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CDSL/OPS/RTA/POLCY/2017/66

October 31, 2017

OPERATIONAL GUIDELINES AND FILE FORMATS FOR TRANSFER OF
SHARES TO THE DEMAT ACCOUNT OF INVESTOR EDUCATION AND
PROTECTION FUND (IEPF) AUTHORITY

Issuers/RTAs are advised to refer to communiqué no CDSL/OPS/RTA/POLCY/2017/63 dated October 17, 2017 regarding notification and circular issued by Ministry of Corporate Affairs for transfer of shares to IEPF account.

We are happy to inform you that the IEPF Authority has opened a demat account with CDSL with Depository Participant SBI CAP Securities Ltd. The details are given below:

Account Number Account Name
12047200 13676780 Investor Education and Protection Authority Ministry of Corporate Affairs Fund

As Issuers/ RTAs are aware, in terms of Section 124(6) of Companies Act, 2013 and the Rules notified there under, the shares in respect of which dividend has not been paid or claimed for a period of seven consecutive years or more, are required to be transferred by the Company to the IEPF Authority. As per the General Circular No. 12/2017 dated 16th October, 2017, pursuant to the second proviso to Rule 6 of Investor Education and Protection fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016 as amended time to time, wherein the seven year period provided under sub section (5) of section 124 is completed for unpaid/unclaimed dividends during September 7, 2016 to October 31, 2017, the due date for transfer of such shares by companies is October 31st, 2017. In terms of Rule 6 (1) of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016 the transfer of such shares to IEPF account is to be completed within a period of 30 days of such shares becoming due to be transferred to the IEPF Authority.

Transfer of shares to IEPF demat account

1. If the shares of the Company are required to be transferred to the IEPF Authority in terms of Section 124 (6) of the Companies Act, 2013 and the notified Rules of Investor Education and Protection Fund Authority (Accounting , Audit, Transfer and Refund) Rules, 2016 such shares can be transferred, whether held in dematerialized form (under NSDL or CDSL) or physical form, to the above mentioned demat account of IEPF Authority by way of Corporate Action after following the procedure as mentioned under the Rules.

2. The information related to the shareholders whose shares are being transferred to IEPF’s demat account with SBICAP (CDSL DP) shall have to be provided by the company as per the prescribed format (attached).

a) File format A shall be used where shares are being transferred from investors holding demat account in CDSL Depository System. This format will enable Issuers/ RTAs to perform debit/credit corporate action to debit the investors demat account with CDSL and credit the demat account of the IEPF Authority in CDSL. No separate corporate action file would need to be uploaded. (Refer Annexure A)

b) File format B shall be used where shares are being transferred from investors holding demat account in NSDL. This format will enable Issuers/RTA to perform credit corporate action to credit the demat account of IEPF Authority in CDSL in respect of those shares which are successfully debited by executing debit corporate action in NSDL. No separate corporate action file would need to be uploaded. (Refer Annexure B)

c) File format C shall be used where shares being transferred were held in physical form. This format will enable Issuers/RTA to credit such shares into the demat account of IEPF authority in CDSL. No separate corporate action file would need to be uploaded. (Refer Annexure C)

3. Two new CA types 68 (“Trf of Shares to IEPF) and 70(“Trf of Shs to IEPF Phy”) have been created in CDSL system. System will generate 1 debit file and 3 credit CA files using the above data files.

4. In case shares are being debited in CDSL and credit to NSDL IEPF account the current file format for Corporate Action will be applicable. A new CA type 69 (Trf of Shs – NSDL IEPF”) has been created for this purpose to enable RTA to upload the file for Debit Corporate Action using Corporate Actions Module.

5. Under rules (6)(3)(b) of the rules, where there is a specific order of Court or Tribunal or statutory Authority restraining any transfer of such shares and payment of dividend the company shall not transfer such shares to the Fund. Accordingly, if the source BO / BO-ISIN is frozen under freeze reason codes given below, the debit corporate action for transfer to IEPF account in respect of that BOID shall be processed. For other freeze reason codes the record shall fail.

Code Description
1 Beneficial owner
6 PAN verification pending
7 Sole/First Holder Deceased
8 Second Holder Deceased
9 Third Holder Deceased
13 In Person Verification or KYC Pending
14 Assignment
16 Initiated By BO
17 Requested By BO
19 FATCA Non Compliance (under IT Rule 114H(8)
95 RGESS Freeze
97 Minor Attained Majority
98 PAN not recorded.

6. The companies will fill the attached CA form for transfer of shares to IEPF and submit the same to CDSL. The data files pertaining to detail records of investors will be uploaded through upload module by RTA. (Refer Annexure A, B, C, D for file format & upload id )

7. Non-monetary CAs: As the credit to IEPF account for any non monetary CA like bonus, merger, capital reduction, split etc., through auto corporate action will take place on the total number of shares held in the account which actually needs to be assigned to investor level whose shares were transferred to IEPF, CDSL System will exclude the IEPF account for credit at CDSL during CA processing. The issuer/RTA shall be required to provide a data file as per the format attached (Annexure D) through Upload Module in respect of all the holders whose shares have been transferred to the IEPF authority and who are entitled to the shares on account of the corporate action. Based on the data provided, the total number of shares under the entitlements shall be credited by way of file corporate action to the account of the IEPF authority and the respective BO-wise entitlements will be updated in the system. No separate corporate action file would need to be uploaded. A new CA type 71 (Trf of Shs to IEPF ACA”) has been created by CDSL system for the above purpose.

8. Monetary CAs: In case of monetary CA the company / RTA to necessarily set up the corporate action for the record date (even if the record date is on a Friday / month end wherein by default the BENPOS is generated) and update the dividend amount per share. This data will be used to update BO wise entitlement in depository system.

9. Along with the data files, the Company shall be required to submit the following documents

a) Corporate Action form as per the format enclosed (Annexure E)

b) Certified copy of the Board Resolution authorizing the transfer of share to the IEPF

c) RTA letter (Annexure F)

d) Corporate Action charges @ Rs. 10/- per debit/credit, subject to a minimum of Rs. 1000/- plus 18% GST.

10. The charges for IEPF account maintenance will be informed separately after finalization of MOU with IEPF authority.

11. As you are aware that CDSL provides beneficiary positions (i.e. RT02 report) as on every Friday and every month end. Accordingly, with respect to IEPF Transfer, the beneficiary positions (benpos) as of Tuesday, October 31, 2017 will be provided to RTAs and available for download on Wednesday, November 01, 2017.

12. The detailed process for refund of securities to the claimant shall be shared shortly.

13. The date of release of this functionality will be informed separately.

The updated files formats are as per annexures listed below

File Name Corresponding response File Name Annexure Number
CDSL to IEPF transfer Data File 17RTI1 Annexure A
NSDL to IEPF transfer Data File 17RTI2 Annexure B
Physical to IEPF transfer Data File 17RTI3 Annexure C
AUTO CA to IEPF BIFURCATION transfer Data File 17RTI4 Annexure D
Corporate Action Form Annexure E
RTA Letter Annexure F

Issuers/RTAs are required to make necessary changes in their back office.

CDSL – Operations on telephone numbers (022) 2305-8507, 2305-8638, 2305-8685 or 2305- 8630. Emails may be sent to:

viniferk@cdslindia.com/priyankaa@cdslindia.com/gulzart@cdslindia.com/ ashishb@cdslindia.com 

Queries regarding this communiqué may be addressed to CDSL – Help desk: on telephone numbers (022) 2305-8624, 2305-8639, 2305-8642, 2305-8663, 2305-8640, 2300-2041 or 2300- 2033. Emails may be sent to: helpdesk@cdslindia.com.

sd/-

Nayana Ovalekar
Chief Operating Officer

Annexure – A

FILE FORMAT: CDSL to IEPF transfer Data File

File Name : 45< <RTA ID> >_CDSL_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 45107_CDSL_IEPF_DTLS_26102017154100

Input Type : Mandatory / Optional

Header Record: This record will contain:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION NUMBER M 2 VALUE = 01
RTA ID NUMBER M 6 RTA ID
RTA INTERNAL REFERENCE NUMBER CHAR O 16
ISIN CHAR M 12
CA TYPE NUMBER M 4 68 – Trf of
Shares to
IEPF
BOARD APPROVAL DATE DATE M 8 DDMMYYYY
EXECUTION DATE DATE M 8 DDMMYYYY
TOTAL DEBIT QUANTITY NUMBER M (16,3)
TOTAL DEBIT LOCK-IN QUANTITY NUMBER O (16,3)
FILLER (16,3)
TOTAL CREDIT QUANTITY NUMBER M (16,3)
TOTAL CREDIT LOCK-IN QUANTITY NUMBER O (16,3)
TOTAL NUMBER OF (02) DETAIL RECORDS NUMBER M 5
FILLER NUMBER O 5
CIN /BCIN NUMBER CHAR M 21 CIN
EMAIL ID OF COMPANY CHAR M 50 Email ID Of
Company/Com
pany Secretary
FINANCIAL YEAR TO WHICH THE DIVIDEND RELATES CHAR M 9 YYYY-YYYY (E.g. 2008- 2009 for the financial year 2008-2009)
TOTAL NOMINAL AMOUNT OF SHARES NUMBER M (16,3) Total Nominal
Value Of
Shares

Ex: 01~000107~Int ref

123~INE016A01012~68~20102017~26102017~1000~0~10~1000~0~100~~L61212MH 1995PLC123456 ~abc@abc.com~2008-2009~ 10000

Details Records: This record will contain following lines:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR M 2 Value = 02
RECORD LINE NUMBER NUMBER M 5
CREDIT BO ID CHAR M 16 IEPF Demat
Account
Number
DEBIT BO ID CHAR M 16
DEBIT QUANTITY NUMBER M (16,3)
DEBIT LOCK IN QUANTITY NUMBER O (16,3)
DEBIT LOCK-IN CODE NUMBER O 2
DEBIT LOCK-IN EXPIRY DATE DATE O 8 Format
“DDMMYYYY”
FILLER (16,3)
CREDIT QUANTITY NUMBER M (16,3)
CREDIT LOCK IN QUANTITY NUMBER O (16,3)
CREDIT LOCK-IN CODE NUMBER O 2
CREDIT LOCK-IN EXPIRY DATE DATE O 8 Format
“DDMMYYYY”
Should be
same as Debit
Lock-in Expiry
Date
FILLER 100

NOTES:

  • Tilde (‘~’) should be used as field separators.
  • Padding should not be used for any field. Only actual values to be entered.
  • If any field does not have value, then 2 consecutive tildes should be entered.

FILE FORMAT: CDSL to IEPF transfer Response File

File Name : 17RTI1_< <RTA ID> >_CDSL_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 17RTI1_107_CDSL_IEPF_DTLS_26102017154100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 01
ERROR CODE CHAR 8
ERROR DESCRIPTION CHAR 100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 02
RECORD LINE NUMBER NUMBER 5
CREDIT BO ID CHAR 16
DEBIT BO ID CHAR 16
DEBIT QUANTITY NUMBER (16,3)
DEBIT LOCKIN QUANTITY NUMBER (16,3)
DEBIT LOCK-IN CODE NUMBER 2
DEBIT LOCK-IN EXPIRY DATE DATE 8
FILLER (16,3)
CREDIT QUANTITY NUMBER (16,3)
CREDIT LOCK IN QUANTITY NUMBER (16,3)
CREDIT LOCK-IN CODE NUMBER 2
CREDIT LOCK-IN EXPIRY DATE DATE 8
FILLER 100
RECORD STATUS CHAR 1 A – Accepted for
Processing
or R-Rejected
CA SEQUENCE NUMBER NUMBER 8 File CA Sequence Number
COUNTER NUMBER 3 Counter
ERROR CODE CHAR 8 Applicable only in case of rejected records
ERROR DESCRIPTION CHAR 100 Applicable only in case of rejected records

NOTES:

  • If the file fails in Header record syntax/functional validation then only Record Identification(01) along with Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Header record.
  • If the file fails in Detail record syntax validation then only Record Identification(02) along with Line Number, Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Detail record.

Annexure – B

FILE FORMAT: NSDL to IEPF transfer Data File

File Name : 46< <RTA ID> >_NSDL_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 46107_NSDL_IEPF_DTLS_26102017154100

Input Type : Mandatory / Optional

Header Record: This record will contain:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION NUMBER M 2 VALUE = 01
RTA ID NUMBER M 6 RTA ID
RTA INTERNAL REFERENCE NUMBER CHAR O 16
ISIN CHAR M 12
CA TYPE NUMBER M 4 68 – Trf of
Shares to
IEPF
BOARD APPROVAL DATE DATE M 8 DDMMYYYY
EXECUTION DATE DATE M 8 DDMMYYYY
TOTAL DEBIT QUANTITY NUMBER M (16,3)
TOTAL DEBIT LOCK-IN QUANTITY NUMBER O (16,3)
FILLER (16,3)
TOTAL CREDIT QUANTITY NUMBER M (16,3)
TOTAL CREDIT LOCK-IN QUANTITY NUMBER O (16,3)
TOTAL NUMBER OF (02) DETAIL RECORDS NUMBER M 5
FILLER NUMBER O 5
CIN /BCIN NUMBER CHAR M 21 CIN
EMAIL ID OF COMPANY CHAR M 50 Email ID Of
Company/Com
pany Secretary
FINANCIAL YEAR TO WHICH THE DIVIDEND RELATES CHAR M 9 YYYY-YYYY (E.g. 2008- 2009 for the financial year 2008-2009)
TOTAL NOMINAL AMOUNT OF SHARES NUMBER M (16,3) Total Nominal
Value Of
Shares

Ex:01~000107~Intref 123~INE016A01012~68~20102017~26102017~1000~0~10~1000~0~100~~L61212MH 1995PLC123456 ~abc@abc.com~2008-2009~ 10000

Details Records: This record will contain following lines

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR M 2 Value = 02
RECORD LINE NUMBER NUMBER M 5
CREDIT BO ID CHAR M 16 IEPF Demat
Account
Number
DEBIT DP ID CHAR M 8 8 Digit NSDL
DP ID
DEBIT CLIENT ID CHAR M 8 8 Digit NSDL
Client ID
DEBIT QUANTITY NUMBER M (16,3)
DEBIT LOCK IN QUANTITY NUMBER O (16,3)
DEBIT LOCK-IN CODE NUMBER O 2
DEBIT LOCK-IN EXPIRY DATE DATE O 8 Format
“DDMMYYYY”
FILLER 1 (16,3)
CREDIT QUANTITY NUMBER M (16,3)
CREDIT LOCK IN QUANTITY NUMBER O (16,3)
CREDIT LOCK-IN CODE NUMBER O 2
CREDIT LOCK-IN EXPIRY DATE DATE O 8 Format
“DDMMYYYY”
Should be
same as Debit
Lock-in Expiry
Date
FIRST HOLDER’S NAME CHAR M 250
PAN OF SOLE/FIRST HOLDER CHAR O 30
SECOND HOLDER’S NAME CHAR O 45
PAN OF SECOND HOLDER CHAR O 30
THIRD HOLDER’S NAME CHAR O 45
PAN OF THIRD HOLDER CHAR O 30
GUARDIAN’S NAME CHAR O 45
FILLER 2 10
NOMINEE’S NAME CHAR O 45
FILLER 3 10
FATHER/HUSBAND’S NAME CHAR O 45
FILLER 4 1
BIRTH DATE CHAR O 8 DDMMYYYY
ACCOUNT TYPE DESCRIPTION CHAR M 100
ACCOUNT SUB TYPE DESCRIPTION CHAR M 100
OCCUPATION CHAR O 100
123 FILLER 5 25
CORRESPONDENCE ADDRESS LINE 1 CHAR O 36
CORRESPONDENCE ADDRESS LINE 2 CHAR O 36
CORRESPONDENCE ADDRESS LINE 3 CHAR O 36
CORRESPONDENCE ADDRESS LINE 4 CHAR O 36
CORRESPONDENCE ADDRESS PIN CODE CHAR O 10
PERMANENT ADDRESS LINE 1 CHAR M 36
PERMANENT ADDRESS LINE 2 CHAR O 36
PERMANENT ADDRESS LINE 3 CHAR O 36
PERMANENT ADDRESS LINE 4 CHAR M 36
PERMANENT ADDRESS PIN CODE CHAR M 10
TELEPHONE 1 CHAR O 24
FILLER 6 20
FAX CHAR O 24
E-MAIL ID CHAR O 50
UID OF FIRST HOLDER CHAR O 12
UID OF SECOND HOLDER CHAR O 12
UID OF THIRD HOLDER CHAR O 12
FILLER 7 12
FILLER 8 12
FILLER 9 100

NOTES:

  • Tilde (‘~’) should be used as field separators.
  • Padding should not be used for any field. Only actual values to be entered.
  • If any field does not have value, then 2 consecutive tildes should be entered.

FILE FORMAT: NSDL to IEPF transfer Response File

File Name : 17RTI2_< <RTA ID> >_NSDL_IEPF_DTLS_< <DDM MYYYYHH24MISS>>
E.g. 17RTI2_107_NSDL_IEPF_DTLS_26102017154100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 01
ERROR CODE CHAR 8
123 ERROR DESCRIPTION CHAR 100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 02
RECORD LINE NUMBER NUMBER 5
CREDIT BO ID CHAR 16
DEBIT DP ID CHAR 8
DEBIT CLIENT ID CHAR 8
DEBIT QUANTITY NUMBER (16,3)
DEBIT LOCK IN QUANTITY NUMBER (16,3)
DEBIT LOCK-IN CODE NUMBER 2
DEBIT LOCK-IN EXPIRY DATE DATE 8
FILLER 1 (16,3)
CREDIT QUANTITY NUMBER (16,3)
CREDIT LOCK IN QUANTITY NUMBER (16,3)
CREDIT LOCK-IN CODE NUMBER 2
CREDIT LOCK-IN EXPIRY DATE DATE 8
FIRST HOLDER’S NAME CHAR 250
PAN OF SOLE/FIRST HOLDER CHAR 30
SECOND HOLDER’S NAME CHAR 45
PAN OF SECOND HOLDER CHAR 30
THIRD HOLDER’S NAME CHAR 45
PAN OF THIRD HOLDER CHAR 30
GUARDIAN’S NAME CHAR 45
FILLER 2 10
NOMINEE’S NAME CHAR 45
FILLER 3 10
FATHER/HUSBAND’S NAME CHAR 45
FILLER 4 1
BIRTH DATE CHAR 8
ACCOUNT TYPE DESCRIPTION CHAR 100
ACCOUNT SUB TYPE DESCRIPTION CHAR 100
OCCUPATION CHAR 100
FILLER 5 25
CORRESPONDENCE ADDRESS LINE 1 CHAR 36
CORRESPONDENCE ADDRESS LINE 2 CHAR 36
CORRESPONDENCE ADDRESS LINE 3 CHAR 36
CORRESPONDENCE ADDRESS LINE 4 CHAR 36
CORRESPONDENCE ADDRESS PIN CODE CHAR 10
PERMANENT ADDRESS LINE 1 CHAR 36
PERMANENT ADDRESS LINE 2 CHAR 36
PERMANENT ADDRESS LINE 3 CHAR 36
PERMANENT ADDRESS LINE 4 CHAR 36
PERMANENT ADDRESS PIN CODE CHAR 10
TELEPHONE 1 CHAR 24
FILLER 6 20
FAX CHAR 24
E-MAIL ID CHAR 50
UID OF FIRST HOLDER CHAR 12
UID OF SECOND HOLDER CHAR 12
UID OF THIRD HOLDER CHAR 12
FILLER 7 CHAR 12
FILLER 8 CHAR 12
FILLER 9 100
RECORD STATUS CHAR 1 A – Accepted for
Processing
or R-Rejected
CA SEQUENCE NUMBER NUMBER 8 File CA Sequence
Number
COUNTER NUMBER 3 Counter
ERROR CODE CHAR 8 Applicable only in case of rejected records
ERROR DESCRIPTION CHAR 100 Applicable only in case of rejected records

NOTES:

  • If the file fails in Header record syntax/functional validation then only Record Identification(01) along with Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Header record.
  • If the file fails in Detail record syntax validation then only Record Identification(02) along with Line Number, Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Detail record.

Annexure – C

FILE FORMAT: Physical to IEPF transfer Data File

File Name : 47< <RTA ID> >_PHY_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 47107_PHY_IEPF_DTLS_26102017154100

Input Type : Mandatory / Optional

Header Record: This record will contain:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION NUMBER M 2 VALUE = 01
RTA ID NUMBER M 6 RTA ID
RTA INTERNAL REFERENCE NUMBER CHAR O 16
ISIN CHAR M 12
CA TYPE NUMBER M 4 70 – Trf of Shs to IEPF Phy
BOARD APPROVAL DATE DATE M 8 DDMMYYYY
EXECUTION DATE DATE M 8 DDMMYYYY
TOTAL DEBIT QUANTITY NUMBER M (16,3)
TOTAL DEBIT LOCK-IN QUANTITY NUMBER O (16,3)
FILLER NA NA
TOTAL CREDIT QUANTITY NUMBER M (16,3)
TOTAL CREDIT LOCK-IN QUANTITY NUMBER O (16,3)
TOTAL NUMBER OF (02) DETAIL RECORDS NUMBER M 5
TOTAL NUMBER OF (03) DETAIL RECORDS OF DNR NUMBER O 5
CIN /BCIN NUMBER CHAR M 21 CIN
EMAIL ID OF COMPANY CHAR M 50 Email ID Of
Company/Com
pany Secretary
FINANCIAL YEAR TO WHICH THE DIVIDEND RELATES CHAR M 9 YYYY-YYYY (E.g. 2008- 2009 for the financial year 2008-2009)
TOTAL NOMINAL AMOUNT OF SHARES NUMBER M (16,3) Total Nominal
Value Of
Shares

Ex: 01~000107~Int ref

123~INE016A01012~68~20102017~26102017~1000~0~~1000~0~100~150~L61212MH 1995PLC12345 6~abc@abc.com~2008-2009~ 10000

Details Records: This record will contain following lines:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR M 2 Value = 02
RECORD LINE NUMBER NUMBER M 5
CREDIT BO ID CHAR M 16 IEPF Demat Account Number
FOLIO NUMBER CHAR M 16 Folio number for physical certificates.
DEBIT QUANTITY NUMBER M (16,3)
DEBIT LOCK IN QUANTITY NUMBER O (16,3)
DEBIT LOCK-IN REASON CODE NUMBER O 2 1 – Directors /Relative Quota

2 – Employee Quota

3 – Preferential Quota

4 – Promoters Quota

5 – Underwriters Quota

6 – Private Placement

7 – Others

DEBIT LOCK-IN EXPIRY DATE DATE O 8 Format “DDMMYYYY”
CREDIT QUANTITY NUMBER M (16,3)
CREDIT LOCK IN QUANTITY NUMBER O (16,3) Lock-in Qty to be credited to IEPF Authority Account
CREDIT LOCK-IN REASON CODE NUMBER O 2 1 – Directors/ Relative Quota

2 – Employee Quota

3 – Preferential Quota

4 – Promoters Quota

5 – Underwriters Quota

6 – Private Placement

7 – Others

CREDIT LOCK-IN EXPIRY DATE DATE O 8 Format “DDMMYYYY” Should be same as Debit Lock-in Expiry Date
FIRST HOLDER’S NAME CHAR M 164
PAN OF SOLE/FIRST HOLDER CHAR O 10
SECOND HOLDER’S NAME CHAR O 164
PAN OF SECOND HOLDER CHAR O 10
THIRD HOLDER’S NAME CHAR O 164
PAN OF THIRD HOLDER CHAR O 10
FOURTH HOLDER’S NAME CHAR O 164
PAN OF FOURTH HOLDER CHAR O 10
GUARDIAN’S NAME CHAR O 164
PAN OF GUARDIAN CHAR O 10
NOMINEE’S NAME CHAR O 164
PAN OF NOMINEE CHAR O 10
FATHER/HUSBAND’S NAME CHAR O 50
SEX OF SOLE/FIRST HOLDER CHAR O 1 M- Male/ F-Female
BIRTH DATE CHAR O 8 DDMMYYYY
OCCUPATION CHAR O 4 B – BUSINESS F – FARMER

GS – GOVERNMENT SERVICES

H – HOUSEWIFE

O – OTHERS

P – PROFESSIONAL

PS – PUBLIC SECTOR

PV – PRIVATE SECTOR

R – RETIRED

S – SERVICE ST – STUDENT

NATIONALITY CHAR O 25
INVESTOR CATEGORY CHAR M 25
CORRESPONDENCE ADDRESS LINE 1 CHAR M 50
CORRESPONDENCE ADDRESS LINE 2 CHAR O 50
CORRESPONDENCE ADDRESS LINE 3 CHAR O 50
CORRESPONDENCE ADDRESS CITY CHAR O 25
CORRESPONDENCE ADDRESS STATE CHAR O 25
CORRESPONDENCE ADDRESS COUNTRY CHAR O 25
CORRESPONDENCE ADDRESS PIN CODE CHAR O 10
PERMANENT ADDRESS LINE 1 CHAR O 50
PERMANENT ADDRESS LINE 2 CHAR O 50
PERMANENT ADDRESS LINE 3 CHAR O 50
PERMANENT ADDRESS CITY CHAR O 25
PERMANENT ADDRESS STATE CHAR O 25
PERMANENT ADDRESS COUNTRY CHAR O 25
PERMANENT ADDRESS PIN CODE CHAR O 10
TELEPHONE 1 CHAR O 17
TELEPHONE 2 CHAR O 17
BO FAX CHAR O 17
E-MAIL ID CHAR O 50
UID OF FIRST HOLDER CHAR O 12
UID OF SECOND HOLDER CHAR O 12
UID OF THIRD HOLDER CHAR O 12
UID OF FOURTH HOLDER CHAR O 12
UID OF GUARDIAN CHAR O 12
UID OF NOMINEE CHAR O 12
FILLER 100

DNR Records: This record will contain following lines:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHARACTER M 2 “03”
RECORD LINE NUMBER INTEGER M 5
ISIN CHARACTER M 12
DEBIT/CREDIT INDICATOR CHARACTER M 1 D-Debit C-Credit
DISTINCTIVE NUMBERS FROM INTEGER M 18
DISTINCTIVE NUMBERS TO INTEGER M 18
QUANTITY INTEGER M 18 To DNR – From DNR + 1

NOTES:

  • Tilde (‘~’) should be used as field separators.
  • Padding should not be used for any field. Only actual values to be entered.
  • If any field does not have value, then 2 consecutive tildes should be entered.
  • Multiple lines for DNR records line “03” is allowed.
  • DNR records will be mandatory only in case of listed companies.

FILE FORMAT: Physical to IEPF transfer Response File

File Name : 17RTI3_< <RTA ID> >_PHY_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 17RTI3_107_PHY_IEPF_DTLS_26102017154100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 01
ERROR CODE CHAR 8
ERROR DESCRIPTION CHAR 100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 02
RECORD LINE NUMBER NUMBER 5
CREDIT BO ID CHAR 16
FOLIO NUMBER CHAR 16
DEBIT QUANTITY NUMBER (16,3)
DEBIT LOCKIN QUANTITY NUMBER (16,3)
DEBIT LOCK-IN REASON CODE NUMBER 2
DEBIT LOCK-IN EXPIRY DATE DATE 8
CREDIT QUANTITY NUMBER (16,3)
CREDIT LOCK IN QUANTITY NUMBER (16,3)
CREDIT LOCK-IN REASON CODE NUMBER 2
CREDIT LOCK-IN EXPIRY DATE DATE 8
FIRST HOLDER’S NAME CHAR 164
PAN OF SOLE/FIRST HOLDER CHAR 10
SECOND HOLDER’S NAME CHAR 164
PAN OF SECOND HOLDER CHAR 10
THIRD HOLDER’S NAME CHAR 164
PAN OF THIRD HOLDER CHAR 10
FOURTH HOLDER’S NAME CHAR 164
PAN OF FOURTH HOLDER CHAR 10
GUARDIAN’S NAME CHAR 164
PAN OF GUARDIAN CHAR 10
NOMINEE’S NAME CHAR 164
PAN OF NOMINEE CHAR 10
FATHER/HUSBAND’S NAME CHAR 50
SEX OF SOLE/FIRST HOLDER CHAR 1
BIRTH DATE CHAR 8
OCCUPATION CHAR 4
NATIONALITY   CHAR 25
INVESTOR CATEGORY CHAR 25
CORRESPONDENCE ADDRESS LINE 1 CHAR 50
CORRESPONDENCE ADDRESS LINE 2 CHAR 50
CORRESPONDENCE ADDRESS LINE 3 CHAR 50
CORRESPONDENCE ADDRESS CITY CHAR 25
CORRESPONDENCE ADDRESS STATE CHAR 25
CORRESPONDENCE ADDRESS COUNTRY CHAR 25
CORRESPONDENCE ADDRESS PIN CODE CHAR 10
PERMANENT ADDRESS LINE 1 CHAR 50
PERMANENT ADDRESS LINE 2 CHAR 50
PERMANENT ADDRESS LINE 3 CHAR 50
PERMANENT ADDRESS CITY CHAR 25
PERMANENT ADDRESS STATE CHAR 25
PERMANENT ADDRESS COUNTRY CHAR 25
PERMANENT ADDRESS PIN CODE CHAR 10
TELEPHONE 1 CHAR 17
TELEPHONE 2 CHAR 17
BO FAX CHAR 17
E-MAIL ID CHAR 50
UID OF FIRST HOLDER CHAR 12
UID OF SECOND HOLDER CHAR 12
UID OF THIRD HOLDER CHAR 12
UID OF FOURTH HOLDER CHAR 12
UID OF GUARDIAN CHAR 12
UID OF NOMINEE CHAR 12
FILLER 100
RECORD STATUS CHAR 1 A – Accepted for
Processing
or R-Rejected
CA SEQUENCE NUMBER NUMBER 8 File CA Sequence
Number
COUNTER NUMBER 3 Counter
ERROR CODE CHAR 8 Applicable only in case of rejected records
ERROR DESCRIPTION CHAR 100 Applicable only in case of rejected records

DNR Records: This record will contain following lines:

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHARACTER 2 “03”
RECORD LINE NUMBER INTEGER 5
ISIN CHARACTER 12
DEBIT/CREDIT INDICATOR CHARACTER 1
DISTINCTIVE NUMBERS FROM INTEGER 18
DISTINCTIVE NUMBERS TO INTEGER 18
QUANTITY INTEGER 18
RECORD STATUS CHAR 1 A – Accepted for
Processing
or R-Rejected
ERROR CODE CHAR 8 Applicable only in case of rejected records
ERROR DESCRIPTION CHAR 100 Applicable only in case of rejected records

NOTES:

  • If the file fails in Header record syntax/functional validation then only Record Identification(01) along with Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Header record.
  • If the file fails in Detail record syntax validation then only Record Identification(02/03) along with Line Number, Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Detail record.

Annexure – D

FILE FORMAT: AUTO CA to IEPF BIFURCATION transfer Data File

File Name : 48< <RTA ID> >_ACA_IEPF_DTLS_< <DDMMYYYYHH24MISS>>
E.g. 48107_ACA_IEPF_DTLS_26102017154100

Input Type : Mandatory / Optional

Header Record: This record will contain:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION NUMBER M 2 VALUE = 01
FILE TYPE CHAR M 1 S – SETUP U – UPDATE
RTA ID NUMBER M 6 RTA ID
RTA INTERNAL REFERENCE NUMBER CHAR O 16
CA TYPE NUMBER M 4 71 – Trf of shs to IEPF ACA
EXECUTION DATE DATE M 8 DDMMYYYY
CA SEQUENCE NUMBER NUMBER M 8 Original Auto CA Sequence Number
TOTAL DEBIT QUANTITY NUMBER M (16,3)
TOTAL DEBIT LOCK-IN QUANTITY NUMBER O (16,3)
TOTAL CREDIT QUANTITY NUMBER M (16,3)
TOTAL CREDIT LOCK-IN QUANTITY NUMBER O (16,3)
TOTAL NUMBER OF (02) DETAIL RECORDS NUMBER M 5
CIN /BCIN NUMBER CHAR M 21 CIN
EMAIL ID OF COMPANY CHAR M 50 Email ID Of Company/Com pany Secretary

Details Records: This record will contain following lines:

FIELD DESCRIPTION FIELD TYPE INPUT TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR M 2 VALUE = 02
RECORD LINE NUMBER NUMBER M 5
DEBIT ISIN CHAR M 12
CREDIT ISIN CHAR M 12
CREDIT BO ID CHAR M 16 IEPF DEMAT
ACCOUNT NUMBER
CDSL CLIENT ID CHAR O 16 CDSL BO ID
NSDL DP ID CHAR O 8 NSDL DP ID
NSDL CLIENT ID CHAR O 8 NSDL CLIENT ID
FOLIO NO CHAR O 16 FOLIO NO
DEBIT QUANTITY NUMBER M (16,3)
DEBIT LOCK IN QUANTITY NUMBER O (16,3)
DEBIT LOCK-IN CODE NUMBER O 2
DEBIT LOCK-IN EXPIRY DATE DATE O 8 Format “DDMMYYYY”
CREDIT QUANTITY NUMBER M (16,3)
CREDIT LOCK IN QUANTITY NUMBER O (16,3)
CREDIT LOCK-IN CODE NUMBER O 2
CREDIT LOCK-IN EXPIRY DATE DATE O 8 Format “DDMMYYYY”
Should Be Same As Debit Lock-In Expiry Date
FRACTIONAL CREDIT TYPE CHAR M 1 Q – QUANTITY

M – MONEY

N – NOT APPLICABLE

FRACTIONAL AMOUNT NUMBER O (16,2) Fractional Amount Paid Per Bo / Folio
FILLER 100

NOTES:

  • Tilde (‘~’) should be used as field separators.
  • Padding should not be used for any field. Only actual values to be entered.
  • If any field does not have value, then 2 consecutive tildes should be entered.
  • Initial file should have file type as “S” (Setup).
  • File for updating fraction amount against each BO / Folio should have file type as “U” (Update).
  • Any one of the following fields CDSL BO / NSDL DP ID + Client ID / Folio No is mandatory.
  • Folio No will accept only “/” (forward slash) and “-“ (hyphen) special characters along with numbers.
  • In case of multiple benefit ISINs, 02 line should be repeated for each benefit ISIN, debit qty should be given only once.

FILE FORMAT: AUTO CA TO IEPF BIFURCATION RESPONSE FILE

File Name : 17RTI4_< <RTA ID> >_ACA_IEPF_DTLS_< <DDM MYYYYHH24MISS>>
E.g. 17RTI4_107_ACA_IEPF_DTLS_26102017154100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 Value = 01
ERROR CODE CHAR 8
ERROR DESCRIPTION CHAR 100

FIELD DESCRIPTION FIELD TYPE FIELD SIZE REMARKS
RECORD IDENTIFICATION CHAR 2 VALUE = 02
RECORD LINE NUMBER NUMBER 7
FILE TYPE CHAR 1 S – SETUP U – UPDATE
DEBIT ISIN CHAR 12
CREDIT ISIN CHAR 12
CREDIT BO ID CHAR 16
CDSL CLIENT ID CHAR 16
NSDL DP ID CHAR 8
NSDL CLIENT ID CHAR 8
FOLIO NO CHAR 16
DEBIT QUANTITY NUMBER (16,3)
DEBIT LOCK IN QUANTITY NUMBER (16,3)
DEBIT LOCK-IN CODE NUMBER 2
DEBIT LOCK-IN EXPIRY DATE DATE 8
CREDIT QUANTITY NUMBER (16,3)
CREDIT LOCK IN QUANTITY NUMBER (16,3)
CREDIT LOCK-IN CODE NUMBER 2
CREDIT LOCK-IN EXPIRY DATE DATE 8
FRACTIONAL CREDIT TYPE CHAR 1
FRACTIONAL AMOUNT NUMBER (16,2)
FILLER 100
RECORD STATUS CHAR 1 A – Accepted for
Processing
or R-Rejected
CA SEQUENCE NUMBER NUMBER 8 File CA Sequence
Number
COUNTER NUMBER 3 Counter
ERROR CODE CHAR 8 Applicable only in case of rejected records
ERROR DESCRIPTION CHAR 100 Applicable only in case of rejected records

NOTES:

  • If the file fails in Header record syntax/functional validation then only Record Identification(01) along with Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Header record.
  • If the file fails in Detail record syntax validation then only Record Identification(02) along with Line Number, Error code and Error description will be printed. Multiple Reasons for failure may be printed in case of Syntax Validation for Detail record.

Annexure – E

For Providing Details of Corporate Action to transfer shares to IEPF Authority

Note:

1. This Form is to be forwarded on the letterhead of the Company duly signed by the Company Secretary /Managing Director/Person authorized by the Board.

2. Write N.A wherever not applicable.

To,

Operations Department
Central Depository Services (India) Limited
Marathon Futurex, Unit No. 2501
25th Floor, A-Wing, Mafatlal Mills Compound,
N M Joshi Marg, Lower Parel,
Mumbai – 400 013.

Dear Sir,

We wish to execute debit/credit Corporate Action to Transfer the shares to the Investor Education and Protection Fund (IEPF) Authority as per the IEPF (Accounting, Audit, Transfer and Refund) Amendment Rules, 2017.

ISIN
Security Description
No. of Records for debit
No. of shares for debit
Physical NSDL CDSL Total
No. of Records for credit
No. of Shares for credit

The Details of the Transferor is/are as follows:

Sr. No. Name of the Transferor BO ID Quantity
Total Quantity

The Details of the IEPF Account to be credited is as follows:

Name of the Applicant BO ID Quantity
Investor Education and Protection Fund Authority Ministry of Corporate Affairs.

DECLARATION

I, ………….., state and confirm that :

  • All the requirements of the Companies Act, 2013 and the rules made there under in respect of the subject matter and matters incidental thereto have been complied with. I further declare that all the information given herein above is true and correct and
  • The Transfer of shares is being effected only in respect of the shares where the BO has not encashed any dividend warrant during the last seven years as per the IEPF (Accounting,Audit,Transfer and Refund) Amendment Rules, 2017.
  • The Company has informed, at the latest available address, the shareholder concerned regarding the transfer of shares three months before the due date of transfer of shares and has also published a notice in the leading newspaper in English and Regional language informing the concerned that the names of such shareholders and their folio no. or DP ID-Client ID are available on their website duly mentioning the website address.
  • In respect of physical shares, the duplicate certificates issued have been duly transferred in favour of the IEPF Authority.

Name :

Designation :

Signature :

(Company Stamp)

Annexure – F

RTA Letter

To be provided on the letterhead of the RTA.

Date:

To

Central Depository Services (India) Limited
Marathon Futurex, Unit No. 2501
25th Floor, A-Wing, Mafatlal Mills Compound,
N M Joshi Marg, Lower Parel,
Mumbai – 400 013.

Dear Sir,

We have uploaded the data files (CDSL/NSDL/Physical) / debit corporate action file for transfer of shares to the IEPF Account.

The details of the file is as under:

File Name ISIN Issuer Name No. of Records Quantity Debit/ Credit Execution
Date

You are requested to process the Corporate Action as per details provided above.

Thanking you,

Yours faithfully,

Download The Above In PDF Format

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