DFL Procedure
DFL Procedure
DFL Procedure
Folio No:
This is with reference to Letter with regard to non receipt of split share certificate.
In this connection, we request you to make an application by submitting the following documents for
issue of duplicate Share Certificate.
As per duplicate share certificate, we request you to comply with the following procedure for issue of
Duplicate share certificate in lieu of original certificate(s) reported
Lodge a complaint with Police Station (Physical or online) and submit a Copy of FIR in original
(mentioning unit name, folio no, share certificate(s), distinctive no(s) and no. of lost shares) or
attested. Please note that FIR should have clear impression of rubber stamp of the concerned
Police Station (if the market value of the shares are more than Rs.5.00 lacs and above).
Execute Indemnity & Affidavit on a non-judicial stamp paper of the Value of Rs.500/- & Rs.100/-
duly attested by Notary Public/Special Executive Magistrate respectively as per the proforma
enclosed. Affidavit should be attested by notary with appropriate notarial stamps affixed
together with the seal and the registration no of the notary.
Stamp paper must be purchased only in the name of the executor .i.e., registered shareholder.
Folio No:
This is in reference to your Letter with regard to transmission of shares held in the name of Late Mr
OM PRAKASH KHARE As per transmission of shares is concerned, we require the following documents.
This is with reference to your letter dated nil, regarding the aforesaid subject matter.
In this connection, we express our deep condolence to you and to your family members and request you
to comply with the following procedure for transmission of shares in favor of you.
2.Indemnity Rs-100/-Bond and Affidavit Rs-20/-duly filled (each legal heir) & notarized (pro forma
enclosed)
3. Original death certificate or copy of death certificate should be attested by the nominee/claimant
subject to verification with the original or copy of death certificate duly attested by a notary public or by
a gazetted officer
4. Attested copy of PAN card of claimant (s). It is mandatory as per SEBI Norms vide circular No.
MRD/Dop/Cir-05/2007.
5. No objection letter from other legal heirs on Rs. 50/- stamp paper
(proforma enclosed.) If Applicable, along with their Identity proofs.
8. Copy of Address proof i.e., AADHAR Card or Passport or Driving License or Voter ID of claimant.
9. Request letter duly signed by Claimant(s) for the purpose.
10. ISR 1,ISR 2,ISR 5, and SH13 forms as per SEBI circular No.
SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 03, 2021 - (proforma enclosed).
CHANGE OF SIGNATURE:
In this regard, we are not acceding to your request for change of signature
and request you to provide us the following documents.
1) Copy of Address proof i.e., AADHAR Card or Passport or Driving License duly
attested by Notary.
2) Copy of PAN card duly attested by notary.
3) Affidavit for Rs.100/- non judicial stamp paper (Specimen is attached)
4) Signature of holder(s) should be attested by the nationalized Banker along
with holder Bank details, Designation of attested, name, official stamp and
code.
IPO verification:
In this regard, we would like to inform you that the IPO application is
verifying for Nominee confirmation and revert to you shortly with status.
Kindly bear with us till such time.
Electronic DP request:
Sub : DP Change of Address/Bank Mandate.
Ref : Folio No. 1304140001989747
This is with reference to your letter nil regarding above cited subject.
In this connection, we would like to inform that you have been holding the
shares in electronic form. Hence, we request you to contact your DP
(Depository Participant)where you have the demat account for any changes like
change of Address, Change of Bank details, Change of name, ECS/PAN etc.
CORRECTION OF NAME
5. ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
Nominee updation:
Sub : Registration of Nominee(s)
Sub: Application to the IEPF Authority for claiming unpaid amounts and
shares out of Investor Education and Protection Fund (IEPF)
Hence we returning the IEPF FORM No- 5, and we request you to re-
lodged same along with complete documents for further processes.
On receipt of the same we shall do the needful.
We refer to your letter on the captioned subject and noted that share
certificates held by you under the above folio no….. are missing / lost by
you. In order to enable us to issue duplicate share certificate/s as per your
request, you are advised to submit following documents:
6. ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
Please note that in the event of the original share certificates being
received by the Company for transfer before the duplicate share certificates
are issued, you have to submit a copy of an injunction order obtained from a
Court of competent jurisdiction or copy of a plaint along with confirmation
that the suit filed has been accepted by the court which should necessarily
mention the certificate / distinctive nos.
Please note further that you have to submit all documents mentioned under
Sr.No.1 & 2 above accompanied by a letter duly signed by you as per the
specimen signature registered with the Company. Incomplete documents received,
if any, will be returned to you without taking any action from our end.
Note: We request to you release the paper notification at your end and request
you to forward us the scanned copies of the paper cuttings along with other
duplicate documents for further action at our end (specimen enclosed)
INSTRUCTION SHEET FOR FILLING THE INDEMNITY BOND AND AFFIDAVIT FOR ISSUE OF
DUPLICATE SHARE CERTIFICATE(S)
Kindly ensure before submitting the Indemnity Bond & Affidavit to the Company
that:
1) Indemnity Bond and Affidavit has been executed as per the draft sent by
the Company.
2) As per the latest amendments to the Stamp Act, Indemnity Bond is
required to be executed on stamp paper of Rs. 500/- and Affidavit on
non-judicial stamp paper of Rs.100/- , respectively.
6) First holder as well joint holders if any should sign Indemnity Bond and
Affidavit as per the signature registered with the Company.
*********
Transfer of shares :
Change of name:
6) Request letter duly signature by holder along with old and new signatures.
8)ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
Deletion of name:
In this connection, we express our deep condolence to you and to your family
members and request you to comply with the following documents and the
following documents for Deletion of name in your favor.
9. ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
Note: We find that your signature affixed on the request letter differs from
the specimen signature in our records. We request you to furnish fresh
signature duly attested by your Bank Manager by mentioning your account number
held with the Bank and an affidavit as per the format enclosed (to be executed
on Rs.100/- Non Judicial Stamp Paper).
In this connection, we express our deep condolence to you and to your family
members and request you to comply with the following documents and the
following documents for transmission of shares in your favor.
This is with reference to your letter dated nil, regarding the aforesaid
subject matter.
In this connection, we express our deep condolence to you and to your family
members and request you to comply with the following procedure for
transmission of shares in favor of you.
1 Indemnity Bond and Affidavit duly filled & notarized (pro forma enclosed)
3. Surety form to be executed by the same person who will sign on the
indemnity bond as surety. (Format enclosed).
8. No objection letter from other legal heirs on Rs. 50/- stamp paper
(proforma enclosed.) If Applicable, along with their Identity proofs.
13. ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
On receipt of the same we shall do the needful.
This is with reference to your email regarding the aforesaid subject matter.
In this connection, we express our deep condolence to you and to your family
members and request you to comply with the following procedure for
transmission of shares in favor of you.
2. Attested copy of death certificate of deceased share holder & nominee also
where in name, address, designation, Official seal and signature of attesting
authority is clearly mentioned.It should be in english.
5. No objection letter from other legal heirs on Rs. 50/- stamp paper( pro
forma enclosed.) if Applicable, along with their identity proofs.
10. ISR 4 Form as per SEBI Circular dated 24th and 25th Jan 2022.
(Performa Enclosed)
On receipt of the same we shall do the needful.
This is with reference to your letter regarding above said subject matter
along with Original share certificate, Indemnity, Affidavit, No Objection
letter, Surity form, suporting documents of the surity, Transmission form,
self attested PAN card and address proof of the claimant and legal heir. In
this regard we are sorry to inform you that we anable to process your
request for the following reason.
2. Self attested PAN card of the Legal heir (OJASWI ANIL SAWANT).
Hence we are returning your rejected documents and request you to re-forward
the same along with above mentioned required documents. On receipt of the same
we shall do the needful.
SPLIT OF SHARES:
This is with reference to your letter dated along with share certificate
bearing no 721249 for 5 shares regarding above cited subject.
As desired by you for demat of shares, you are requested to contact your
depository Participant, where you have demat account and submit the duly
filled demat request form with the details mentioned below requesting them to
raise a DRN on the strength of this letter along with share certificate. After
dematerialization of shares, you can sell the same in market (NSE/BSE) at
market price.
This is with reference to your letter dated nil, regarding the aforesaid
subject matter.
In this connection, we express our deep condolence to you and to your family
members and request you to comply with the following procedure for
transmission of shares in favor of you.
1. Indemnity Bond and Affidavit duly filled & notarized (pro forma enclosed)
6. No objection letter from other legal heirs on Rs. 50/- stamp paper
(Proforma enclosed.) If Applicable, along with their self attested PAN&
Address proofs.
Annexure-II
In this regard, we would like to inform you to that you have not enchased your
dividend warrants due to that reason you shares was transferred to IEPF and
for your reference below cited IEPF procedure for claim the shares cum
dividends.
Guidelines for how to fill the forms as required by MCA for claim the dividend
and shares from IEPF which is to be forwarded to (original documents) Nodal
Officer of the Company.
You have to forward duly complete documents to Nodal Officer of the Company
for claim of dividends and shares transferred to IEPF. We give below
following information you should complete before sending the same to Nodal
Officer.
b) After filing the form save it on your computer and submit the duly
filled form by following instructions given in the upload link on the
website. On successful uploading an acknowledgment will be generated
indicating the SRN. You have to provide SRN which was generated after
submitting IEPF-5 through the System which is necessary to you for
future tracking the form/details.
c) All the dividend amounts transferred to IEPF are mentioned in the form
e) In the Advance receipt, you have to mention dividend amounts and shares
transferred to IEPF along with Two Witnesses name and address with their
signatures and dates.
f) Indemnity Bond duly executed on Non Judicial stamp Paper of Rs.500/- and
in the Bond, you have to mention dividend amounts and shares transferred
to IEPF along with two witnesses name and address with their signatures
and dates.
g) Copy of the Aadhar duly signed by the claimant, in case of joint holders
also required.
h) Demat Account of the claimant linked with Aadhar is required for credit
of shares. Client Master List is a must for credit of shares.
k) If the claimant is NRI, submit copy of the Pass Post, OCI and PIO card
in case of Foreigner and NRI.
m) Name of the claimant as per the share certificate. In case any changes
in the name, claimant has to execute an Affidavit on Non Judicial Stamp
Paper of Rs.100/- each for change of name.
This is with reference to your letter, with regarding to above cited subject
In this regard, we would like to inform that the shares certificate nos.
1356812, 335021 & 735021 for each 25 shares issued and dispatched to your
address long back and the same were lodged for xerialization of shares and the
same processed and credited to your Beneficiary account no. 11073117 -IN302148
on 10.06.2016 & 25.08.2016 respectively.
In this regard, we would like to inform that the debentures have been redeemed
on 13-03-1999 upon surrender of debenture certificates.
Further, those shareholders who have not surrendered the debentures Company
has also paid to them in the year 2003. Debenture holders who have not
encashed the debenture redemption warrant and the unclaimed amount has
thereafter been deposited with the Investor Education Fund.
TRANSMISSION PROCESS:
DOCUMENTS REJECTED:
In this regard, we would like to inform you to that after scrutinizing of your
documents we could not process your request due to the following
discrepancies.
In this regard, we would like to inform you to that we are under verification
of your request and we revert you to shortly with status. Kindly bear with us
till such time.
We refer to your letter on the captioned subject and noted that share certificates held by you under the above folio
no….. are missing / lost by you. In order to enable us to issue duplicate share certificate/s as per your request, you
are advised to submit following documents:
4. Transmission Form to be submitted duly filled in and specimen signature to be attested by a Nationalized Bank
Manager with Office Seal.
5. Attested copy of PAN card of claimant (s). It is mandatory as per SEBI Norms vide circular No. MRD/Dop/Cir-
05/2007.
6. Copy of Address proof i.e., AADHAR Card or Passport or Driving License or Voter ID of claimant.
7. No objection letter from other legal heirs on Rs. 50/- stamp paper
(Proforma enclosed.) If Applicable, along with their self attested PAN& Address
proofs.
Please note that in the event of the original share certificates being received by the Company for transfer before the
duplicate share certificates are issued, you have to submit a copy of an injunction order obtained from a Court of
competent jurisdiction or copy of a plaint along with confirmation that the suit filed has been accepted by the court
which should necessarily mention the certificate / distinctive nos.
Please note further that you have to submit all documents mentioned under Sr.No.1 & 2 above accompanied by a
letter duly signed by you as per the specimen signature registered with the Company. Incomplete documents
received, if any, will be returned to you without taking any action from our end.
Note: We request to you release the paper notification at your end and request you to forward us the scanned copies
of the paper cuttings along with other duplicate documents for further action at our end (specimen enclosed)