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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 ..... xure A , after the expiry of 2 months from the 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... curities market. 12. This Circular is available on SEBI website at www.sebi.gov.in. 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 sou ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Despatch mode Refund Orders / ECS credit Instructions to all SCSBs for ASBA Applicants Allotment advice Certificate / demat credit Enclose certificate of the RTI, counter signed by the PILMB, confirming o Despatch of refunds, allotment letters certificates o ECS, demat credit and instructions to Self-Certified Syndicate Banks pertaining to all applicants, including NRIs. 8. Grievance redressal system: A note on the existing complaint redressal system followed by the Company/Registrar to the Issue highlighting a. Name, address, e-mail address phone number of Compliance officer b. Infrastructure c. Manpower ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ir 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... el. Board: +91-22-26449000 / 40459000 Fax : +91-22-26449019-22/40459019-22 Maharashtra SEBI - Northern Regional Office NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi - 110023 Tel. Board: +91-011-69012998 Haryana, Himachal Pradesh, Jammu and Kashmir, Ladakh, Punjab, Uttar Pradesh, Chandigarh, Uttarakhand and Delhi. SEBI - Southern Regional Office Overseas Towers, 7th Floor, 756-L, Anna Salai, Chennai - 600002 Tamil Nadu Tel. Board: +91-44- 28880222/ 28526686 Fax: +91-44 -28880333 Andhra Pradesh, Telangana, Karnataka, Kerala, Tamilnadu, Pondicherry and Lakshwadeep Minicoy Islands. SEBI - Eastern Regional Office L T Chambers, 3rd Floor, 16 Camac Street, Kolkata 700 017 Tel : +91-33-23023000 Fax: +91-33-22874307 Assam, Bihar, Manipur, Meghalaya, Nagaland, Orissa, West Bengal, Arunachal Pradesh, Mizoram, Tripura, Sikkim, Jharkhand and Andaman Nicobar Islands. SEBI Bhavan, Western Regional Office Panchvati 1st Lane, Gulbai Tekra Roa ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... s has been despatched more than 30 days ago. Copy of instruction to self- certified syndicate bank for unblocking (ASBA) B. Securities If Physical instrument sent If credited Electronically No. of units entitled No. of units allotted Reason for difference, if any. Certificate No. Distinctive No. Folio No. DPID, Client ID Date of credit Table II: Despatch details of Securities / Payment instrument If Physical instrument sent If credited Electronically 1. Due date for despatch 1. Due date for instruction. 2. Date of despatch 2. Date instruction given. 3. Mode of despatch 4. Despatch No. Table III: Documents/Information sought from the complainant: 1) Copy of letter sent to the investor seeking documents/information. 2) Tw ..... X X X X Extracts X X X X X X X X Extracts X X X X
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