SR. EXECUTIVE DIRECTOR
PRIMARY MARKET DEPARTMENT
RBTI(G I Series) Circular No. 1 (95-96) April 21, 1995
To
ALL BANKERS TO AN ISSUE
Dear Sirs,
In terms of rule 4(c) and regulation 13 of the SEBI (Bankers to an Issue) Rules and Regulations, 1994, every banker to an issue is required to make available to SEBI information, documents and reports specified therein.
All bankers to an issue are hereby advised to submit quarterly reports for each quarter of the year and annual report for each financial year in respect of their activities as per formats enclosed. The quarterly report must be submitted within 3 weeks of the last day of the quarter and the annual report must be submitted within 2 months of the close of the financial year.
Yours faithfully,
P. V. KRISHNAMURTRY
SECURITIES AND EXCHANGE BOARD OF INDIA
QUARTERLY REPORT OF BANKERS TO AN ISSUE
1 . NAME OF THE BANK
2. SEBI REGISTRATION CODE OF THE BANK
3. ISSUE DETAILS
3a. FOR COLLECTING BANKERS
( Issues opened during Quarter)
( Below mentioned information to be given for Public Issue only)
| S.No.
|
Name of the Company
|
Controlling Branch
|
Issue size Rs. Crores
|
Date of issue closure
|
Registrar & Post Isue Lead Mgr
|
Submission of final consolidated certificate
|
Reason for delay, if any
|
Name and address of delaying branch
|
Rate of interest payable, if any, as per agreement with the Company
|
|
| Due on : Submitted On :
|
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1.
2.
3b. FOR REFUND BANKERS
( Information to be given in case of companies whose funds have been transferred to the Refund account )
Report to include all pending accounts having outstanding balance of 5% or more of the total refund account.
Below mentioned information to be given for Public issue only)
| S.No
|
Name of the Company
|
Controlling Branch
|
Issue size (Rs.crores)
|
Date of closure
|
Registrar
|
Total refund Amt (Rs.cr)
|
Date of allotment
|
Date of transfer of funds to refund a/c
|
Delay in transfer of funds, if any,
|
O/s balance amt as on date
|
Rate of interest payable, if any, as per agreement with the Company
|
Whether refund a/c reconciled
|
Date of generation of paid/unpaid instrument list
|
1.2.
3C. FOR PAYING BANKERS ( DIVIDEND WARRANTS (DW) / INTEREST WARRANTS (IW) )
List of all unreconciled accounts having outstanding balance of 5% or More of the Total Paying Amount.
| S.No.
|
Name of the Company
|
Whether interest or dividend warrant
|
Balance in IW/DW as on date
|
Last date of generation of paid/unpaid instrument list
|
4. DETAILS OF ALL SETTLED AND PENDING COMLAINTS RECEIVED DURING THE QUARTER:
(DETAILS OF COMPLAINTS FORWARDED BY SEBI, ACTION TAKEN THEREON AND PRESENT STATUS SHOULD BE GIVEN SEPERATELY)
| S.No. | Name of the Company | No. of complaints | Details of Pending complaints |
| Received:Resolved:Pending | Nature:Party Name:Status:Remarks |
CHANGE IN CONSTITUTION, OWNERSHIP, MANAGEMENT OF THE BANK,
ANY EVENT AFFECTING THE OPERATIONS OF THE BANK ADVERSELY, ETC.
6. ANY ADDITION / DELETION OF BRANCHES AUTHORISED TO ACT AS COLLECTING BRANCHES FOR ACCEPTANCE OF APPLICATION IN PUBLIC ISSUES.
PLACE
DATE AUTHORISED SIGNATORY
SECURITIES AND EXCHANGE BOARD OF INDIA
ANNUAL REPORT OF BANKERS TO AN ISSUE (FOR THE FINANCIAL YEAR—)
1. NAME OF THE BANK :
2. SEBI REGISTRATION CODE OF THE BANK :
3. NUMBER OF ISSUES HANDLED
A) AS COLLECTING BANKER :
B) AS REFUND BANKER :
C) AS PAYING BANKER :
DETAILS OF ALL SETTLED AND PENDING COMPLAINTS RECEIVED
DURING THE YEAR
| S.No.
|
Name of the Company
|
No. of complaints
|
Details of Pending Complaints
|
| Received: Resolved: Pending
|
Nature:Party Name: Status:Remarks
|
1. LIST OF BRANCHES (#) DESIGNATED AS COLLECTION BRANCHES FOR
ACCEPTANCE OF APPLICATION FORMS IN PUBLIC ISSUES
INDICTMENT OR INVOLVEMENT IN ANY ECONOMIC OFFENCE OF THE BANK/AND
OR THEIR PRINCIPAL OFFICERS/DIRECTORS IN THE LAST 1 YEAR.
(#) Branches should have adequate infrastructure / manpower to handle the issue work.
7. ANY CHANGE DURING THE PERIOD WITH REGARD TO:
OWNERSHIP
CHANGES IF ANY, IN MAJOR SHAREHOLDERS
HOLDING 5% OR MORE VOTING SHARES.
KEY MANAGEMENT PERSONNEL AND DIRECTORS
ANY ADDITION/ DELETION IN THE LIST OF BRANCHES DESIGNATED AS
COLLECTING BRANCHES FOR THE PURPOSE OF ACCEPTANCE OF
APPLICTIONS IN PUBLIC ISSUES. IF SO, PLEASE SPECIFY .
CAPITAL STRUCTURE
PTHERS – ANY EVENT AFFECTING THE OPERATIONS OF THE BANK
ADVERSELY.
PLACE, DATE, AUTHORISED SIGNATORY
