SCHEDULE - 25 - PROFORMA FOR SENDING RESPONSES TO SEBI - SEBI (Disclosure and Investor Protection Guidelines) 2000

SCHEDULE XXV [Clause 16.2.4.5(b)] PROFORMA FOR SENDING RESPONSES TO SEBI (i) The proforma in which companies shall send their responses to investor complaints is as specified below. (ii) The proforma shall be strictly adhered to, failing which the replies will not be updated. Sr. No. Company Ref. No. Type/Category Name of complainant Action taken in brief Date of action Despatch details Reg. No. Note: (a) Action taken in brief should indicate the action taken by the company to resolve the complaint. (b) Where the company has asked the investor to execute an indemnity bond, the company has to invariably furnish the proof of original despatch of refund orders / certificates / dividends / interest warrants / maturity amounts by giving date of despatch and Registration no. (c) In cases where further details are sought from the investor like Application No., Folio No., Bank Serial No., etc. and no response is forthcoming from the investor, the company is required to send at least two reminders by UCP over an interval of two months each from the despatch of first letter and intimate SEBI giving proof of postal despatch of such reminder letters along with one specimen copy of the reminders sent. Sample Example: Sr. No. Company Ref. No. Type/ category Name of complainant Action taken in brief Date of action Despatch details Reg. No. 1. 95/1/35808/ 01 IA XYZ Refund Order No. 2345678 31/12/94 3329 2. 95/1/24678/ 02 IA ABC Indemnity format sent Original R/O sent lost in postal transit 5/5/95 12/12/94 2684 3. 94/1/98356/ 09 IA LMN Bank Sr. Number asked on -----. Reminder I sent on -------. Reminder II sent on -------. Specimen enclosed with postal proof) 10/01/95 15/03/95 25/05/95 4. 94/1/12346/ 09 IIIB PQR Shares transferred 06/03/95 34566