Special Window for Transfer and Dematerialisation Physical Securities

In order to facilitate ease of investing for investors and to secure the rights of investors in the securities which were purchased by them, SEBI vide its circular dated January 30, 2026 has open another special window for transfer and dematerialization (“demat”) of physical securities which were sold/purchased prior to April 01, 2019.

The Special window shall be available for transfer requests which were submitted earlier and were rejected/returned/not attended due to deficiency in the documents/process/or otherwise, for a period of one year from February 05, 2026 till February 04, 2027.

During this period, the securities that are re-lodged for transfer (including those requests that are pending with the listed company / RTA, as on date) shall be issued only in demat mode and shall be under lock-in for a period of one year from the date of registration of transfer. Such securities shall not be transferred/lien-marked/pledged during the said lock-in period.

For clarity with regards to the applicability of this special window, kindly refer the below matrix

Execution Date of Transfer Deed Lodged for transfer before April 01, 2019? Original Security Certificate Available? Eligible to lodge in the current window?
Before April 01, 2019 No (it is fresh lodgement) Yes ✔
Before April 01, 2019 Yes (it was rejected/ returned earlier) Yes ✔
Before April 01, 2019 Yes No ✘
Before April 01, 2019 No No ✘

The Detailed conditions to be fulfilled by the investor/transferee are mentioned in clause 7 of the said circular. For accessing the said circular: kindly click here


RTA details :

Kfin technologies Limited

Address: Selenium Building, Tower-B, Plot No 31 & 32,Financial District, Nanakramguda, Serilingampally, Hyderabad, Rangareddy, Telangana, India - 500 032

Email ID: einward.ris@kfintech.com

Information for Shareholders

Updation of KYC and Nomination Process

SEBI, vide its Circular dated November 03, 2021 which is now part of SEBI’s Master Circular No.  HO/38/13/(4)2026-MIRSD-POD/I/4298/2026 dated February 6, 2026 for registrars to an issue and share transfer agent (‘the SEBI Circular’) has mandated furnishing following information by holders of securities in physical form:

  • a. Valid PAN – i.e. PAN linked with Aadhaar
  • b. KYC Details that includes:
    • i. Contact details - i.e. present postal address with PIN code and mobile number mandatory in all cases; and e-mail address mandatory for availing online services;
    • ii. Bank account details – i.e. bank and branch name, bank account number, IFSC code
    • iii. Specimen signature – by submitting duly attested Form ISR- 2

Dealing in Folios without PAN and KYC details:

The SEBI Circular further mandates that any service request or grievance shall be entertained or any payment, including payment of dividends, shall be made electronically to the security holders holding securities in physical form, only upon furnishing of the Valid PAN and the KYC Details, as mentioned above, against their respective folios.

Further, the condition of furnishing or updating of ‘Choice of Nomination’ against the folio has been relaxed and any service request or grievance shall be entertained or payment of dividend etc. shall be made if all other mandatory information, except the Choice of Nomination, has been furnished. However, the shareholders are encouraged, in their own interest, to provide or update the ‘Choice of Nomination’ against the folio for ensuring smooth transmission of securities.

Issuance of Securities in dematerialized form in case of Investor Service Requests

As per the SEBI Circular, while processing service requests in relation to; 1) Issue of duplicate securities certificate; 2) Claim from Unclaimed Suspense Account and Suspense Escrow Demat Account; 3) Replacement / Renewal / Exchange of securities certificate; 4) Endorsement; 5) Sub-division / Splitting of securities certificate; 6) Consolidation of securities certificates/folios; 7) Transmission; and 8) Transposition, the Company shall issue securities only in dematerialised form. For processing any of the aforesaid service requests the securities holder/claimant shall submit duly filled up forms along-with all the documents as mentioned therein.

Details of various forms prescribed by SEBI for processing of various investors service requests is given below:

Sr. No. Form No. Description of the Form Link to download the Form
1. ISR-1 Request for Registering/updation of details: Form ISR-1
i. PAN
ii. Address with PIN Code
iii. Email Address
iv. Mobile number
v. Bank Account Details (Bank name and Branch, Bank account number, IFS Code)
vi. Demat account Number
2. ISR-2 Confirmation of Signature by Banker Form ISR-2
3. ISR-3 Declaration for Opting out of Nomination Form ISR-3
4. SH-13 Nomination Details Form Form SH-13
5. ISR-4 Request for issue of Securities in demat form in case of below: Form ISR-4
i. Issue of Duplicate Securities Certificate
ii. Claim from Unclaimed Suspense Account & Suspense Escrow Demat Account
iii. Replacement / Renewal/ Exchange of Securities Certificate
iv. Endorsement
v. Sub-Division/ Splitting of Securities Certificate
vi. Consolidation of Securities Certificate/ Folios
vii. Transposition
viii. Change in the Name of the Holder
6. Affidavit-cum-indemnity (For issuance of duplicate securities where the value of securities does not exceeds Rs. Ten Thousand) Annexure 7
7. Affidavit-cum-indemnity (For issuance of duplicate securities where the value of securities exceeds Rs. Ten Thousand) Click here

A member needs to submit Form ISR-1 for updating PAN and other KYC details to the RTA of the Company. Member(s) may submit Form SH-13 to file Nomination. However, in case a Member do not wish to file nomination ‘declaration to Opt-out’ in Form ISR-3 shall be submitted.

In case of major mismatch in the signature of the members(s) as available in the folio with the RTA and the present signature or if the signature is not available with the RTA, then the member(s) shall be required to furnish Banker’s attestation of the signature as per Form ISR-2 along-with the documents specified therein. Hence, it is advisable that the members send the Form ISR-2 along-with the Form ISR-1 for updating of the KYC Details or Nomination.

Mode of submission of form(s) and documents

a) Submitting Hard copy through Post/Courier etc.
Members can forward the hard copies of duly filled-in and signed form(s) along with self-attested and dated copies of relevant documentary proofs as mentioned in the respective forms, to the following address:

KFin Technologies Limited, Unit: CIE Automotive India Limited Selenium Tower B, Plot 31-32, Gachibowli, Financial District, Nanakramguda, Hyderabad – 500 032.

b) Through Electronic Mode with e-sign
In case members have registered their email address, they may send the scan soft copies of the form(s) along with the relevant documents, duly e-signed, from their registered email id to einward.ris@kfintech.com or upload KYC documents with e-sign on RTA's website at the link: https://ris.kfintech.com/clientservices/isc/.

c) Submitting Hard copy at the office of the RTA
The form(s) along-with copies of necessary documents can be submitted by the securities holder (s) / claimant (s) in person at RTA's office. For this, the securities holder/claimant should carry Original Documents against which copies thereof shall be verified by the authorized person of the RTA and copy(ies) of such documents with IPV (In Person Verification) stamping with date and initials shall be retained for processing.

Mandatory Self-attestation of the documents
Please note that each page of the documents that are submitted in hard copy must be self-attested by the holder. In case the documents are submitted in electronic mode then the same should be furnished with e-sign of scan copies of the documents.

E-Sign
E-Sign is an integrated service which facilitates issuing a Digital Signature Certificate and performing signing of requested data by eSign user. The holder/claimant may approach any of the empaneled eSign Service Provider, details of which are available on the website of Controller of Certifying Authorities (CCA), Ministry of Communications and Information Technology (https://cca.gov.in/) for the purpose of obtaining an e-sign.

Information for shareholders holding Securities in Demat Form
Nomination in demat and trading accounts

SEBI, vide its Circular dated November 03, 2021 which is now part of SEBI’s Master Circular No.  HO/38/13/(4)2026-MIRSD-POD/I/4298/2026 dated February 6, 2026 provides that non-submission of ‘Choice of Nomination’ shall not result in freezing of Demat Accounts.

However, all new investors shall continue to be required to mandatorily provide the 'Choice of Nomination' for demat accounts (except for jointly held Demat Accounts).

However, the existing investors are encouraged, in their own interest, to provide or update the ‘Choice of Nomination’ against their Demat Accounts for ensuring smooth transmission of securities.

Pursuant to regulation 12 read with Schedule-I to the Listing Regulations, the payment of dividend shall be made only in electronic mode to all shareholders. Further, as per the SEBI Master circular for compliance with the provisions of the Listing Regulations last updated on 30 th January, 2026 (the Master Circular), the shareholders holding securities in physical mode, must update their KYC details (i.e. Valid PAN, contact details, bank account details and specimen signature) against their folios.

In case any of the KYC details are not updated in the folio (in case of physical holding) or the bank account details are not updated (in case of demat holding), the Company shall withheld dividend and the said dividend payment shall be made through Electronic Mode only upon complying with the requirements of updation of KYC/ bank account details, as the case may be.

Transmission of Securities

SEBI, vide its Circular dated July 23, 2026 (the Circular) has simplified and standardized the framework for transmission of securities to enhance ease of dealing in securities markets.

Accordingly, in terms of Regulation 40(7) of the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (“LODR Regulations”), as amended vide Gazette Notification no. SEBI/LAD-NRO/GN/2026/312 dated July 10th, 2026, revised transmission framework for securities is prescribed in the aforesaid Circular.

The Circular prescribes Process and Documentation under 3 categories

(i) Quick Transmission Processing i.e. QTP Category
(ii) Simplified Category; and
(iii) above threshold Category.

The monetary thresholds under each of the categories is as under:

Type of holding Claims threshold under Quick Transmission Processing (QTP) (₹ in Thousands) Claims threshold under simplified documentation (₹ in Lakhs)
Securities in physical mode 10 10
Securities in dematerialised mode 30 30

Format of standardized forms for receiving the claims and other documents:

Sr. No. Description of the Form Link to download the Form
1 Transmission Request form-cum-Undertaking on plain paper for claims under QTP category Annexure-2
2 Transmission Request Form for claims other than QTP category Annexure-3
3 Notarised indemnity bond indemnifying the processing entity Annexure-4
4 Notarised affidavit-cum-NOC from legal heirs, as applicable, confirming identification and claim of legal ownership to the securities and no objection Annexure-5

The procedure to be followed for transmission of securities in various scenarios is provided in the circular. You may kindly download the circular to know more details about the same. Click here to download the Circular.

Simplified Grid for Documentation Requirement for Transmission of Securities

Applicability of Documentation Categories

Category Applicability
QTP Quick Transmission Processing — very low-value claims by immediate relatives (parents, spouse, children, parents-in-law)
Simplified Simplified documentation cases other than QTP, within the prescribed threshold
Above Threshold Claims exceeding the simplified documentation threshold

Documentation Grid

Item Document required from claimant (duly signed / executed) QTP Simplified Above Threshold
A. Common documents (mandatory in all cases)
1 Transmission request form ✔ ✔ ✔
2 Latest Client Master List (CML) of the claimant's demat account ✔ ✔ ✔
3 Verifiable death certificate of the deceased security holder ✔ ✔ ✔
4 Original security certificate/statement of SOA ✔ ✔ ✔
5 Copy of Birth Certificate or School leaving certificate/ Passport or Aadhaar attested by guardian (in case the nominee/claimant/legal heir is a minor) ✔ ✔ ✔
6 KYC of the Guardian (in case of nominee /claimant being a minor / of unsound mind) ✔ ✔ ✔
B. Relationship proof - applicable for "QTP"
7 Document evidencing relationship between the claimant and the deceased security holder (applicable only where claimant is parent, spouse, child or parent-in-law) ✔ — —
8 Transmission Request Form-cum-Undertaking on plain paper as per specified format ✔ — —
C. Indemnity and consent - applicable for "Simplified" category
9 Notarised indemnity bond indemnifying the RTA / listed entity/AMC as may be applicable. However, in case the claimant submits any court issued documents viz., Succession Certificate or Probate of Will or Letter of Administration or Court Decree, the requirement of submission of Notarised indemnity bond will not be applicable. — ✔ —
10 Notarised affidavit cum NOC from all* legal heirs, confirming identification and claim of legal ownership to the securities and no objection.
OR
copy of family settlement deed executed by all legal heirs, duly attested by a notary public, gazetted officer, or accepted and approved by a magistrate, judge or civil court.

*In case the claimant submits any court issued documents viz., Succession Certificate or Probate of Will or Letter of Administration or Court Decree, the requirement of submission of Affidavit-cum-NOC from non-claimant legal heir(s) will not be applicable.		 — ✔ —
D. Other documents - applicable for "Above Threshold" category
11 Notarised affidavit-cum-NOC from all* legal heirs, confirming identification and claim of legal ownership to the securities and no objection.

*In case the claimant submits any court issued documents viz., Succession Certificate or Probate of Will or Letter of Administration or Court Decree, the requirement of submission of Affidavit-cum-NOC from non-claimant legal heir(s) shall not be applicable.		 — — ✔
12 Any ONE of the following succession documents:
Copy of Will as may be applicable in terms of Indian Succession Act,1925, along with a notarized indemnity bond from the legal heir(s)/claimant(s) to whom the securities have to be transmitted, as per the format specified
OR
Legal Heirship Certificate or its equivalent issued by relevant authority which will mean a revenue authority not below the rank of a Tehsildar or equivalent authority, along with a notarized indemnity bond from the legal heir (s)/claimant(s) to whom the securities have to be transmitted, as per specified format;
OR
Copy of Succession certificate or Letter of Administration or Court Decree.		 — — ✔
Online Dispute Resolution Portal

SEBI vide its circular dated 31 st July 2023, which is now part of SEBI’s Master Circular No. HO/38/13/(4)2026-MIRSD-POD/I/4298/2026 dated February 6, 2026 (the SEBI Circular), has prescribed framework for Online Resolution of Disputes in the Indian Securities Market by establishing a common Online Dispute Resolution Portal (“ODR Portal”). The ODR Portal harnesses online conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market.

In accordance with the SEBI Circular the Company has registered itself on the ODR Portal. Any shareholder (or holders on account of nominations or transmission being given effect to) may refer any unresolved issue of any service requests / service-related complaints for due resolution by harnessing online conciliation and/or online arbitration as specified in the SEBI Circular.

For more details related to online dispute redressal process you may kindly visit the ODR Portal at the weblink: https://smartodr.in/intermediary/login