Regulation 39 - Issuance of Certificates or Receipts/Letters/Advices for securities and dealing with unclaimed securities - Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015

Issuance of Certificates or Receipts/Letters/Advices for securities and dealing with unclaimed securities. 39. (1) The listed entity shall comply with Rule 19(3) of Securities Contract (Regulations) Rules, 1957 in respect of Letter/Advices of Allotment, Acceptance or Rights, transfers, subdivision, consolidation, renewal, exchanges, issuance of duplicates thereof or any other purpose. (2) The listed entity shall 1 [ effect issuance of ] certificates or receipts or advices, as applicable, of subdivision, split, consolidation, renewal, exchanges, endorsements, issuance of duplicates thereof or issuance of new certificates or receipts or advices, as applicable, in cases of loss or old decrepit or worn out certificates or receipts or advices, as applicable 2 [ , in dematerialized form ] within a period of thirty days from the date of such lodgement. (3) The listed entity shall submit information regarding loss of share certificates and issue of the duplicate certificates, to the stock exchange within two days of its getting information. (4) The listed entity shall comply with the procedural requirements specified in Schedule VI while dealing with securities issued pursuant to the public issue or any other issue, physical or otherwise, which remain unclaimed and/or are lying in the escrow account, as applicable. ************** NOTES:- 1. Substituted vide Notification No. SEBI/LAD-NRO/GN/2022/66 dated 24-01-2022 before it was read as, issue 2. Inserted vide Notification No. SEBI/LAD-NRO/GN/2022/66 dated 24-01-2022