dated 09.11.2021. To view the notification, Click Here along with his Proof of identity like Pan Card of sureties duly attested by Notary.
3. Indemnity bond by security holder on a non-judicial stamp paper of requisite value duly attested by Notary Public by the person, in whose name the original share certificate are being issued that he has not sold / disposed off the involved securitiesSubstituted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. shares or acted in any manner by which any interest of third party would have been created.
4. Copy of advertisement regarding loss of securities in a widely circulated newspaperSubstituted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. issued in at least one English language national daily newspaper having nationwide circulation and in one regional language daily newspaper published in the place of registered office of company, if the market value of the securitiesSubstituted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. shares is greater than Rs. 5,00,000Substituted by Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2021 dated 09.11.2021. To view the notification, Click Here Rs 10,000.
Explanation I:Inserted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. A foreign national or non-resident Indian, in lieu of documents mentioned in item 1, shall be permitted to provide self-declaration of securities lost or misplaced or stolen which shall be duly notarised or apostilled or consularised in their country of residence, along with self-attested copies of valid passport and overseas address proof.
Explanation II:Inserted vide the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2024 dated 09.09.2024. To view the Notification, Click Here. The value of the securities as on the date of application shall be quantified by the applicant based on the closing price of such securities at any one of the recognised stock exchange a day prior to the date of such submission in the application, for listed securities and for unlisted securities, the value shall be quantified basis on the face value of the maturity value of the securities, whichever is more.