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 :

 

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

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