Schedule - Form of the Annual Report - Investor Education And Protection Fund Authority (Form And Time Of Preparation Of Annual Report) Rules, 2018

Schedule Form of the Annual Report [see rule 3(1)] A. Introduction. - (i) Chairperson s statement; (ii) Objectives; (iii) Important achievements. B. Refund application received by the Authority. A brief narrative alongwith a tabular statement on Refund application received by the Authority as follows: - (i) Number of applications pending at the beginning of the year; (ii) Number of applications received during the year; (iii) Number of applications in which sanction for refunds were made; (iv) Number of applications in which rejections were made; (v) Number of applications closed pursuant to rule 7 of IEPF (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2016; (vi) Number of applications pending at the end of the year. C. Investor Awareness advocacy. - A brief narrative of activities undertaken under clause (b) of sub-section (3) of Section 125: - (i) Workshops, seminars and other interactions with public/experts/policy makers/regulatory bodies for creating awareness among investors; (ii) Details of each and every investor awareness advocacy; (iii) Papers and studies published for investor advocacy and for creating awareness of investors issues; (iv) Others. D. Administration and establishment matters . - (1) Report of the CEO; (2) Composition of the Authority; (3) Meetings of the Authority; (4) Details of Chairperson or Members appointed in the year and Members who demitted office, along with reasons for demitting office, in the year; (5) Organizational structure; (6) A tabular statement containing information on Personnel in Authority, category-wise: Sanctioned posts, posts filled up, vacancies, appointments made in the year along with a sub-table giving similar details for the posts reserved for various categories under the reservation policy of the Government; (7) Employee welfare measure, if any, beyond the regular terms and conditions of employment, undertaken by the Authority. E. Transfer of amounts to IEPF (maintained in CFI) . - (1) Amount transferred by Companies to IEPF from the year 2001 to the beginning of the year; (2) Transfer of amount to IEPF by the companies during the year; (3) Balance available in the IEPF at the end of the year; (4) Any other information. F. Transfer of amounts lying in IEPF to Senior Citizen Welfare Fund (SCWF). - (1) Amount transferred from IEPF to SCWF at the beginning of the year; (2) Transfer of amount from IEPF to SCWF during the year; (3) Total amount transferred to SCWF at the end of the year; (4) Any other information. G. Transfer of shares by Companies to the IEPF Authority. - A brief narrative alongwith a tabular statement on Refund application received by the Authority as follows: - (1) No. of shares transferred by Companies to IEPF at the beginning of the year; (2) No. of shares transferred by Companies to IEPF during the year; (3) No. of shares refunded by the IEPF during the year; (3) No. of shares available in the IEPF at the end of the year; (4) Any other information. H. Budget and accounts. - (1) Budget estimates and revised estimates, under broad categories; (2) Balance available in the Reserve Fund at the beginning of the year; (3) Allocation of funds from Consolidated Fund of India (CFI) during the year for carrying out activities under subsection (3) of section 125 of the Act; (4) Actual expenditures under broad categories; (5) Balance available in the Reserve Fund at the end of the year; (6) Any other information. I. RTI Act. (a) Number of applications received by CPIO/ACPIO seeking information under RTI Act; (b) Number of applications for which information has been provided by CPIO; (c) Number of applications pending with CPIO; (d)Number of appeals filed before First Appellate Authority against the order of CPIO; (e) Number of appeals which have been disposed of by First Appellate Authority; (f) Number of appeals pending with First Appellate Authority; (g) Number of applications /appeals not disposed of in the stipulated time frame. [F. No. 05/14/2017-IEPF] ANURAG AGARWAL, Jt. Secy.