Schedule - II - Fees - Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993

SCHEDULE II SECURITIES AND EXCHANGE BOARD OF INDIA (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENT) REGULATIONS, 1993 (Regulation 12) Fees 1 [ 2 [1. Every registrar to an issue and share transfer agent, at the time of grant of certificate of 3 [***] registration, shall pay registration fee as specified below: (a) A registrar to an issue and share transfer agent falling under category I, as specified in sub-regulation (2) of regulation 3, shall pay fee of 4 [six] lakh rupees; (b) A registrar to an issue and share transfer agent falling under category II, as specified in sub-regulation (2) of regulation 3, shall pay fee of 5 [two lakh] rupees. 1A. 6 [***] 21 [ 1AA. A registrar to an issue and share transfer agent who has been granted a certificate of registration, to keep its registration in force, shall pay registration fee, every three years from the sixth year, from the date of grant of certificate of registration, or from the date of grant of certificate of initial registration granted prior to the commencement of the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2016 as the case may be, as specified below: a. A registrar to an issue and share transfer agent falling under category I, as specified in sub-regulation (2) of regulation 3, shall pay a fee of two lakh and seventy thousand rupees; b. A registrar to an issue or share transfer agent falling under category II, as specified in sub-regulation (2) of regulation 3, shall pay a fee of ninety thousand rupees. ] 2. (a) The 8 [***] registration fee referred to in paragraph 1 shall be paid by the registrar to an issue and share transfer agent within fifteen days from the date of receipt of information from the Board. 9 [(aa) The fee referred to in paragraph 1A shall be paid by the registrar to an issue and share transfer agent within a period of three months before completion of the period of three years from the date of grant of certificate of 10 [***] registration, or within a period of three months from the date of notification of these regulations, as the case may be.] 11 [ 19 [ (b) The fee referred to in paragraph 1AA shall be paid by the Registrar to an issue and Share Transfer Agent one month before the expiry of the block for the which fee has been paid. ] 12 [2A. The non-refundable fee payable along with an application for registration under sub-regulation (1A) of regulation 3 or an application for 13 [permanent registration under sub-regulation (1) or sub-regulation (2) of regulation 8A] shall be a sum of 14 [twenty] thousand rupees.] 20 [ 3. The fee specified in paragraphs 1, 1AA and 2A shall be payable by the Registrar to an Issue and Share Transfer Agent by way of direct credit in the bank account through online payment using SEBI payment gateway. ] ************** NOTES:- 1 Substituted for paragraphs 1, 2 and 3 by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 1999, w.e.f. 30-9-1999. Earlier paragraph 3 was substituted by the SEBI (Payment of Fees) Amendment Regulations, 1995, w.e.f. 28-11-1995. 2 Substituted for paragraph 1 by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. Prior to its substitution, paragraph 1 read as under: (1) Every registrar to an issue and share transfer agent shall pay registration fees as specified below: (a) A registrar to an issue and share transfer agent falling under Category I as specified in sub-regulation (2) of regulation 3, shall pay a sum of [three lakh rupees] at the time of the grant of certificate by the Board and pay renewal fee of [one lakh and fifty thousand rupees] every three years from the fourth year from the date of initial registration. (b) A registrar to an issue or share transfer agent falling under Category II specified in sub-regulation (2) of regulation 3, shall pay a sum of [one lakh rupees] at the time of the grant of certificate by the Board and pay renewal fee of [fifty thousand rupees] every three years from the fourth year from the date of initial registration. 3 The word initial was omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 4 Substituted for four by the SEBI (Payment of Fees) (Amendment) Regulations, 2014, w.e.f.23- 5-2014. 5 Substituted for one lakh thirty three thousand and three hundred by the SEBI (Payment of Fees) (Amendment) Regulations, 2014, w.e.f.23-5-2014 6 Omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to omission Paragraph 1A read as under: A registrar to an issue and share transfer agent referred to under sub-regulation (3) of regulation 8 shall pay fee for the remaining period of two years on pro rata basis of the fee prescribed under paragraph 1AA, as applicable to their respective class. 7 Substituted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to omission Paragraph 1AA read as under: A registrar to an issue and share transfer agent who has been granted a certificate of permanent registration, to keep its registration in force, shall pay registration fee, every three years from the sixth year from the date of grant of certificate of initial registration, or from completion of the period of renewed certificate of registration, as the case may be, as specified below: a. A registrar to an issue and share transfer agent falling under category I, as specified in sub-regulation (2) of regulation 3, shall pay a fee of 65[two lakh and seventy] thousand rupees; b. A registrar to an issue and share transfer agent falling under category II, as specified in sub-regulation (2) of regulation 3, shall pay a fee of 65[ninety] thousand rupees. Prior to above, the words two lakh and seventy were substituted for one lakh and fifty by the SEBI (Payment of Fees) (Amendment) Regulations, 2014, w.e.f.23-5-2014. 8 The word initial was omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 9 Inserted, by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 10 The word initial was omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 11 Substituted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. Prior to substitution paragraph (b) as substituted by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011 read as under: (b) The fee referred to in paragraph 1AA shall be paid, at the time of grant of permanent registration, within fifteen days from the date of receipt of intimation from the Board and thereafter the fee shall be paid three months before expiry of the block for which fee has been paid. Prior to above, paragraph (b) was substituted, by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. Prior to its substitution, paragraph (b) read as under: (b) The renewal fee referred to in paragraph 1, shall be paid within 15 days from the date of receipt intimation from the Board disposing of the application for renewal made under sub-regulation (1) of regulation 9. 12 Inserted, by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2006, w.e.f. 7-9-2006. 13 Substituted for renewal of registration under sub-regulation (1A) of regulation 9 by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 14 Substituted for ten by the SEBI (Payment of Fees) (Amendment) Regulations, 2014, w.e.f.23- 5-2014 15 Substituted for paragraph 1 by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2006, w.e.f. 7-9-2006. 16 Substituted for the word and figures 1 and 2A by the SEBI (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2011, w.e.f. 5-7-2011. 17 The words 1A omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 18 Inserted by the SEBI (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017, w.e.f. 6-3-2017 19. Substituted vide Notification No. SEBI/LAD-NRO/GN/2021/23 dated 05-05-2021 before it was read as (b) The fee referred to in paragraph 1AA shall be paid by the Registrar to an issue and Share Transfer Agent three months before expiry of the block for which fee has been paid. 20. Substituted vide Notification No. SEBI/LAD-NRO/GN/2021/23 dated 05-05-2021 before it was read as 3. The fees specified in 15 [paragraph 16 [1, 17 [***] 1AA and 2A] shall be payable by the Registrar to an Issue and Share Transfer Agent 18 [by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or] by a demand draft in favour of Securities and Exchange Board of India payable at Mumbai or at the respective regional office.] 21. Substituted vide Notification No. SEBI/LAD-NRO/GN/2023/112 dated 09-01-2023 before it was read as, 1AA. 7 [A registrar to an issue and share transfer agent who has been granted a certificate of registration, to keep its registration in force, shall pay registration fee, every three years from the sixth year, from the date of grant of certificate of registration or from the date of grant of certificate of initial registration granted prior to the commencement of the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2016 as the case may be, as specified below:]