Schedule - 2 - Documents to be submitted to the Authority to register transmission of securities - Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016

1 [ Schedule II Documents to be submitted to the Authority to register transmission of securities A. Documentary requirement for securities held in physical mode 1. Where the 27 [ securities ] are held singly with nomination: 1.1. Duly signed transmission request form by the 3 [ claimant ] . 1.2. 4 [ Copy of death certificate of security holder attested by claimant. ] 1.3. Self-attested copy of PAN card. 1.4. 5 [ The original share certificate is to be sent to the company and scanned copy to be attached with the form. ] 1.5. Any other government ID proof of the nominee. 2. Where the 27 [ securities ] are held singly without nomination, the following documents in addition to the documents specified at paragraph 1 are required: 2.1 Affidavit from all the legal heirs made on appropriate non-judicial stamp paper- to the effect of identification and claim of legal ownership to the securities: Provided that in case the legal heir(s) or claimant(s) is named in the succession certificate or probate of will or Letter of Administration, an Affidavit from such legal heir(s) or claimant(s) alone would be sufficient. 2.2 For value of securities up to 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application, one or more of the following documents: 6 [ (a) Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 28 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ]] (b) In the absence of the documents as mentioned at (a) above, (i). No objection certificate from all legal heir(s) executed by all the legal heirs of the deceased holder not objecting to such transmission (or) copy of Family Settlement Deed duly notarized and (ii). An Indemnity bond made on appropriate non-judicial stamp paper indemnifying the STA or Issuer Company. 2.3 7 [ For value of securities more than 5,00,000 (Rupees Five lakh only) per issuer company as on date of application: Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 29 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ] . ] 8 [ Explanation: (1) The Company may enhance the limit of ₹ 5,00,000 (Rupees Five lakh only) per issuer company in accordance with SCHEDULE VII of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, after taking approval of its Board of Directors and provide copy of Board resolution to Authority at the time of verification of claim. 30 [ (2) In cases where a copy of Will is submitted as may be applicable in terms of the Indian Succession Act, 1925 (39 of 1925), the same shall be accompanied with a notarised indemnity bond from the claimant to whom the securities are transmitted. (3) In cases where a copy of legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction is submitted, the same shall be accompanied with (a) a notarised indemnity bond from the legal heir or claimant to whom the securities are transmitted; and (b) a no objection certificate from all legal heirs other than claimants, stating that they have relinquished their rights to the claim for transmission of securities, duly attested by a notary public or by a gazetted officer. (4) The value of the securities as on the date of application shall be quantified by the applicant on the basis of 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 or the maturity value of the security, whichever is more. ]] 3. Where the 27 [ securities ] are held jointly with nomination: 3.1 Duly signed transmission request form by the 9 [ claimant ] . 3.2 10 [ Copy of death certificate of security holder attested by claimant. ] 3.3 Self-attested copy of PAN card. 3.4 11 [ The Original share certificate is to be sent to the company and scanned copy to be attached with the form. ] 3.5 Any other government ID proof of the nominee. 4. Where the 27 [ securities ] are held jointly without nomination, the following documents in addition to the documents specified at paragraph 3 are required: 4.1 Affidavit from all the legal heirs made on appropriate non-judicial stamp paper- to the effect of identification and claim of legal ownership to the securities. Provided that in case the legal heir(s) or claimant(s) is named in the succession certificate or probate of will or Letter of Administration, an Affidavit from such legal heir(s) or claimant(s) alone would be sufficient. 12 [ 4.2 Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 31 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ]] 13 [ 4.3 For value of securities more than 5,00,000 (Rupees Five lakh only) per issuer company as on date of application: Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 32 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ] . ] 14 [ Explanation: (1) The Company may enhance the limit of ₹ 5,00,000 (Rupees Five lakh only) per issuer company in accordance with SCHEDULE VII of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, after taking approval of its Board of Directors and provide copy of Board resolution to Authority at the time of verification of claim. 33 [ (2) In cases where a copy of Will is submitted as may be applicable in terms of the Indian Succession Act,1925 (39 of 1925), the same shall be accompanied with a notarised indemnity bond from the claimant to whom the securities are transmitted. (3) In cases where a copy of legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction is submitted, the same shall be accompanied with: (a) a notarised indemnity bond from the legal heir or claimant to whom the securities are transmitted; (b) a no objection certificate from all non-claimants, stating that they have relinquished their rights to the claim for transmission of securities, duly attested by a notary public or by a gazetted officer. (4) The value of the securities as on the date of application shall be quantified by the applicant on the basis of 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 or the maturity value of the security, whichever is more. ]] B. Documentary requirement for securities held in DEMAT mode 1. Where the 27 [ securities ] are held singly with nomination: 1.1. Duly signed transmission request form by the 15 [ claimant ] . 1.2. 16 [ Copy of death certificate of security holder attested by claimant. ] 1.3. Self-attested copy of PAN card. 1.4. 17 [ Copy of transaction statement duly attested by Claimant. ] 1.5. Any other government ID proof of the nominee. 2. Where the 27 [ securities ] are held singly without nomination, the following documents in addition to the documents specified at paragraph 1 are required: 2.1 Affidavit from all the legal heirs made on appropriate non-judicial stamp paper- to the effect of identification and claim of legal ownership to the securities. Provided that in case the legal heir(s) or claimant(s) is named in the succession certificate or probate of will or Letter of Administration, an Affidavit from such legal heir(s) or claimant(s) alone would be sufficient. 2.2 For value of securities upto 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company as on date of application, one or more of the following documents: 18 [ (a) Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 35 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ]] (b) In the absence of the documents as mentioned at (a) above, (i) No objection certificate from all legal heir(s) executed by all the legal heirs of the deceased holder not objecting to such transmission (or) copy of Family Settlement Deed duly notarized and (ii) An Indemnity bond made on appropriate non-judicial stamp paper indemnifying the STA or Issuer Company. 19 [ 2.3 For value of securities more than 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company as on date of application: Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 36 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ] . ] 20 [ Explanation: (1) The Company may enhance the limit of 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company in accordance with SCHEDULE VII of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, after taking approval of its Board of Directors and provide copy of Board resolution to Authority at the time of verification of claim. 37 [ (2) In cases where a copy of Will is submitted as may be applicable in terms of the Indian Succession Act, 1925 (39 of 1925), the same shall be accompanied with a notarised indemnity bond from the claimant to whom the securities are transmitted. (3) In cases where a copy of legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction is submitted, the same shall be accompanied with: (a) a notarised indemnity bond from the legal heir or claimant to whom the securities are transmitted; (b) a no objection certificate from all non-claimants, stating that they have relinquished their rights to the claim for transmission of securities, duly attested by a notary public or by a gazetted officer. (4) The value of the securities as on the date of application shall be quantified by the applicant on the basis of 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 or the maturity value of the security, whichever is more. ]] 3. Where the 27 [ securities ] are held jointly with nomination: 3.1 Duly signed transmission request form by the 21 [ claimant ] . 3.2 22 [ Copy of death certificate of security holder attested by claimant. ] 3.3 Self-attested copy of PAN card. 3.4 23 [ Copy of transaction statement duly attested by Claimant. ] 3.5 Any other government ID proof of the nominee. 4. Where the 27 [ securities ] are held jointly without nomination, the following documents in addition to the documents specified at paragraph 3 above are required: 4.1 Affidavit from all the legal heirs made on appropriate non-judicial stamp paper- to the effect of identification and claim of legal ownership to the securities: Provided that in case the legal heir(s) or claimant(s) is named in the succession certificate or probate of will or Letter of Administration, an Affidavit from such legal heir(s) or claimant(s) alone would be sufficient. 4.2 For value of securities upto 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company as on date of application, one or more of the following documents, namely:- 24 [ (a) Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 38 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ]] (b) In the absence of the documents as mentioned at (a) above, (i) No objection certificate from all legal heir(s) executed by all the legal heirs of the deceased holder(s) not objecting to such transmission (or) copy of Family Settlement Deed duly notarized and (ii) An Indemnity bond made on appropriate non-judicial stamp paper indemnifying the STA or Issuer Company. 25 [ 4.3 For value of securities more than 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company as on date of application: Succession certificate or probate of will or will or letter of administration or Decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) or any other Decree or Order of any Court or Tribunal 39 [ or legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction ] . ]] 26 [ Explanation: (1) The Company may enhance the limit of 34 [ Rs. 15,00,000 (rupees fifteen lakhs only), ] per issuer company in accordance with SCHEDULE VII of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, after taking approval of its Board of Directors and provide copy of Board resolution to Authority at the time of verification of claim. 40 [ (2) In cases where a copy of Will is submitted as may be applicable in terms of the Indian Succession Act, 1925 (39 of 1925), the same shall be accompanied with a notarised indemnity bond from the claimant to whom the securities are transmitted. (3) In cases where a copy of legal heir certificate issued by the revenue authority not below the rank of Tahsildar having jurisdiction is submitted, the same shall be accompanied with: (a) a notarised indemnity bond from the legal heir or claimant to whom the securities are transmitted; (b) a no objection certificate from all non-claimants, stating that they have relinquished their rights to the claim for transmission of securities, duly attested by a notary public or by a gazetted officer. (4) The value of the securities as on the date of application shall be quantified by the applicant on the basis of 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 or the maturity value of the security, whichever is more. ]] ************ NOTES:- 1. Inserted vide NOTIFICATION No. [F. No. 05/02/2019-IEPF] dated 14-08-2019 w.e.f. 20-08-2019 2. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as ₹ 2,00,000 (Rupees Two lakh only) 3. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as nominee 4. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as , Original or copy of death certificate duly attested. 5. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as Original share certificate(s). 6. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as , (a) Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 7. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as , For value of securities more than 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application: Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 8. Inserted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 9. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as nominee 10. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as , Original or copy of death certificate(s) of all the joint holders duly attested 11. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as Original share certificate(s). 12. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as 4.2 For value of securities upto 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application, one or more of the following documents: (a) Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925.(39 of 1925) (b) In the absence of the documents as mentioned at (a) above, (i). No objection certificate from all legal heir(s) executed by all the legal heirs of the deceased holder(s) not objecting to such transmission (or) copy of Family Settlement Deed duly notarized and (ii). An Indemnity bond made on appropriate non-judicial stamp paper indemnifying the STA or Issuer Company. 13. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as 4.3 For value of securities more than 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application: Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 14. Inserted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 15. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as nominee 16. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, Original or copy of death certificate duly attested 17. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, Copy of transaction statement duly certified by Depository Participant. 18. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, (a) Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. 19. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, 2.3 For value of securities more than 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application: Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 20. Inserted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 21. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as nominee 22. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, Original or copy of death certificate(s) of all the joint holders duly attested 23. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, Copy of transaction statement duly certified by Depository Participant. 24. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, (a) Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 25. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as, 4.3 For value of securities more than 2 [ ₹ 5,00,000 (Rupees five lakh only) ] per issuer company as on date of application: Succession certificate or probate of will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. (39 of 1925) 26. Inserted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 27. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, shares 28. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 29. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 30. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, (2) for the case where will is provided, following documents shall also be required: (a) Legal heirship certificate issued by Competent Authority; (b) No Objection Certificate from all legal heirs in favor of the claimant; (c) Affidavit from witness about confirmation of will wherever alive or death certificate of such witness; (d) Affidavit with regard to the will as last will and no matter is pending before any court with regard to such will; (e) Surety affidavit by at least two sureties with their PAN Card. 31. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 32. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 33. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, (2) for the case where will is provided, following documents shall also be required: (a) Legal heirship certificate issued by Competent Authority; (b) No Objection Certificate from all legal heirs in favor of the claimant; (c) Affidavit from witness about confirmation of will wherever alive or death certificate of such witness; (d) Affidavit with regard to the will as last will and no matter is pending before any court with regard to such will; (e) Surety affidavit by at least two sureties with their PAN Card. 34. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, 2 [ ₹ 5,00,000 (Rupees five lakh only) ] ₹ 5,00,000 (Rupees five lakh only) 35. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 36. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 37. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, (2) for the case where will is provided, following documents shall also be required: (a) Legal heirship certificate issued by Competent Authority; (b) No Objection Certificate from all legal heirs in favor of the claimant; (c) Affidavit from witness about confirmation of will wherever alive or death certificate of such witness; (d) Affidavit with regard to the will as last will and no matter is pending before any court with regard to such will; (e) Surety affidavit by at least two sureties with their PAN Card. 38. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 39. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 40. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, (2) for the case where will is provided, following documents shall also be required: (a) Legal heirship certificate issued by Competent Authority; (b) No Objection Certificate from all legal heirs in favor of the claimant; (c) Affidavit from witness about confirmation of will wherever alive or death certificate of such witness; (d) Affidavit with regard to the will as last will and no matter is pending before any court with regard to such will; (e) Surety affidavit by at least two sureties with their PAN Card.