CS Akshay Goyal

CS Akshay Goyal

SUMMARY OF IEPF FORMS AS PER INVESTOR EDUCATION AND PROTECTION FUND AUTHORITY (ACCOUNTING, AUDIT, TRANSFER AND REFUND) RULES, 2016

Form Name

Applicable rule & Section

Old Form No.

Purpose

Due Date

Remarks

IEPF – 1

 

Rule 5(4)Form 1 INVFile Statement of amounts and shares credited to Investor Education and Protection Fund.

 

1.       Within a period of thirty days of such amounts becoming due to be credited to the Fund.

2.       Within thirty days of submission of challan.

Amount may be transferred through physical mode or through electronic means in a manner yet to be specified by central government.
IEPF – 2Rule 5(8)

 

Form 5 INVAn annual statement of the amounts transferred to the designated account maintained by the company, till the said period of 7 years.Within a period of ninety days after the holding of annual general meeting1.       The following information is to be Separately furnished and uploaded on its own website:-

(a) the names and last known addresses of the persons entitled to receive the sum;

(b) the nature of amount;

(c) the amount to which each person is entitled;

(d) the due date for transfer into the Investor Education and Protection Fund; and

(e) Such other information as may be considered relevant for the purposes.

2.       The investor-wise details are also required to be filed in separate xls files.

IEPF – 3Section 124 (6)  and rule 6

 

New form introducedDue to the order of court or Tribunal or any statutory authority, if the company does not transfer the amount/shares then all such details shall be filed by the company/bank.Statement shall be filed within 30 days of end of financial year.Shares shall be credited to an IEPF suspense account within a period of thirty days of such shares becoming due to be transferred to the Fund.

 

IEPF – 4Rule 6(5)New form introducedStatement of Shares transferred to IEPF.No due dateProcedure for transfer of shares whether held in physical form or in demat form is to be followed as mentioned in Rule 6.
IEPF – 5Section 125 (3) and rule 7(1)New form introducedForm for claiming dividend and shares which are transferred to IEPF by Claimant.No due dateAfter making online application in e-form IEPF – 5, same form is to be delivered to the registered office along with documents as mentioned in e-form.
IEPF – 6 Rule 8New form introducedStatement of Unclaimed or Unpaid amounts to be transferred to the

Investor Education And Protection Fund.

Within thirty days of end of financial yearIf amount transferred during the current financial year is different from the amount stated last year, reason of deviation is to be provided.

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