APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR

RELEASE OF 1% DEPOSIT PLACED WITH THE REGIONAL STOCK EXCHANGE

(to be submitted to the Board on Issuer Company's Letter Head)

1. Issue details indicating :

a) Name of the Company

b) Details of Registrars

c) Nature and size

d) Date of closure

e) No. of applications received and amount subscribed

f) No. of times the issue was subscribed

g) First and last date of despatch of original refund orders/cancelled stock-invests

h) First and last date of despatch of allotment letters/certificate

i) First and last date of sending certificates to NRIs. (Enclose RBI approval letter. If approval is not received, date of filing the documents with RBI along with a copy of letter forwarded to RBI)

j) Mode of despatch of Refund orders/Allotment letters/ Certificates.

k) Total amount transferred to the Refund Acount and balance outstanding as of latest date (Enclosed bank certificate)

1. Name of the Regional Stock Exchange and the amount deposited as 1% deposit.

2. A note on the existing complaint redressal system followed by the Company/Registrar to the Issue highlighting

1. infrastructure
1. manpower
2. computer back-up
3. level of attention and
4. average time taken in solving the complaints

3. Performance in redressal of investor complaints

____________________________________________________________

Sr. No. Source No. of Complaints

Received Resolved Pending

____________________________________________________________

(i) Directly

(ii) SEBI

(iii) Stock Exchange

(iv) Investor Associations

____________________________________________________________

b) State briefly the nature of complaints indicating the approximate percentage break-up of various types

c) Give reasons for pendency of complaints

4. A copy of the letter from the concerned Regional stock exchange directing the company to obtain NOC from the Board.

5. A copy of the letter from the respective stock exchanges giving permission for trading in the shares of the issue for which NOC is sought (Give reasons for delay, if any, in listing of securities)

6. A Certificate from the concerned Regional stock exchange to the effect that underwriting/brokerage commission as well as Registrars/Lead Managers fees have been duly paid by the company.

8. Any other information.

CERTIFIED that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders/allotment letters/certificates are pending for despatch in respect of the issue.
 

FOR COMPANY Place :

(Name & Signature of Date :
Authorised Signatory)