RBTI(G I Series) Circular No. 1 (95-96)

   

 

 

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

 

1. 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 :

 

1. 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:

 

 

 

 

 

 

 

 

1.  
   1. OWNERSHIP

   CHANGES IF ANY, IN MAJOR SHAREHOLDERS

   HOLDING 5% OR MORE VOTING SHARES.

   2. KEY MANAGEMENT PERSONNEL AND DIRECTORS
   3. ANY ADDITION/ DELETION IN THE LIST OF BRANCHES DESIGNATED AS

   COLLECTING BRANCHES FOR THE PURPOSE OF ACCEPTANCE OF

   APPLICATIONS IN PUBLIC ISSUES. IF SO, PLEASE SPECIFY .

    

    

   4. CAPITAL STRUCTURE
   5. PTHERS – ANY EVENT AFFECTING THE OPERATIONS OF THE BANK

    

    

    

    

ADVERSELY.

PLACEDATE AUTHORISED SIGNATORY

 

NOTE: PLEASE SEND A COPY OF THE BALANCE SHEET WHEN READY.