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TMI BlogMaster Circular on issuance of No Objection Certificate (NOC) for release of 1% of Issue AmountX X X X Extracts X X X X X X X X Extracts X X X X ..... he date of listing on the latest stock exchange which permitted listing. 3. The application for NOC shall be filed by the Post Issue Lead Merchant Banker (PILMB), provided that all issue related complaints have been resolved by the PILMB/ issuer, with the concerned designated office of SEBI under which the registered office of the issuer falls, as specified in Annexure - B. 4. On the date of application for NOC, the bank guarantees, if any, which form part of the 1% deposit by issuer shall have a residual validity of minimum of 2 months. 5. The PILMB shall submit a certificate confirming that all the Self-Certified Syndicate Banks (SCSBs) involved in Application Supported by Blocked Amount (ASBA) have unblocked ASBA accounts. The application for NOC shall be considered incomplete by SEBI if the application for NOC is not accompanied by a confirmation by PILMB that all the accounts in ASBA have been 'unblocked'. 6. SEBI shall issue the NOC after satisfying itself that the complaints arising from the issue received on SEBI Complaint Redress System (SCORES) against the issuer have been resolved to its satisfaction, the issuer has been submitting Action Taken Reports on the complai ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Yours faithfully, Vandana Rajesh Kumar Deputy General Manager Investor Grievance Redressal Division Office of Investor Assistance and Education Tel No. 022 26449646 Email id - [email protected] Annexure - A (to SEBI/HO/OIAE/IGRD/P/CIR/2022/0151 dated November 07, 2022) APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE DESIGNATED STOCK EXCHANGE Item Details 1. Issuer Company with ROC registration number 2. Designated Stock Exchange (DSE) 3. Post Issue Lead Merchant Banker (PILMB) 4. Registrar to the Issue (RTI) 5. 1% deposit details: a. Cash component b. Bank Guarantee c. Total d. Date of expiry of Bank Guarantee, if applicable (min 2 months remaining validity; enclose copy) 6. Issue details for which NOC is sought: a. Issue type & security issued b. Number of securities offered c. Offer price per security for different categories d. Issue size / amount raised e. Issue open and close date f. Subscription and allotment details Category Application details Allotment details Refund amount No. of (Rs.) No. of (Rs.) Appl. received Number of securities (Equity shares) Value (Rs.) Numb ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... y the company 12. Additional compliance requirement only if there is balance in the Refund Account / Securities Escrow account: a. Arrange to issue two reminders to all the applicants whose funds / securities are lying in the refund account / escrow account, with a gap of one month, and furnish information as per tables below. Also arrange to submit copies of two specimens of the letters sent, proof of their despatch and a fresh Refund Bankers certificate / DP statement, after completion of the exercise. Table I: Additional information where there is balance in the Refund Account Date of despatch Mode of despatch No. of cases Value Rs. 1st Reminder 2nd Reminder Balance after latest reminder Reasons for pending refund cases, if any, as on date: No. of cases Value Rs. a. Refund Orders despatched but not encashed b. Refund Orders returned undelivered c. Any other (give details) Total Table II: Additional information where there is balance in the Securities Escrow Account Date of despatch Mode of despatch No. of cases No. of shares 1st Reminder 2nd Reminder Balance after latest reminder Reasons for pending credit of shares, if any, as on ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Road, Ahmedabad - 380006, Gujarat Telephone: 079-26583633-35 Fax: 079-26583632 Gujarat, Rajasthan, Madhya Pradesh, Chhatisgarh, Goa, Diu, Daman and Dadra & Nagar Haveli. Annexure - C (to SEBI/HO/OIAE/IGRD/P/CIR/2022/0151 dated November 7, 2022) ACTION TAKEN REPORT - PROFORMA FOR SENDING RESPONSES TO SEBI FOR INVESTOR GRIEVANCES (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 status of the complaint will not be updated by SEBI. Sr. No. Complaint Ref. No. Type/ Category Name of complainant Date of action Action taken in brief * nature of action taken * instrument & despatch details (Table I & II) [or] correspondence & despatch details (Table III) [or] stay details ATR shall contain the following details / information / documents: * Where the company has made payment or despatched securities, then the ATR should contain details of instrument as mentioned in Table I along with details of despatch as mentioned in Table II. * Where the complaint is pending for redressal as additional documents / information has been ..... X X X X Extracts X X X X X X X X Extracts X X X X
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