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SCHEDULE - 24 - APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE DESIGNATED STOCK EXCHANGE - SEBI (Disclosure and Investor Protection Guidelines) 2000Extract 1 (SCHEDULE XXIV) [Clause 16.2.4.1 (b)] Clause 16.2.4.1 (b)] APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE DESIGNATED STOCK EXCHANGE (to be submitted to the Board on Issuer Company s Letter Head) 1. Issue details indicating: a) Name of the Company b) Details of Registrars c) Nature and size d) Date of closure e) No. of applications received and amount subscribed f) No. of times the issue was subscribed g) First and last date of despatch of original refund orders/cancelled stockinvests h) First and last date of despatch of allotment letters/certificate i) First and last date of sending security certificates to NRIs (Enclose RBI acknowledgement letter. If acknowledgement is not received, date of filing the documents with RBI along with a copy of a letter forwarded to RBI j) Mode of despatch of Refund orders/Allotment letters/ Certificates. k) Total amount transferred to the Refund Acount and balance outstanding as of latest date (Enclosed bank certificate) l) Name of the Designated Stock Exchange and the amount deposited as 1% deposit. 2. A note on the existing complaint redressal system followed by the Company/Registrar to the Issue highlighting a) Name address of Compliance officer; b) infrastructure c) manpower d) computer back-up e) level of attention and f) average time taken in solving the complaints 3. Performance in redressal of investor complaints a) Status of investor complaints as on a recent date against the company in the following format: Sr. No. Pending Source No. of Complaints Received Resolved (i) Directly (ii) SEBI (iii) Stock Exchange (iv) Investor Associations b) State briefly the nature of complaints indicating the approximate percentage break-up of various types c) Give reasons for pendency of complaints. 4. A copy of the letter from the concerned Designated stock exchange directing the company to obtain NOC from the Board. 5. A copy of the letter from the respective stock exchanges giving permission for trading in the shares of the issue for which NOC is sought (Give reasons for delay, if any, in listing of securities) 6. A Certificate from the concerned Designated stock exchange to the effect that underwriting/brokerage commission as well as Registrars/Lead Managers fees have been duly paid by the company. 7. Certificate from the Registrars countersigned by the post issue lead manager that the certificates to the NRIs have been dispatched 8. Any other information. CERTIFIED that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders/allotment letters/certificates are pending for despatch in respect of the issue. FOR COMPANY (Name Signature of Authorised Signatory) Place : Date : ********* 1 Substituted vide SEBI/CFD/DIL/DIP/Circular No. 11 dated August 14, 2003 for the following: SCHEDULE XXIV [clause 16.2.4.1 (b)] APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE REGIONAL STOCK EXCHANGE (to be submitted to the Board on Issuer Company s Letter Head) 1. Issue details indicating : a) Name of the Company b) Details of Registrars c) Nature and size d) Date of closure e) No. of applications received and amount subscribed f) No. of times the issue was subscribed g) First and last date of despatch of original refund orders/cancelled stock-invests h) First and last date of despatch of allotment letters/certificate i) 1 (First and last date of sending security certificates to NRIs (Enclose RBI acknowledgement letter. If acknowledgement is not received, date of filing the documents with RBI along with a copy of a letter forwarded to RBI) j) Mode of despatch of Refund orders/Allotment letters/ Certificates. k) Total amount transferred to the Refund Acount and balance outstanding as of latest date (Enclosed bank certificate) l) Name of the Regional Stock Exchange and the amount deposited as 1% deposit. 2. A note on the existing complaint redressal system followed by the Company/Registrar to the Issue highlighting a) Name address of Compliance officer; a) Infrastructure b) Manpower c) computer back-up d) level of attention and e) average time taken in solving the complaints 3. Performance in redressal of investor complaints a) Status of investor complaints as on a recent date against the company in the following format : Sr. No. Source No. of Complaints Received Resolved Pending (i) Directly (ii) SEBI (iii) Stock Exchange (iv) Investor Associations b) State briefly the nature of complaints indicating the approximate percentage break-up of various types c) Give reasons for pendency of complaints 4. A copy of the letter from the concerned Regional stock exchange directing the company to obtain NOC from the Board. 5. A copy of the letter from the respective stock exchanges giving permission for trading in the shares of the issue for which NOC is sought (Give reasons for delay, if any, in listing of securities) 6. A Certificate from the concerned Regional stock exchange to the effect that underwriting/brokerage commission as well as Registrars/Lead Managers fees have been duly paid by the company. 7. 1 (Certificate from the Registrars countersigned by the post issue lead manager that the certificates to the NRIs have been dispatched) 8. Any other information. CERTIFIED that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders/allotment letters/certificates are pending for despatch in respect of the issue. FOR COMPANY (Name Signature of Authorised Signatory) Place : Date : Prior to the above, sub-clause (i) of clause (1) and clause (7) were substituted vide SEBI Circular No. RMB (Compendium) Series Circular No. 1 (2001-2002) dated July 17, 2001.
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