Reporting of information on a quarterly basis - Registrars To Issue and Share Transfer Agents

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May 06, 2008 |

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GENERAL MANAGER

Market Intermediaries Regulation & Supervision Department

Division of Policy - II

Cir. No. MIRSD/DPS-2/RTA/Cir-17/2008

May

6

, 2008

To

All Registrars to an Issue/ Share Transfer Agents

Dear Sir / Madam,

Sub:

Reporting of information on a quarterly basis

Vide RRTI Circular No. 1(94-95) dated October 11, 1994, SEBI advised all

Registrars To Issue/Share Transfer Agents to submit information pertaining to their activities on a quarterly basis as per the format prescribed in Annexure C of the said circular.

The existing format for such reporting prescribed in Annexure C of the above mentioned circular has been modified. The revised format for submitting quarterly reports is enclosed as annexure to this circular (Annexure A) . All Registrars To Issue/Share Transfer Agents shall henceforth submit the information in accordance with Annexure A of this circular for every calendar quarter beginning with the quarter April 1, 2008 to June 30, 2008 within 15 days of the expiry of the quarter. The reports shall be duly certified by the Whole Time Director/Company Secretary/Managing Partner/Sole Proprietor/Compliance Officer with date.

It has also been decided that beginning from the quarter ended June 30, 2008 , Registrars To Issue/Share Transfer Agents shall submit the quarterly reports to SEBI in electronic form only and the submission of such reports in hard copy shall be dispensed with. The quarterly reports in the revised format shall be submitted to e-mail id rta@sebi.gov.in in pdf and excel format. Thus, Registrars To Issue/Share Transfer Agents shall submit two files by e-mail – one file in pdf format and the other in excel format on a quarterly basis.

The pdf /excel

files shall

be sent to email

id

rta@sebi.gov.in with the title “Quarterly report submitted by aaa for the quarter ended xxx yyyy ” where aaa represents the name of the Registrar to the Issue, xxx represents the month at the end of the quarter and yyyy represents the year. Also, the attached pdf /excel files containing the report shall bear the name of the Registrar To Issue / Share Transfer Agent, the periodicity of the report as well as

the month at the end of the quarter

and the corresponding year.

For example, if a Registrar To Issue/Share Transfer Agent ABC Limited

submits the report for the quarter ended June 2008, the e-mail sent to rta@sebi.gov.in shall bear the title ”Quarterly Report submitted by ABC Limited for the quarter ended June 2008” and the attached pdf /excel

file shall bear the name “ABCLimitedquarterlyJune2008”.

The other terms and conditions mentioned in RRTI Circular No. 1(94-95) dated October 11, 1994 shall remain unchanged.

This circular is being issued in exercise of the powers conferred under Section 11 (1) of Securities and Exchange Board of India Act, 1992. Copy of the circular is also available on the SEBI web-site www.sebi.gov.in .

Yours faithfully,

Suresh B. Menon

Enc:

Annexure