Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri...

23

Transcript of Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri...

Page 1: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs
Page 2: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs
Page 3: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs
Page 4: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs
Page 5: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs
Page 6: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

7

!Ó!ò ÏÎ˚yÜÑ˛yÓ˚# !ü«˛y Á ¢%Ó˚«˛y ö˛yu˛(Investor Education and Protection Fund)

!Ó!òˆÏÎ˚yÜÑ˛yÓ˚# !ü«˛y Á ¢%Ó˚«˛y ö˛yu˛!›˛ Sxy£z £z !˛ô ~ö˛V!Ó!ò ÏÎ˚yÜÑ˛yÓ˚# ÏîÓ˚ ¢ Ïâ˛ì˛òÈÙÈ¢ãyÜ ~ÓÇ ¢%Ó˚«˛yÓ˚ fl ∫y ÏÌ≈ 1956 ¢y ÏúÓ˚ˆÑ˛y¡ôyò# xy£zˆÏòÓ˚ xyÁì˛yÎ˚ ≤Ã!ì˛!¤˛ì˛ £ˆÏÎ˚ˆÏäÈ– xy£z £z !˛ô ~ö˛ÈÙÈ~Ó˚ xhs˛Ü≈ì˛Ñ˛yÎ≈yÓú#Ó˚ õ Ïïƒ ÈÙÙÙÈ !Ó!¶˛ß¨ ˆ¢!õòyÓ˚ ~ÓÇ !õ!v˛Î˚yÓ˚ õyïƒõ !î ÏÎ˚!Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ !ü!«˛ì˛ ~ÓÇ ì˛yˆÏîÓ˚ õˆÏïƒ ¢ˆÏâ˛ì˛òì˛y ¢,!‹T Ñ˛Ó˚y £Î˚–!Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ !ü«˛y ¢ˆÏâ˛ì˛òì˛y Á ¢%Ó˚«˛yÓ˚ ãòƒ !Ó!¶˛ß¨ ≤ÃÑ˛ˆÏ“ xy!Ì≈Ñ˛¢y£y΃ ˆîÁÎ˚y £Î˚– ~£z v z ÏjˆÏüƒ xy£z £z !˛ô ~ö˛ !ì˛ò!›˛ ÁˆÏÎ˚Ó¢y£z›˛ Ó£ò Ñ˛ˆÏÓ˚ⲠÏú ÏäÈ–

!Ó!ò ÏÎ˚yÜÑ˛yÓ˚# ¢¡ô!Ñ≈˛ì˛ xy£z £z !˛ô ~ö˛ÈÙÈ~Ó˚ Á ÏÎ˚Ó¢y£z›˛l iepf.gov.in

~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ «% o !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ õ)úïò# ÓyãyÓ˚ ¢Çe´yhs˛≤à ÏÎ˚yãò#Î˚ ì˛ÌƒÈÙÈ¢¡ôî «% o !Ó!ò ÏÎ˚yÜÑ˛yÓ˚#Ó˚ ¶˛y°ÏyÎ˚ ˛ô!Ó˚ ÏÓüò Ñ˛ ÏÓ˚–

~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ˆÏì˛ Óì≈˛õyˆÏò IPO-ˆì˛ !Ó!òˆÏÎ˚yÜñ !õv˛zâ%˛ƒÎ˚yú ö˛yˆÏu˛!Ó!òˆÏÎ˚yÜñ ˆüÎ˚yÓ˚ e´Î˚ÈÙÈ!Óe´Î˚ñ !v˛˛ô!ã›˛!Ó˚ xƒyÑ˛yv zr›˛ñ }ˆÏíÓ˚ ÓyãyÓ˚ñˆv˛!Ó˚ˆÏ¶˛!›˛¶˛¢ õyˆÏÑ≈˛›˛ñ ¢)â˛Ñ˛¢£ñ ¢)â˛Ñ˛ ö˛yu˛ñ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ x¶˛yÓx!¶˛ˆÏÎyÜ Sfi›˛Ñ˛ ~:ˆÏâ˛OVñ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ x!ïÑ˛yÓ˚ Á Ñ˛ì≈˛Óƒ ~ÓÇ !Ñ˛Ñ˛Ó˚ˆÏÓò Óy !Ñ˛ Ñ˛Ó˚ˆÏÓò òy ~£z ¢Çe´yhs˛ !ӰψÏÎ˚ ì˛Ìƒ ÌyˆÏÑ˛–

~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ Óì≈˛õyˆÏò £zLjÏÓ˚ã#ñ !£!® Á 12!›˛ ≤Ãïyò xyM˛È!úÑ˛¶˛y°ÏyÎ˚ ˆîÖy ÎyÎ˚–

l watchoutinvestors.com

ãyúÈÙÈã%Î˚yâ% !Ó˚Ó˚ !ÓÓ˚&ˆÏk˛ xydÓ˚«˛y£z £ú Óv ¸ Ñ˛ÓⲖ ã%Î˚yâ% !Ó˚ ˆÑ˛y¡ôy!ò/ò#!ì˛ ¶˛DÑ˛yÓ˚# ˆÑ˛y¡ôy!ò õïƒfl˛iì˛yÑ˛yÓ˚# ~ÓÇ Óƒ!_´Ó ÏÜ≈Ó˚ !ÓÓ˚& Ïk˛ ˛ô,!ÌÓ#Ó˚ õ Ïïƒ≤ÃÌõ ~£z ïÓ˚ˆÏòÓ˚ ÁˆÏÎ˚Ó¢y£z›˛!›˛ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ xydÓ˚«˛yÓ˚ ~Ñ˛!›˛ £y!ì˛Î˚yÓ˚!£ˆÏ¢ˆÏÓ fl˛iyò ˆ˛ôˆÏÎ˚ˆÏäÈ– ~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ Óì≈˛õyˆÏò ~Ñ˛!›˛ ãyì˛#Î˚ !òÓı˛#Ñ,˛ì˛≤Ã!ì˛¤˛yò !£ˆÏ¢ˆÏÓ ˛ô!Ó˚!â˛ì˛ £ˆÏÎ˚ˆÏäÈ–

õ)úïò# ÓyãyˆÏÓ˚Ó˚ ¢)â˛òyÑ˛yÓ˚# ˛ôÌ!òˆÏî≈üÑ˛ Ó£z!›˛Ó˚ ÓyÇúy xò%ÓyîÑ˛v˛. xy!ü¢Ñ% õyÓ˚ ¢yòyñ xïƒy˛ôÑ˛ñ Óy!íム!Ó¶˛yÜñ Ñ˛!úÑ˛yì˛y !ÓŸª!ÓîƒyúÎ˚

Page 7: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

8

~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ˆÏì˛ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚y o&ì˛ñ ì˛yÓ˚ ¢yˆÏÌ ~ÓÇÓı%˛Ó˚õˆÏì˛y ÓƒÓ£yÓ˚ Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚– ~!›˛ òì%˛ò !Ó!òˆÏÎ˚yˆÏÜÓ˚ ˛ô)ˆÏÓ≈ !Ó!¶˛ß¨ˆÑ˛y¡ôy!ò xÌÓy ≤Ã!ì˛¤˛yˆÏòÓ˚ òyòy!Óï ì˛Ìƒ Á ˆ˛ôy›≈˛ˆÏö˛y!úÁ ¢¡ôˆÏÑ≈˛ ì˛Ìƒ¢Ó˚ÓÓ˚y£ Ñ˛ ÏÓ˚–

31ˆü ˆõ 2010 ˛ôÎ≈hs˛ 1,06,000 üy!hfl˛≤ÃyÆ ò#!ì˛¶˛DÑ˛yÓ˚# ˆÑ˛y¡ôy!òÓ˚/≤Ã!ì˛¤˛yˆÏòÓ˚ òyõ ~ˆÏì˛ ò!ÌÓk˛ £ˆÏÎ˚ˆÏäÈ– ~Ó˚ õˆÏïƒ 72,517!›˛ ˆÑ˛y¡ôy!ò/ö˛yõ≈~ÓÇ 33,947 ãòƒ Óƒ!_´Á xhs˛¶%≈ _´– !Ó!¶˛ß¨ !òÎ˚s˛fÑ˛ ¢Çfl˛iy=!ú ~£z ¢Çe´yhs˛xv≈˛yÓ˚ ˛ôyü Ñ˛ˆÏÓ˚ˆÏäÈ ì˛yÓ˚ õˆÏïƒ BSE, CDSL, CLB, DRT, EPFO, IRDA,

MCA, NHB, NSDL, NSE, RBI, ROC ~ÓÇ SEBI–Ñ˛ ÏÎ˚Ñ˛ ú«˛ !Ó!ò ÏÎ˚yÜÑ˛yÓ˚# ~£z Á ÏÎ˚Ó¢y£z›˛!›˛ ÓƒÓ£yÓ˚ Ñ˛ ÏÓ˚ ⲠÏú ÏäÈ S31ˆü

ˆõñ 2010 ˛ôÎ≈hs˛ 27 ú Ï«˛Ó˚Á ˆÓ!üV–l investorhelpline.in

~£z ÁˆÏÎ˚Ó¢y£z›˛!›˛ˆÏì˛ !Óòyõ)ˆÏúƒ ~Ñ˛£z äÈyˆÏîÓ˚ ì˛úyÎ˚ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚y!Ó!¶˛ß¨ !ӰψÏÎ˚ ì˛yˆÏîÓ˚ x!¶˛ˆÏÎyÜ !Ó!¶˛ß¨ Ñ˛ì≈, ˛ô«˛ ˆÎõò ˆÑ˛y¡ôy!ò !Ó°ÏÎ˚Ñ˛õs˛fÑ˛ (Ministry of Company Affairs), ˆÑ˛y¡ôy!ò !òÓı˛Ñ˛ (Registrar of

Companies), ¶˛yÓ˚ì˛#Î˚ !¢!Ñ˛v z!Ó˚!›˛ã ~ÓÇ ~:ˆÏâ˛O ˆÓyv≈˛ (Securities and

Exchange Board of India) ~ÓÇ ¶˛yÓ˚ì˛#Î˚ !Ó˚ãy¶≈ ÓƒyÇ ÏÑ˛Ó˚ (Reserve Bank

of India) Ñ˛yˆÏäÈ ˆ˛ô§ÔˆÏäÈ !îˆÏì˛ ˛ôyˆÏÓ˚– ~£z ÁˆÏÎ˚Ó¢y£zˆÏ›˛Ó˚ õyÏõ x!¶˛ˆÏÎyÜÁ!ú!˛ôÓk˛ Ñ˛Ó˚y £Î˚ ~äÈyv ¸y ˆÑ˛y¡ôy!ò Á ì˛Í¢Ç!Ÿ’‹T !òÎ˚s˛fÑ˛ ≤Ã!ì˛¤˛yò=!úÓ˚ myÓ˚y≤Ã!ì˛Ñ˛yÓ˚Á Ñ˛Ó˚y £Î˚– !Ó!ò ÏÎ˚yÜÑ˛yÓ˚#Ó˚y xòúy£z Ïò õ)úï ÏòÓ˚ ÓyãyÓ˚ ~ÓÇˆÑ˛y¡ôy!ò ãõy ¢¡ôˆÏÑ≈˛ ì˛yˆÏîÓ˚ x!¶˛ˆÏÎyÜ îyˆÏÎ˚Ó˚ Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚ ~ÓÇ ~Ñ˛£z¢yˆÏÌ x!¶˛ˆÏÎyˆÏÜÓ˚ ≤Ã!ì˛Ñ˛yÓ˚ Ñ˛ì˛î)Ó˚ x@˘Ã¢Ó˚ £ˆÏÎ˚ˆÏäÈ ì˛yÁ ãyòˆÏì˛ ˛ôyˆÏÓ˚– Ó,£ÍxLjÏüÓ˚ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚y ~£z ¢%!Óïy @˘Ã£í Ñ˛Ó˚ˆÏäÈ–

!Ó!ò ÏÎ˚yÜ ¢¡ô ÏÑ≈ ¢¡ôyî ÏÑ˛Ó˚ 20 !›˛ õs˛f(Editor’s 20 Mantras)

l ¢M˛ÈÎ˚ Ñ˛Ó˚&ò !Óⲫ˛íì˛yÓ˚ ¢y ÏÌ–l !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚&ò Ó%!k˛õ_yÓ˚ ¢yˆÏÌ–!Ó!ò ÏÎyÜl !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚y Óyïƒì˛yõ)úÑ˛l xy˛ôòyˆÏÑ˛ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏì˛ £ˆÏÓ òì%˛Óy xy˛ôòyÓ˚ ¢M˛ÈˆÏÎ˚Ó˚ õ)ˆÏúƒÓ˚ xÓâ˛Î˚

£ˆÏÓ xÌÓy xy˛ôòyÓ˚ e´Î˚«˛õì˛y £…y¢ ˛ôyˆÏÓ–

Page 8: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

9

l ì˛Ìy!˛ôñ xõˆÏòyˆÏÎyÜ# Óy ˆÓ!£ˆÏ¢Ó# !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚y xy˛ôòyÓ˚ ¢¡ôˆÏîÓ˚˛ô Ï«˛ «˛!ì˛Ñ˛Ó˚–

Ó%!k˛õ_yÓ˚ ¢yˆÏÌ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚yÓ˚ 20!›˛ õs˛f

õs fÈÙÈ1 É ˆÎ ¢õhfl˛ ˆÑ˛y¡ôy!òÓ˚ õ)ú !¶˛!_ ü_´ ˆ¢ÖyˆÏò !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚&ò–õs fÈÙÈ2 É Îb ¢£Ñ˛y ÏÓ˚ !Ó!ò ÏÎ˚yÜ ¢Çe´yhs˛ î!úúy!î ˛ôv Yò–õs˛f ÈÙÈ 3 É !Ó!ò ÏÎ˚y ÏÜÓ˚ ã#Óòâ˛e´ xò%¢Ó˚í Ñ˛Ó˚&ò–õs˛f ÈÙÈ 4 É IPO ˆì˛ !Ó!ò ÏÎ˚yÜ Ñ˛Ó˚&ò–õs˛f ÈÙÈ 5 É ≤Ã!ì˛!›˛ Ó˚y‹T…yÎ˚_ ¢Çfl˛iyÓ˚ IPO ˆì˛ !Ó!ò ÏÎ˚yÜ Ñ˛Ó˚&ò–õs˛f ÈÙÈ 6 É !õv˛zâ%˛ƒÎ˚yú ö˛yˆÏu˛ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚&ò !Ñ˛ls˛ ¢!‡˛Ñ˛ ö˛yu˛ ~ÓÇ !fl˛Òõ

!òÓ≈yâ˛ò Ñ˛Ó˚&ò–õs˛f ÈÙÈ 7 É !Ó!e´ Ñ˛Ó˚ˆÏì˛ !üÖ%ò–õs˛f ÈÙÈ 8 É ÷ï%õye !òÓı˛#Ñ, ì˛ õïƒfl˛iì˛yÑ˛yÓ˚# ÏîÓ˚ õyïƒ Ïõ e´Î˚ !Óe´Î˚ Ñ˛Ó˚&ò–õs˛f ÈÙÈ 9 É ¢£ã õ%òyö˛y úyˆÏ¶˛Ó˚ v z ÏjˆÏüƒ ˆúyˆÏ¶˛Ó˚ Óü#¶) ì˛ £ˆÏÎ˚ !Ó!òˆÏÎ˚yÜ

Ñ˛Ó˚ ÏÓò òy–õs˛f ÈÙÈ 10 É ¢ÇÓyîõyïƒõ Óy !õ!v˛Î˚y !ÓˆÏü°Ïì˛≠ fi›˛Ñ˛ ¢¡ô!Ñ≈˛ì˛ ˜Óî%ƒ!ì˛ò

õyÏõÓ˚ v z ôˆÏîü ˆÌˆÏÑ˛ ¢ì˛Ñ≈˛ ÌyÑ% ò–õs˛f ÈÙÈ 11 É xÎÌy !ÓK˛y˛ôˆÏòÓ˚ â˛õˆÏÑ˛ !ÓŸªy¢ Ñ˛Ó˚ˆÏÓò òy–õs˛f ÈÙÈ 12 É fl˛iyÎ˚#/!ò!ÿ˛ì˛ ≤Ãy!Æ ≤ÃÑ˛ Ï“Ó˚ Óƒy˛ôy ÏÓ˚ ¢ì˛Ñ≈ ÌyÑ% ò–õs˛f ÈÙÈ 13 É ˆ@˘Ã õyˆÏÑ≈˛›˛ !≤Ã!õÎ˚y (Grey Market Premia) ˆÌ ÏÑ˛ ¢ì˛Ñ≈

ÌyÑ%˛ò–õs˛f ÈÙÈ 14 É ˆ¢QÓ˚ !¶˛!_Ñ˛ ˆÑ˛y¡ôyò#Ó˚ ö˛úyö˛ˆÏú xÎÌy v˛zÕ‘!¢ì˛ £ˆÏÎ˚

!Ó!ò ÏÎ˚yÜ Ñ˛Ó˚ ÏÓò òy–õs˛f ÈÙÈ 15 É IPO ˆ@˘Ã!v˛Ç Óy fl˛∫yï#ò ˛ô!Ó˚â˛yúˆÏÑ˛Ó˚ õì˛yõˆÏì˛Ó˚ v˛z˛ôÓ˚ ˆÓü#

!ò¶≈˛Ó˚ Ñ˛Ó˚ˆÏÓò òy–õs˛f ÈÙÈ 16 É ˆÑ˛y¡ôyò#Ó˚ !£¢yÓ !òÓ˚#!«˛ì˛ ÷ï%õye ~£z ˆ¶˛ˆÏÓ£z xˆÏı˛Ó˚ õì˛

ˆÑ˛yò !¢k˛yhs˛ ˆòˆÏÓò òy–õs˛f ÈÙÈ 17 É ¢hfl˛yÓ˚ ˆüÎ˚yÓ˚ ˆÑ˛òy õyˆÏò£z ˆÎ xy˛ô!ò úy¶˛Óyò £ˆÏÓò ~õò

¶˛yÓòy xõ)úÑ˛–õs˛f ÈÙÈ 18 É ˆÎ ¢õhfl˛ ˆÑ˛y¡ôyò#Ó˚ ˆ≤ÃyˆÏõy›˛yˆÏÓ˚Ó˚y ˆüÎ˚yÓ˚/ÁÎ˚yˆÏÓ˚r›˛ !òˆÏãˆÏîÓ˚

Ñ˛yˆÏäÈ£z !Ó!ú Ñ˛ˆÏÓ˚ ì˛yˆÏîÓ˚ Óƒ˛ôyˆÏÓ˚ ¢ì˛Ñ≈˛ ÌyÑ%˛ò–õs˛f ÈÙÈ 19 É Ñ˛ˆÏ˛ô≈yˆÏÓ˚›˛ ܶ≈˛ˆÏò™ ˛ô%Ó˚‹ÒyÓ˚/CSR ~Ó˚ myÓ˚y xÎÌy ≤ö˛y!Óì˛

£ ÏÓò òy–õs˛f ÈÙÈ 20 É ¢Í ˛ôˆÏÌ ˆÌˆÏÑ˛ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚&ò–

Page 9: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

10

!Ó!ò ÏÎ˚yÜÑ˛yÓ˚# ÏîÓ˚ x!ïÑ˛yÓ˚[Rights of Investor]

õ)úï ÏòÓ˚ ÓyãyÓ˚ (Capital Market)

õ)úï ÏòÓ˚ ÓyãyÓ˚ £ú ú!@¿˛ô ÏeÓ˚ (Securities) ÓyãyÓ˚ S£zÑ% ƒ£z!›˛ ~ÓÇ }íV ÎÖy ÏòˆÑ˛y¡ôy!ò ~ÓÇ ¢Ó˚Ñ˛yÓ˚ î#á≈ˆÏõÎ˚yî# xÌ≈ ¢Ç@˘Ã£ Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚– ˆüÎ˚yÓ˚ ÓyãyÓ˚(Secondary Market) ~£z ú!@¿˛ô ÏeÓ˚ e´Î˚ !Óe´ ÏÎ˚Ó˚ ≤’y›˛ö˛õ≈ ˜ì˛Ó˚# Ñ˛ ÏÓ˚ ˆîÎ˚–!òÎ˚s˛fÑ˛ !£ˆÏ¢ˆÏÓ SEBI ~ÓÇ RBI ~£z ÓyãyÓ˚ !òÎ˚s˛fí Ñ˛ˆÏÓ˚ ~ÓÇ ~£z ÓyãyˆÏÓ˚Ó˚ÎÌyÎÌ v˛zߨÎ˚ò £ˆÏFäÈ !Ñ˛òy ì˛yÓ˚ ôÎ≈ˆÏÓ«˛ò Ñ˛ˆÏÓ˚ ~ÓÇ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ !òÓ˚y˛ô_yˆîΖ

ˆüÎ˚yÓ˚ˆÏ£y”˛yÓ˚Ó˚y ≤ÃÑ, ì˛˛ôˆÏ«˛ ˆÑ˛y¡ôy!òÓ˚ õy!úÑ˛– ˆÑ˛y¡ôy!ò ¶˛yˆÏúy¶˛yˆÏÓ ÓƒÓ¢yÑ˛Ó˚ˆÏì˛ ˛ôyÓ˚ˆÏú ì˛yÓ˚y !v˛!¶˛ˆÏv˛[˛ ˛ôyÎ˚ ~ÓÇ ì˛yˆÏîÓ˚ õ)úïˆÏòÓ˚ Ó,!k˛ áˆÏ›˛– xòƒ!îˆÏÑ˛ˆÑ˛y¡ôy!ò Î!î ÖyÓ˚y˛ô ö˛úyö˛ú Ñ˛ˆÏÓ˚ ì˛ˆÏÓ ˆüÎ˚yÓ˚ˆÏ£y”˛yÓ˚ˆÏîÓ˚ !Ó!òˆÏÎ˚yˆÏÜÓ˚ xÇü~õò!Ñ˛ ¢¡ô)í≈ !Ó!òˆÏÎ˚yÜ G§%˛!Ñ˛˛ô)í≈ £Î˚ Á ì˛yÓ˚y «˛!ì˛@˘Ãhfl˛ £Î˚–

ˆüÎ˚yÓ˚ Ï£y”˛yÓ˚ !£ Ï¢ ÏÓ x!ïÑ˛yÓ˚[Rights as a Shareholder]

l ˆüÎ˚yÓ˚ Ór›˛ò xÌÓy ˆüÎ˚yÓ˚ ˆÑ˛òyÓ˚ ãòƒ v z!Õ‘!Öì˛ ¢õˆÏÎ˚Ó˚ õˆÏïƒ ì˛yÓ˚y ˆüÎ˚yÓ˚˛ôy ÏÓò–

l Óy!°Ï≈Ñ˛ ≤Ã!ì˛ ÏÓîò ÎyÓ õ Ïïƒ v zk˛ì≈ ˛ôeñ xyÎӃΠ~ÓÇ !£¢yÓ ôÓ#«˛ ÏÑ˛Ó !Ó Ï ôy≈›˛ÌyˆÏÑ˛ ˆ¢!›˛ ˆüÎ˚yÓ˚ˆÏ£y”˛yÓ˚Ó˚y ˛ôyÓyÓ˚ x!ïÑ˛yÓ˚#–

l ÎÌy¢õˆÏÎ˚ ì˛yÓ˚y ú¶˛ƒyÇü Óy !v˛!¶˛ˆÏv˛r›˛ ˛ôyˆÏÓò–

l ˆÑ˛y¡ôy!òÓ xò% Ïõy!îì˛ ¢% ÏÎyÜ ¢%!Óïy Îõò Óy£z›˛¢‰ (Rights) Óyòy¢ (Bonus)

£zì˛ƒy!î ˛ôy ÏÓò–

l ˆÑ˛y¡ôy!òÓ˚ x!ï@˘Ã£òñ ˆüÎ˚yÓ˚ ò!ÌÓk˛Ñ˛Ó˚í Óy!ì˛ú xÌÓy ˆüÎ˚yÓ˚ ˛ô)òÉe´Î˚£ˆÏú ˆüÎ˚yÓ˚ˆÏ£y”˛yÓ˚Ó˚y ˆ¢£z ¢% ÏÎyÜ ˆ˛ôˆÏÎ˚ ÌyˆÏÑ˛ò–

l ˆÑ˛y¡ôy!òÓ˚ ¢yïyÓ˚í ¢¶˛yÎ˚ xÇü@˘Ã£ò Á ˆ¶˛y›˛≤Ãîyò Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚ò–

l ˆÑ˛y¡ôy!òÓ˚ ˆÓ˚!ãfi›˛yv≈˛ x!ö˛ˆÏ¢ !Ó!ïÓk˛ ˆÓ˚!ã‹TyÓ˚ ˛ô!Ó˚îü≈ò Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚ò–

Page 10: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

11

l ˆÑ˛y¡ôy!òÓ ¢yïyÓí ¢¶˛yÓ !õ!ò›˛ Ó£z ô!Óîü≈ò Ñ˛Ó Ïì˛ ôy ÏÓò ~ÓÇ ì˛yÓ Ñ˛!˛ôÁˆ˛ôˆÏì˛ ôyˆÏÓ˚ò–

l ã%Îyâ% !ÓÓ ¢ ÏD Î%_´ ~ÓÇ !Ó!ò ÏÎyÜÑ˛yÓ#Ó Óı% c˛ô)í≈ òÎ ~õò Ñ˛y¡ôy!òÓ !ÓÓ& Ïk˛x!¶˛ˆÏÎyÜ ãyòyˆÏì˛ ˛ôyˆÏÓ˚ò ~ÓÇ ì˛yÓ˚ ãòƒ ≤Ã!ì˛Ñ˛yÓ˚ â˛y£zˆÏì˛ ˛ôyˆÏÓ˚ò–

l Î!î ˆÑ˛yò ˆ«˛ˆÏe ˆÑ˛y¡ôy!ò ˆÖúy!˛ô (default) £Î˚ ì˛y£ˆÏú ì˛yÓ˚ !ÓÓ˚&ˆÏk˛ˆîÁÎ˚y!ò Á ˆö˛Ôãîy!Ó˚ x!¶˛ˆÏÎyÜ îyˆÏÎ˚Ó˚ Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚ò–

l Î!î ˆÑ˛y¡ôy!ò Óı˛ £ˆÏÎ˚ ÎyÎ˚ ì˛y£ˆÏú ˆüÎ˚yÓ˚ˆÏ£y”˛yÓ˚Ó˚y xÓ!ü‹T xÌ≈ ¢¡ôîˆ˛ôˆÏì˛ ôyˆÏÓ˚ò–

!v˛ ÏÓM˛ÈyÓ˚ Ï£y”˛yÓ˚ !£ Ï¢ ÏÓ x!ïÑ˛yÓ˚(Rights as a Debentureholder)

l ¢%î Á ˛ô!Ó˚ Ïüy ÏïÓ˚ xÌ≈ ÎÌy¢õ ÏÎ˚ ˛ôy ÏÓò–

l xò%ˆÏÓ˚yï Ñ˛Ó˚ˆÏú ›˛∆y‹T !v˛v˛ (Trust deed) ~Ó˚ Ñ˛!˛ô ˆ˛ôˆÏì˛ ˛ôyˆÏÓ˚ò–

l !v˛ ÏÓM Èy ÏÓÓ xÌ≈ ô!Ó Ïüy ÏïÓ !î Ïò xÌ≈ !î Ïì˛ òy ôyÓ Ïú CLB Ó Ñ˛y ÏäÈ xy ÏÓîòÑ˛Ó˚ˆÏì˛ ôyˆÏÓ˚ò–

l ˆÑ˛y¡ôy!ò ì˛yÓ˚ }í ˛ô!Ó˚ˆÏüyï Ñ˛Ó˚ˆÏì˛ òy ˛ôyÓ˚ˆÏú ˆÑ˛y¡ôy!ò Óı˛ Ñ˛Ó˚yÓ˚ ãòƒxyˆÏÓîò Ñ˛Ó˚ˆÏì˛ ˛ôyˆÏÓ˚ò–

l x!¶˛ ÏÎy ÏÜÓ˚ ãòƒ Debenture Trustee ˆÑ˛ ãyòyˆÏì˛ ˛ôyˆÏÓ˚ò–

ú!@¿˛ôe ˛ôyÁÎ˚yÓ˚ ãòƒ ˆe´ì˛y/!Ó Ïe´ì˛yÓ˚ x!ïÑ˛yÓ˚(Rights as a buyer/seller of securities to get)

l ¢ ÏÓ≈y_õ îyõ

l îy ÏõÓ˚ ≤Ãõyí / ˆÓ yÑ˛yÓ˚ ÏîÓ˚ ÖÓ˚â˛

l ›˛yÑ˛y/ ˆüÎ˚yÓ˚ ÎÌy¢õˆÏÎ˚

l ˆÓ yÑ˛yÓ xÌÓy !v˛˛ô!ã›˛y!ÓÓ Ñ˛yäÈ Ì ÏÑ˛ ÎÌy¢õ ÏÎ !ÓÓÓí# ôyÁÎyÓ x!ïÑ˛yÓ#–

ú!@¿˛ô Ïe ˆe´ì˛y / !Ó Ïe´ì˛yÓ˚ îyÎ˚Ók˛ì˛y(Obligations as a buyer/seller of securities)

l ˆÓ yÑ˛yÓ˚ !v˛ˆÏ˛ôy!ã›˛y!Ó˚Ó˚ ¢yˆÏÌ ÎÌyÎ̶˛yˆÏÓ â% !_´Ók˛ £ò–

Page 11: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

12

l ˜Óï â% !_´˛ôe Ñ˛y ÏäÈ Ó˚yÖ%ò–

l ÎÌy¢õ ÏÎ˚ xÌ≈ ˛ô!Ó˚ Ïüyï Ñ˛Ó˚&ò–

l ÎÌy¢õˆÏÎ˚ ˆüÎ˚yÓ˚ £hfl˛yhs˛Ó˚ Ñ˛Ó˚&ò–

≤Ã!ì˛Ñ˛y ÏÓ˚Ó˚ x!ïÑ˛yÓ˚ (Rights of redressal)

l ≤Ãì˛yÓ˚íyõ)úÑ˛ îyõ

l x¢yï% îyúyú# ÖÓ˚â˛

l ˆî!Ó˚ˆÏì˛ ˆüÎ˚yÓ˚/ ›˛yÑ˛y ˛ôyÁÎ˚y–

!Ó!ò ÏÎ˚yÜÑ˛yÓ˚# !£ Ï¢ ÏÓ xy˛ôòyÓ˚ Ñ˛ì≈ Óƒ(As an investor, your responsibility)

l ¢Ó≈îy ÖÓÓ˚yÖÓÓ˚ Ó˚yÖ ÏÓò–

l ¢Ó≈îy ¢ãyÜ ÌyÑ˛ ÏÓò–

l !ò ÏãÓ˚ x!ïÑ˛yÓ˚ ~Ñ˛Ñ˛¶˛y ÏÓ xÌÓy ˆÎÔ̶˛y ÏÓ ≤à ÏÎ˚yÜ Ñ˛Ó˚ ÏÓò–

!Ñ˛ Ñ˛Ó˚ ÏÓò ~ÓÇ !Ñ˛ Ñ˛Ó˚ ÏÓò òy[Do’s and Don’ts]

≤ÃyÌ!õÑ˛ ÓyãyÓ˚ (Primary Market)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 ˛˛!ÓÓÓí˛ôe (Prospectus)/ ¢Ç!«˛Æ !ÓÓÓí˛ôe õ Ïòy ÏÎyÜ !î ÏÎ ôv Yò– !Ó Ïü°Ïì˛3 G§%˛!Ñ˛ ¢¡ô!Ñ≈˛ì˛ !Ó°ÏÎ˚

3 ˆ≤ÃyˆÏõy›˛yÓ˚ˆÏîÓ˚ ôy!Ó˚˛ôy!Ÿª≈Ñ˛ xÓfl˛iy

3 ˆÑ˛y¡ôy!òÓ˚ £z!ì˛£y¢3 Ó ÏÑ˛Î˚y õyõúy ~ÓÇ ˆÖúy˛ô

3 xy!Ì≈Ñ˛ !ÓÓÓ˚í#

3 £z¢%ƒÓ˚ v z Ïjüƒ3 £z¢%ƒ ≤Ãy£z Ï¢Ó˚ !¶˛!_

3 xy ÏÓîò Ñ˛Ó˚yÓ˚ !ò Ïî≈üyÓú#–

Page 12: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

13

3 Î!î ˆÑ˛yˆÏòy ¢ˆÏ®£ Óy ¢õ¢ƒy £Î˚ñ ì˛y£ˆÏú xö˛yÓ˚ÈÙÈv˛Ñ%˛ˆÏõˆÏr›˛ v˛z!Õ‘!Öì˛Compliance Officer ~Ó˚ ¢y ÏÌ ÎyÜy ÏÎyÜ Ñ˛Ó˚&ò–

3 Î!î !ò!î≈‹T ¢õ ÏÎ˚Ó˚ õ Ïïƒ xy˛ôòyÓ˚ Demat Account-~ ›˛yÑ˛y ãõy òy ˛ôˆÏv˛¸xÌÓy xyˆÏÓîˆÏòÓ˚ xÌ≈ ˆö˛Ó˚Í òy ˛ôyòñ ì˛Öò xy˛ô!ò !Ó!úÑ˛yÓ˚# ˆÑ˛y¡ôy!òÓ˚Compliance Officer ~Ó Ñ˛y ÏäÈ x!¶˛ ÏÎyÜ îy ÏÎÓ Ñ˛Ó Ïì˛ ôy ÏÓò ~ÓÇ üÎyÓ!Ó!ú ˛ôÓ˚Óì≈˛# !úv‰ ÈÙÈ õƒyˆÏòãyˆÏÓ˚Ó˚ Ñ˛yˆÏäÈ x!¶˛ˆÏÎyÜ ãyòyˆÏì˛ ˛ôyˆÏÓ˚ò–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy [Don’ts]

5 ˆüÎ˚yÓ˚ !Ó!úÑ˛yÓ˚# ˆÑ˛y¡ôy!òÓ˚ Óy xòƒ ˆÑ˛yò Óƒ!_´Ó˚ ˆîÁÎ˚y !ò!£ì˛/!Ó°Ïî≤Ã!ì˛◊&!ì˛Ó˚ myÓ˚y ≤ö˛y!Óì˛ £ˆÏÓò òy–

5 ˛ôv˛¸!ì˛ ÓyãyˆÏÓ˚Ó˚ v˛z˛ôÓ˚ !¶˛!_ Ñ˛ˆÏÓ˚ ÓyãyÓ˚ ¢)â˛Ñ˛ xÌÓy ~Ñ˛£z !üˆÏ“Ó˚ ˆÑ˛yˆÏòyˆÑ˛y¡ôy!òÓ˚ ˆüÎ˚yˆÏÓ˚Ó˚ xÌÓy ~Ñ˛£z @˘Ã&ˆÏ˛ôÓ˚ ˆÑ˛y¡ôy!òÓ˚ îyˆÏõÓ˚ v˛z˛ôÓ˚ !¶˛!_Ñ˛ˆÏÓ˚ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–

5 ˆüÎ˚yÓ˚ ò!ÌÓk˛ Ñ˛Ó˚yÓ˚ ¢yˆÏÌ ¢yˆÏÌ ì˛yÓ˚ îyõ Ó,!k˛Ó˚ ≤Ãì˛ƒyüy Ñ˛Ó˚ˆÏÓò òy–

ˆüÎ˚yÓ˚ ÓyãyÓ˚/ˆÜÔí ÓyãyÓ˚ (Secondary Market)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 !Ó!ò ÏÎy ÏÜÓ ô) ÏÓ≈ Ñ˛y¡ôy!òÓ !ÓŸªy¢ ÏÎy܃ì˛yñ ÓƒÓfl iy˛ôòyñ xy!Ì≈Ñ˛ xÓfl iy ~ÓÇ¢y¡±!ì˛Ñ˛ ì˛Ìƒñ xòƒyòƒ !òÎ˚s˛fí ¢Çe´yhs˛ ˆÎ ¢õhfl˛ !Ó°ÏÎ˚ ≤ÃÑ˛y!üì˛ £ˆÏÎ˚ˆÏäȈ¢=!ú î ÏÖ òÁÎy îÓÑ˛yÓ– ~£z Ñ˛y¡ôy!ò ~ÓÇ fi›˛Ñ˛ ~: ÏⲠÏOÓ Á ÏÎÓ¢y£z›˛ñ!Ó!¶˛ß¨ ¶˛[˛yÓ˚ˆÏîÓ˚ v˛›˛yˆÏÓ¢ñ !òv zã ˛ô˛ôyÓ˚ñ õƒyÜy!ãò ̈ÏÑ˛ ~£z ¢¡ô!Ñ≈˛ì˛ì˛Ìƒ ˛ôyÁÎ˚y Îy ÏÓ–

3 ¢õhfl˛ ïÓ˚ ÏíÓ˚ !Ó!ò ÏÎ˚y ÏÜ G§% !Ñ˛ Ìy ÏÑ˛– xy˛ôòyÓ˚ !Ó!ò ÏÎ˚yÜ Ñ˛Ôüú Îò !Ó!¶˛ß¨ïÓ˚ ÏíÓ˚ G§% !Ñ˛ Ó£ò Ñ˛Ó˚ Ïì˛ ôy ÏÓ˚ ¢£z ïÓ˚ ÏíÓ˚ !Ó!ò ÏÎ˚yÜ Ñ˛Ôüú @˘Ã£í Ñ˛Ó˚ ÏÓò–

3 !Ó!òˆÏÎ˚yˆÏÜÓ˚ !¢k˛yhs˛ @˘Ã£ˆÏíÓ˚ ô)ˆÏÓ≈ !Ó!òˆÏÎ˚yˆÏÜÓ˚ ≤Ãyö˛y£zú ̈ÏÑ˛ G§%˛!Ñ˛ñ ≤Ãy!Æñì˛yÓ˚úƒ ~ÓÇ ¢%Ó˚«˛y ¢¡ô!Ñ≈˛ì˛ !Ó°ÏÎ˚ õ)úƒyÎ˚í Ñ˛Ó˚ˆÏÓò–

3 ÷ï%õye ˆ¢!Ó !òÓı˛#Ñ, ì˛ fi›˛Ñ˛ ~: ÏⲠÏO ˆúò Ïîò Ñ˛Ó˚&ò–

3 ˆÓ yÑ˛yˆÏÓ˚Ó˚ Ñ˛yˆÏäÈ xƒyÑ˛yv˛zr›˛ ÖyúyÓ˚ ô)ˆÏÓ≈ !òÎ˚õyÓú# Îb ¢£Ñ˛yˆÏÓ˚ ôv˛Yò ~ÓÇ≤à ÏÎ˚yãò#Î˚ !òÎ˚õyÓú# õ Ïò â˛ú%ò SˆÎõò Client registration, client trade

member registration)–

Page 13: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

14

3 “Know your client’ â%˛!_´ˆÏì˛ fl˛∫y«˛Ó˚ Ñ˛Ó˚&ò–

3 ˆÓ yÑ˛yÓ˚/¢yÓ‰ ˆÓ yÑ˛yÓ˚/!v˛. !˛ô ˆÑ˛ ˛ô!Ó˚fl˛ÒyÓ˚ ~ÓÇ fl˛∫FäÈ !òˆÏî≈ü ˆîˆÏÓò–

3 ≤Ã!ì˛!›˛ ˆúòˆÏîò â% !_´˛ôˆÏeÓ˚ õyÏõ Ñ˛Ó˚yÓ˚ ˆâ˛‹Ty Ñ˛Ó˚ˆÏÓò– â% !_´˛ôe ˛ôyÓyÓ˚¢yˆÏÌ ¢yˆÏÌ ˆ¢=!ú !Óhfl˛y!Ó˚ì˛ ¶˛yˆÏÓ Îyâ˛y£z Ñ˛Ó˚ˆÏÓòñ Î!î ˆÑ˛yˆÏòy ¢ˆÏ®£ £Î˚ñì˛y£ˆÏú fi›˛Ñ˛ ~:ˆÏâ˛ˆÏOÓ˚ ÁˆÏÎ˚Ó¢y£z›˛ ˆÌˆÏÑ˛ ˆ¢=!ú ˛ô%òÓ˚yÎ˚ Îyâ˛y£z Ñ˛Ó˚ˆÏÓò–

3 !òï≈!Ó˚ì˛ ¢õ ÏÎ˚Ó˚ õ Ïïƒ ≤à ÏÎ˚yãò#Î˚ õy!ã≈ò xÌ≈ ≤Ãîyò Ñ˛Ó˚&ò–

3 !ò!î≈‹T ¢õ ÏÎ˚Ó˚ õ Ïïƒ ÈÙÙÙÈ !Ó!e´Ó˚ «˛ Ïe üÎ˚yÓ˚ xÌÓy !v˛ Ï ôy!¢›˛yÓ˚# !fl ‘ ô x˛ô≈òÑ˛Ó˚&ò ~ÓÇ e´ ÏÎ˚Ó˚ ˆ«˛ Ïe xÌ≈ ˛ô!Ó˚ Ïüyï Ñ˛Ó˚&ò–

3 ˆÑ˛Óúõye xò% Ïõy!îì˛ Óƒ!_´ ÏÑ˛ îyúyú# xÌ≈ xÌÓy õy!ã≈ò xÌ≈ ˆî ÏÓò–

3 õy!ã≈ò x ÏÌ≈Ó ãòƒ ¢£ ÏÎyÜ# ãõyÓ (Collateral deposit) Ó!¢î ¢Ç@˘Ã£ Ñ˛Ó&ò–

3 !v˛.!˛ô.Ó˚ Ñ˛yäÈ Ì ÏÑ˛ ≤ÃyÆ úò Ïîò ~ÓÇ ì˛Ìƒ¢Çe´yhs˛ !ÓÓÓ˚í# !òÓ˚#«˛í Ñ˛Ó˚&ò–

3 !v˛.!˛ô.Ó˚ Ì ÏÑ˛ ≤ÃyÆ Delivery Instruction Slips (DIS) Book Îb ¢£Ñ˛y ÏÓÓƒÓ£yÓ˚ Ñ˛Ó˚&ò– DIS ~Ó˚ òy¡∫yÓ˚ ˛ô)ˆÏÓ≈£z äÈy˛ôyˆÏòy xyˆÏäÈ !Ñ˛òy ~ÓÇ Client ID

òy¡∫yÓ˚ ˛ô)ˆÏÓ≈£z ‹Tƒy¡ô Ñ˛Ó˚y xyˆÏäÈ !Ñ˛òy ˆîˆÏÖ ˆòˆÏÓò–

3 Î!î xy˛ô!ò ¢Óy¢!Ó úò Ïîò òy Ñ˛ ÏÓòñ ì˛y£ Ïú xy˛ôòyÓ !v˛õƒy›˛ xƒyÑ˛yv zr›˛!›˛Freezing Ñ˛Ó˚yÓ˚ ¢%ˆÏÎyÜ !òˆÏì˛ ˛ôyˆÏÓ˚ò–

3 !Ó!òˆÏÎ˚yÜ ¢Çe´yhs˛ ¢õhfl˛ ò!Ì Îb ¢£Ñ˛yˆÏÓ˚ Ó˚yÖ%ò– !Ó!òˆÏÎ˚yˆÏÜÓ˚ ˛ô) ÏÓ≈ ˆÑ˛yˆÏòy!Ó°ÏÎ˚ ¢¡ô ÏÑ≈ ¢ Ï®£ £ Ïú ≤ß¿ Ñ˛Ó˚&ò–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 G§%˛!Ñ˛ ¢¡∫!úì˛ !Ó!òˆÏÎ˚yˆÏÜÓ˚ !Ó°ÏÎ˚!›˛ !£¢yˆÏÓÓ˚ õˆÏïƒ Ó˚yÖˆÏì˛ ¶%˛úˆÏÓò òy–

5 ÓyãyÓ˚ Ó!£¶)≈˛ì˛ ˆúòˆÏîò Ñ˛Ó˚ˆÏÓò òy–

5 x!òÓı˛#Ñ, ì˛ õïƒhfl˛ì˛yÑ˛yÓ˚#ˆÏîÓ˚ ¢yˆÏÌ Ñ˛yÓ˚ÓyÓ˚ Ñ˛Ó˚ˆÏÓò òy–

5 ˆÑ˛yˆÏòy ïÓ˚ˆÏíÓ˚ xÓyhfl˛Ó Óy !ò!ÿ˛ì˛ xyˆÏÎ˚Ó˚ ≤Ã!ì˛◊&!ì˛Ó˚ ö§˛yˆÏî ˛ôy ˆîˆÏÓò òy–5 =ãÓñ !›˛˛ô¢ xÌÓy òyòy ïÓ˚ˆÏíÓ˚ ã“òyÓ˚ !¶˛!_ˆÏì˛ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–5 £‡˛yÍ Ñ˛ ÏÓ úò Ïîò Ó Ïv˛ ÎyÁÎy Óy üÎy ÏÓÓ îyõ Ó Ïv˛ ÎyÁÎy Óy Üíõyïƒ Ïõ

~Ó˚ ôˆÏ«˛ Ñ˛yˆÏòy Ü“ Óy xy!›≈˛ˆÏÑ˛ˆÏúÓ˚ myÓ˚y ≤ö˛y!Óì˛ £ˆÏÎ˚ xy!Ì≈Ñ˛ ¶˛yˆÏÓ î%Ó≈úˆÑ˛y¡ôy!òÓ˚ ˆüÎ˚yÓ˚ !Ñ˛òˆÏÓò òy–

5 õyò% Ï°ÏÓ˚ ˆîÔv ¸yˆÏòyˆÏÑ˛/Ü!ì˛ˆÏÑ˛ xò%¢Ó˚í Ñ˛ˆÏÓ˚ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–

Page 14: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

15

5 !›˛!¶˛ â˛ƒyˆÏòúñ ÁˆÏÎ˚Ó¢y£z›˛ñ ~¢‰.~õ‰ ~¢‰ ≤Ãî_ v z ôˆÏîü xˆÏı˛Ó˚ õˆÏì˛y !ÓŸªy¢Ñ˛ˆÏÓ˚ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–

5 Óı%˛fl˛iyò#Î˚ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚ â˛y˛ô xÌÓy ÎyÓ˚y !Ó!òˆÏÎ˚yÜ ˆÌˆÏÑ˛ õ%òyö˛y xã≈òÑ˛ˆÏÓ˚ˆÏäÈ ì˛yˆÏîÓ˚ !Ó!òˆÏÎ˚yÜ ˆÌˆÏÑ˛ xı˛ xò%¢Ó˚í Ñ˛Ó˚ˆÏÓò òy–

5 Óyãy ÏÓ˚Ó˚ ¢õÎ˚ !ò ÏÎ˚ ¶˛yÓ ÏÓò òy–5 ¢Ó˚Ñ˛yÓ˚# ~ˆÏã!™ Ñ˛ì≈, Ñ˛ ≤Ãî_ ˆÑ˛y¡ôy!òÓ˚ ˆÑ˛yò !ӰψÏÎ˚ xò% Ïõyîòñ !òÓı˛ò

ÎyÓ˚ xòƒ v˛zˆÏjüƒ ÌyÑ˛ˆÏì˛˛ ˛ôyˆÏÓ˚ñ ì˛yÓ˚ myÓ˚y ≤ÈÏÓ˚y!â˛ì˛ £ˆÏÓò òy–5 ˆÑ˛y¡ôy!òÓ˚ xy!Ì≈Ñ˛ xÓfl˛iyÓ˚ !ÓK˛y˛ôò ˆîˆÏÖ ≤ö˛y!Óì˛ £ˆÏÓò òy–5 Üíõyïƒõ ≤Ãâ˛y!Ó˚ì˛ ˆÑ˛y¡ôy!òÓ˚ v zߨ!ì˛ xˆÏı˛Ó˚ õˆÏì˛y !ÓŸªy¢ Ñ˛Ó˚ˆÏÓò òy–5 xy˛ôòyÓ˚ !Ó!òˆÏÎ˚yˆÏÜÓ˚ Post dated cheque ~Ó˚ õyÏõ !ò!ÿ˛ì˛ ≤Ãy!ÆÓ˚

܃yÓ˚y!r›˛Ó˚ myÓ˚y ≤ÈÏÓ˚y!â˛ì˛ £ˆÏÓò òy–5 xy˛ôòyÓ˚ ˆÑ˛yˆÏòy ¢ˆÏ®£ Óy x!¶˛ˆÏÎyÜ ÌyÑ˛ˆÏú ì˛yÓ˚ ≤Ã!ì˛Ñ˛yˆÏÓ˚Ó˚ ãòƒ v z ôÎ%_´

Ñ˛ì≈,˛˛ôˆÏ«˛Ó˚ Ñ˛yˆÏäÈ ˆÎˆÏì˛ ¢ÇˆÏÑ˛yⲠˆÓyï Ñ˛Ó˚ˆÏÓò òy–5 Ñ˛Ö Ïòy£z xy˛ôòyÓ !v˛õƒy›˛ xƒyÑ˛yv z Ïr›˛Ó Delivary Instruction Slip ~ Blank

¢£z Ñ˛ ÏÓ˚ Ó˚yÖ ÏÓò òy–

5 Ñ˛ÖˆÏòy£z Blank ¢£z Ñ˛Ó˚y DIS xy˛ôòyÓ˚ D.P. Óy ˆÓ yÑ˛yÓ˚ˆÏÑ˛ ˆîˆÏÓò òy–

ˆÓ yÑ˛yÓ˚ ~ÓÇ ¢yÓÈÙȈӠyÑ˛y ÏÓ˚Ó˚ ¢y ÏÌ Ñ˛yÓ˚ÓyÓ˚(Dealing with Brokers and Sub-brokers)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 ~Ñ˛õye SEBI !òÓı˛#Ñ, ì˛ ˆÓ yÑ˛yÓ˚/¢yÓÈÙȈӠyÑ˛yÓ˚ˆÏîÓ˚ ¢ˆÏD Ñ˛yÓ˚ÓyÓ˚ Ñ˛Ó˚ˆÏÓò–Îyâ˛y£z Ñ˛ˆÏÓ˚ ˆòˆÏÓò ì˛yˆÏîÓ˚ ˜Óï SEBI !òÓı˛ò ¢y!›≈˛!ö˛ˆÏÑ˛›˛ xyˆÏäÈ !Ñ˛òy–

3 ˆÑ˛ xy˛ôòyÓ˚ £ˆÏÎ˚ xv≈˛yÓ˚ !îˆÏFäÈ ì˛y ˛ô!Ó˚‹ÒyÓ˚ Ñ˛ˆÏÓ˚ ãyòˆÏÓò ~ÓÇ xy˛ôòyÓ˚ˆÓ yÑ˛yÓ˚/¢yÓÈÙȈӠyÑ˛yÓ˚ˆÏÑ˛ ˛ô!Ó˚‹ÒyÓ˚ Á fl ∫FäÈ !òˆÏî≈ü !îò–

3 e´Î˚ !Óe´ˆÏÎ˚Ó˚ ˛ô)ˆÏÓ≈ ˆÓ yÑ˛yÓ˚ˆÏÑ˛ Ñœ˛yˆÏÎ˚r›˛ ˆÓ˚!ãfl˛T…üyò ö˛õ≈ ~ ¢£z Ñ˛Ó˚yÓ˚ ãòƒ≤ö˛y!Óì˛ Ñ˛Ó˚&ò–

3 xy˛ôòyÓ˚ Ó yÑ˛yÓ˚/¢yÓ Ó yÑ˛y ÏÓ˚Ó˚ ¢ ÏD !Ñ˛ !Ñ˛ üì≈ £ ÏÎ˚ ÏäÈ â% !_´ Ïì˛ ì˛y ô!Ó˚‹ÒyÓ˚Ñ˛ ÏÓ˚ !úÖ%ò–

3 ¢£z Ñ˛Ó˚yÓ˚ ˛ô) ÏÓ≈ â% !_´ Á G§% !Ñ˛ ≤ÃÑ˛yü î!úú õˆÏòyˆÏÎyÜ !îˆÏÎ˚ ˛ôv Yò–

Page 15: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

16

3 xy˛ô!ò !ò!ÿ˛ì˛ £ò Î â% !_´Ó ≤Ã!ì˛!›˛ ôyì˛yÎ xy˛ô!ò ¢£z Ñ˛ ÏÓ ÏäÈò ~ÓÇ Ó yÑ˛yÓÁ ì˛yÓ˚ xò% Ïõy!îì˛ Óƒ!_´Á Ñ˛ˆÏÓ˚ˆÏäÈ– ˙ â% !_´˛ôe!›˛ ÎyÓ˚y ¢y«˛# !£ˆÏ¢ˆÏÓ ¢£zÑ˛ˆÏÓ˚ˆÏäÈ ì˛yˆÏîÓ˚ òyõ Á !‡˛Ñ˛yòy xyˆÏäÈ !Ñ˛òy ˆîˆÏÖ ˆòˆÏÓò–

3 ˆúòˆÏîˆÏòÓ˚ 24 ár›˛yÓ˚ õ Ïïƒ ˜Óï â% !_´ ˛ôe/Ñ˛òö˛yõ≈ Ïõüò ˆõ Ïõy ÓƒÓ¢yÓ˚ãòƒ ˆîÓyÓ˚ ÓƒÓfl˛iy Ñ˛Ó˚ Ïì˛ ≤ö˛y!Óì˛ Ñ˛Ó˚ ÏÓò–

3 ÎÖò£z xy˛ô!ò õ)ú â%˛!_´˛ôe ˛ôyˆÏÓòñ ˆîˆÏÖ ˆòˆÏÓò ˆÓ yÑ˛yˆÏÓ˚Ó˚ Ñ˛yˆÏäÈ Ó˚yÖyv%˛!≤’ˆÏÑ˛›˛ â%˛!_´˛ôe / Ñ˛òö˛yõ≈ˆÏõüò ˆõˆÏõyˆÏì˛ ¢£z £ˆÏÎ˚ˆÏäÈ !Ñ˛òy–

3 ≤Ã!ì˛!›˛ ˆúò Ïîò ¢õy!ÆÓ˚ ˛ôÓ˚ !Óú ˆîÁÎ˚yÓ˚ ãòƒ Óú ÏÓò–

3 â% !_´˛ôe ˆÓ yÑ˛yˆÏÓ˚Ó˚ òyõñ ˆúòˆÏîˆÏòÓ˚ ¢õÎ˚ ~ÓÇ ò¡∫Ó˚ñ ˆúòˆÏîˆÏòÓ˚ xÌ≈ ~ÓLjӠyÑ˛yˆÏÓ˚Ó˚ !ö˛ ˛ô!Ó˚‹ÒyÓ˚ Ñ˛ˆÏÓ˚ ˆúÖy xyˆÏäÈ !Ñ˛òy ì˛y !ò!ÿ˛ì˛ Ñ˛Ó˚ˆÏÓò–

3 !ò!î≈‹T ¢õÎ˚ ˛ôÓ˚ ˛ôÓ˚ !£¢y ÏÓÓ˚ !ÓÓÓ˚í# ˆîÁÎ˚yÓ˚ ãòƒ Óú ÏÓò–

3 ˆâ˛Ñ˛/v»˛yö‰ ›˛ ˆÑ˛Óúõye ˆÓ yÑ˛yÓ˚ ~Ó˚ ÓƒÓ¢yÓ˚ òyˆÏõ £z¢%ƒ Ñ˛Ó˚ˆÏÓò–

3 ˛ô!Ó˚ˆÏüyˆÏïÓ˚ 48 ár›˛yÓ˚ õˆÏïƒ ≤ÃîyˆÏòÓ˚ Ó˚!¢î ˆ˛ôˆÏÎ˚ˆÏäÈò !Ñ˛òy !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 Î!î ˆÑ˛yò ¢ Ï®£ Óy !ÓÓyî ˆîÖy ÎyÎ˚ !ò!î≈‹T ¢õ ÏÎ˚Ó˚ õ Ïïƒ õïƒfl˛iì˛yÑ˛yÓ˚#/‹TÑ˛~: Ïâ˛O/ ˆ¢!ÓÓ˚ Ñ˛y ÏäÈ x!¶˛ ÏÎyÜ îy ÏÎ˚Ó˚ Ñ˛Ó˚&ò–

3 fi›˛Ñ˛ ~:ˆÏâ˛O/ˆ¢!Ó Ñ˛ì≈, Ñ˛ ≤ÃÑ˛y!üì˛ !òÎ˚õ Ñ˛yò%òñ Ó˚=ˆÏúüyò ~ÓÇ ¢yÑ≈% úyÓ˚¢¡ô ÏÑ≈ ¢Ó≈îy ÁÎ˚y!Ñ˛Ó£yú ÌyÑ% ò–

3 ≤Ã!ì˛!òÎ˚ì˛ !v˛õƒy›˛ xƒyÑ˛yv˛zˆÏr›˛ xy˛ôòyÓ˚ ˆ˛ôy›≈˛ˆÏö˛y!úÁÓ˚ xÓfl˛iy ˆãˆÏò !òò–

3 ˆÑ˛yò ˆüÎ˚yÓ˚ ˆÑ˛òyÓ˚ xyˆÏÜ !ò!ÿ˛ì˛ ˆ£yò ˆÎ xy˛ôòyÓ˚ ˛ôÎ≈yÆ xÌ≈ xyˆÏäÈ–

3 ˆüÎ˚yÓ˚ !Ó!e´Ó˚ xyˆÏÜ !ò!ÿ˛ì˛ ˆ£yò ˆÎ xy˛ôòyÓ˚ Ñ˛yˆÏäÈ ˆüÎ˚yÓ˚ xyˆÏäÈ–

!Ñ˛ Ñ˛Ó ÏÓò òy (Don’ts)

5 xÈÙÈ!òÓı˛#Ñ,˛ì˛ ˆÓ yÑ˛yÓ˚/¢yÓ ˆÓ yÑ˛yÓ˚ xÌÓy õïƒfl˛iì˛yÑ˛yÓ˚#ˆÏîÓ˚ ¢ˆÏD ÓƒÓ¢yÑ˛Ó˚ ÏÓò òy–

5 ¢õhfl˛ üì˛y≈Óú# òy ãyòy ôÎ≈hs˛ Ñ˛yò õïƒfl˛iì˛yÑ˛yÓ˚#Ó˚ ¢ˆÏD â% !_´ˆÏì˛ ÎyˆÏÓò òy–

5 Ñ˛Öò£z xy˛ôòyÓ˚ !v˛õƒy›˛ ›˛∆yò¢yÑ˛üyò !fl˛‘˛ô Ó£z ˆÓ yÑ˛yÓ˚ Óy ¢yÓÈÙȈÏÓ yÑ˛yˆÏÓ˚Ó˚Ñ˛yˆÏäÈ Ó˚yÖˆÏÓò òy–

5 Îì˛£z ˆÓ yÑ˛yÓ˚/¢yÓÈÙȈÏÓ yÑ˛yÓ˚ xy˛ôòyÓ˚ ˛ô!Ó˚!â˛ì˛ ˆ£yÑ˛ òy ˆÑ˛ò ˆúòˆÏîò¢Çe´yhs˛ ¢õhfl˛ ò!Ì !ò Ïì˛ ¶% ú ÏÓò òy–

Page 16: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

17

!õv zâ% ƒÎ˚yú ö˛yu˛ (Mutual Fund)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 !Ó!òˆÏÎ˚yˆÏÜÓ˚ ˛ô)ˆÏÓ≈ xö˛yÓ˚ v˛Ñ%˛ˆÏõr›˛ õˆÏòyˆÏÎyÜ !îˆÏÎ˚ ˛ôv˛Yò–

3 õˆÏò Ó˚yÖˆÏÓò !õv˛zâ%˛ƒÎ˚yú ö˛yˆÏu˛ !Ó!òˆÏÎ˚yÜ ¢Ó≈îy G§%˛!Ñ˛˛ô)í≈ ˆ¢ãòƒ ¢Ó≈îyúy ϶˛Ó˚ xyüy Ñ˛Ó˚ ÏÓò òy–

3 !Ó!òˆÏÎ˚yˆÏÜÓ˚ v˛zˆÏjüƒ Á G§%˛!Ñ˛ !Óâ˛yÓ˚ Ñ˛ˆÏÓ˚ ˆÑ˛yˆÏòy fl˛Ò#ˆÏõ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚&ò–

3 õˆÏò Ó˚yÖˆÏÓò ˆÑ˛yˆÏòy fl˛Ò#ˆÏõÓ˚ xì˛#ˆÏì˛Ó˚ ¶˛yˆÏúy xy!Ì≈Ñ˛ xÓfl˛iyñ Èfl˛Ò#ˆÏõÓ˚¶˛!Ó°ÏƒÍ xÓfl˛iy ˆÑ˛õò £ˆÏÓ ì˛y ¢Ó≈îy £z!Dì˛ Ñ˛ˆÏÓ˚ òy– ~õò!Ñ˛ xì˛#ˆÏì˛Ó˚¶˛yˆÏúy xÓfl˛iy ¶˛!ӰσˆÏì˛ ¶˛yˆÏúy òyÁ ÌyÑ˛ˆÏì˛ ˛ôyˆÏÓ˚–

3 ˆÎ fl˛Ò#ˆÏõ xy˛ô!ò !Ó!òˆÏÎ˚yÜ Ñ˛ˆÏÓ˚ˆÏäÈò ì˛yÓ˚ NAV-~Ó˚ õ)úƒ ¢Ó≈îy ˆã ÏòÓ˚yÖyÓ˚ ˆâ˛‹Ty Ñ˛Ó˚&ò–

3 xy˛ôòyÓ˚ !Ó!ò ÏÎ˚y ÏÜÓ˚ xÌÓy !Ó!e´Ó˚ ~Ñ˛!›˛ !£¢yÓ !ÓÓÓ˚í# ˆ˛ô ÏÎ˚ ÏäÈò !Ñ˛òy!ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 ˆÑ˛v˛z xy˛ôòyˆÏÑ˛ Ñ˛!õüò !Ñ˛ÇÓy ˆÑ˛yò v˛z˛ô£yÓ˚ !îˆÏú£z ˆÑ˛yˆÏòy fl˛Ò#ˆÏõ!Ó!ò ÏÎ˚yÜ Ñ˛Ó˚ ÏÓò òy–

5 ÷ï%õye !õv zâ% ƒÎ˚yú ö˛yu˛/fl˛Ò#ˆÏõÓ˚ òyõ ˆîˆÏÖ !Ñ˛òˆÏì˛ xy@˘Ã£# £ˆÏÓò òy–

5 ÷ï%õye xì˛#ˆÏì˛Ó˚ ¶˛yˆÏúy xy!Ì≈Ñ˛ xÓfl˛iy ˆîˆÏÖ ¶˛!Ó°ÏƒÍ xyÎ˚ ¶˛yˆÏúy £ˆÏì˛˛ôyˆÏÓ˚ ~£z ≤Ãì˛ƒyüyÎ˚ ˆÑ˛yò fl˛Ò#ˆÏõ/!õv˛zâ%˛ƒÎ˚yú ö˛yˆÏu˛ !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–

5 ¶% úˆÏÓò òy ˆÎ ≤Ã!ì˛!›˛ !Ó!òˆÏÎ˚yÜ£z G§% !Ñ˛ ¢¡∫!úì˛–

5 xy˛ôòyÓ˚ ¢ˆÏ®£/x!¶˛ˆÏÎyÜ ÌyÑ˛ˆÏú ÎÌyÎÌ Ñ˛ì≈, ˛ôˆÏ«˛Ó˚ Ñ˛yˆÏäÈ ≤Ã!ì˛Ñ˛yÓ˚â˛y£zˆÏì˛ !mïyˆÏÓyï Ñ˛Ó˚ˆÏÓò òy–

5 AMFI !òÓı˛#Ñ, ì˛ òÎ˚ ~õò ˆÑ˛yò ~ Ïãr›˛/ˆÓ yÑ˛y ÏÓ˚Ó˚ ¢ ÏD ÓƒÓ¢y Ñ˛Ó˚ ÏÓòòy–

˛ô)íÉe´Î˚ (Buyback)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 ˛ô)íÉe´Î˚ ¢Çe´yhs˛ !ÓˆÏü°Ï !¢k˛yhs˛ ¢¡∫!úì˛ î!úú˛ôey!î õˆÏòyˆÏÎyÜ !îˆÏÎ˚˛ôˆÏv ¸ !òò–

Page 17: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

18

3 ˛ô)íÉe´ˆÏÎ˚Ó˚ ãòƒ ˆüÎ˚yˆÏÓ˚Ó˚ îyõ ~ÓÇ !ÓÜì˛ Ñ˛ˆÏÎ˚Ñ˛ õyˆÏ¢Ó˚ ˆüÎ˚yˆÏÓ˚Ó˚ÓyãyÓ˚ îyõ ì% úòy Ñ˛ˆÏÓ˚ ˆîÖ%ò– ~äÈyv ¸y ˆÑ˛y¡ôy!òÓ˚ Earnings Per Share,

Book Value Îyâ˛y£z Ñ˛Ó˚&ò ~ÓÇ !òï≈yÓ˚í Ñ˛Ó˚&ò ~!›˛ ÎÌyÎÌ îyˆÏõ ˆüÎ˚yÓ˚˛ô)íÉe´ˆÏÎ˚Ó˚ ãòƒ xö˛yÓ˚ Ñ˛Ó˚y £ˆÏÎ˚ˆÏäÈ !Ñ˛òy–

3 ˆüÎ˚yÓ˚ e´ˆÏÎ˚Ó˚ ãòƒ xyˆÏÓîò˛ôˆÏeÓ˚ !òˆÏî≈üyÓú# õˆÏòyˆÏÎyÜ !îˆÏÎ˚ ˛ôv Yò–

3 !ò!î≈‹T ¢õˆÏÎ˚Ó˚ õˆÏïƒ xy˛ôòyÓ˚ xyˆÏÓîò˛ôe Ñ˛yˆÏúÑ˛üò ˆ¢r›˛yˆÏÓ˚ ãõy£ˆÏÎ˚ˆÏäÈ ˆ¢ !ӰψÏÎ˚ xy˛ô!ò !ò!ÿ˛hs˛ £ò–

3 xy˛ôòyˆÏÑ˛ ˆîÁÎ˚y xö˛yÓ˚ !â˛!‡˛ˆÏì˛ ˆÎ ¢õhfl˛ v˛Ñ%˛ˆÏõr›˛ !îˆÏì˛ Óúy £ˆÏÎ˚ˆÏäÈ ì˛yÎÌy¢õ ÏÎ˚ !î ÏÎ˚ !îò–

3 xö˛yÓ˚ !â˛!‡˛ˆÏì˛ ˆÎ¶˛yˆÏÓ xyˆÏÓîò˛ôe ˛ôy‡˛yˆÏì˛ Óúy £ˆÏÎ˚ˆÏäÈ Sˆ˛ôy‹T/Ñ%˛ƒ!Ó˚Î˚yÓ˚/£ƒyu˛ ˆv˛!ú¶˛y!Ó˚/x!v≈˛òy!Ó˚ ˆ˛ôy‹TV ˆ¢¶˛yˆÏÓ ˛ôy!‡˛ˆÏÎ˚ !îò–

3 ÎÌy ¢õˆÏÎ˚ xy˛ôòyÓ˚ ≤Ãy˛ôƒ òy ˆ˛ôˆÏú õyˆÏâ≈˛r›˛ ÓƒyÇÑ˛yˆÏÓ˚Ó˚ ¢yˆÏÌ ˆÎyÜyˆÏÎyÜÑ˛Ó˚&ò–

3 Î!î ˆÑ˛yò x!¶˛ˆÏÎyÜ ÌyˆÏÑ˛ ì˛y£ˆÏú Compliance Officer-~Ó˚ ¢y Ï̈ÎyÜy ÏÎyÜ Ñ˛Ó˚&ò–

3 ˆÑ˛y¡ôy!ò xy£zò ¶˛D Ñ˛Ó˚ˆÏú ˆÑ˛y¡ôy!ò !òÓı˛ˆÏÑ˛Ó˚ ¢yˆÏÌ ˆÎyÜyˆÏÎyÜÑ˛Ó˚&ò–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 ~Ñ˛y!ïÑ˛ xy ÏÓîò ˛ôe ãõy ˆî ÏÓò òy–

5 ˛ô!Ó˚‹ÒyÓ˚ Ñ˛ˆÏÓ˚ xyˆÏÓîò˛ôe ˛ô)Ó˚í Ñ˛Ó˚ˆÏì˛ ¶%˛úˆÏÓò òy–

5 ~Ñ˛y!ïÑ˛ ö˛õ≈ ˛ô)Ó˚í Ñ˛Ó˚ˆÏÓò òy–

5 ¶%˛ú !‡˛Ñ˛yòyÎ˚ xyˆÏÓîò˛ôe ˛ôy‡˛yˆÏÓò òy–

5 xö˛yÓ˚ ˆü°Ï £ÓyÓ˚ ˛ôÓ˚ xyˆÏÓîò Ñ˛Ó˚ˆÏÓò òy–

5 ¢¡ô)í≈ ì˛Ìƒ !îˆÏÎ˚ xyˆÏÓîò˛ôe ˛ôy‡˛yˆÏì˛ ¶% úˆÏÓò òy–

5 xy ÏÓîò˛ôe ¢£z Ñ˛Ó˚ Ïì˛ ¶% ú ÏÓò òy–

5 ˆÑ˛yò ïÓ˚ˆÏòÓ˚ ¶% ú/!mïy@˘Ãhfl˛ ì˛Ìƒ ˆ˛ôü Ñ˛Ó˚ˆÏÓò òy–

Page 18: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

19

Á Ï ôò xö˛yÓ˚¢‰ Sxy[˛yÓ˚ ˆ›˛Ñ˛Á¶˛yÓ˚ ˆÓ˚= Ïúüyò¢‰VOpen Offers (under Takeover Regulations)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 xö˛yÓ˚ @˘Ã£ˆÏíÓ˚ ˛ô)ˆÏÓ≈ ¢õhfl˛ Ó˚Ñ˛ˆÏõÓ˚ ≤Ã!ì˛ˆÏÎy!Üì˛yõ)úÑ˛ xö˛yˆÏÓ˚Ó˚ ¢¡ôˆÏÑ≈˛xy˛ô!ò ÁÎ˚y!Ñ˛Ó£yú ~ÓÇ ì˛yÓ˚ !Ó˚!¶˛üyò õ)úƒ ¢¡ôˆÏÑ≈˛ xy˛ô!ò ˆÎ ãyˆÏòòì˛y !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 ãyì˛#Î˚ hfl˛ ÏÓ˚Ó˚ ÖÓ ÏÓ˚Ó˚ Ñ˛yÜã/ˆ¢!Ó Á ÏÎ˚Ó¢y£z›˛ ˆÌ ÏÑ˛ ≤Ã!ì˛ ÏÎy!Üì˛yõ)úÑ˛xö˛yÓ˚ Á !Ó˚!¶˛üyò õ)úƒ !õ!úˆÏÎ˚ !òò–

3 õˆÏò Ó˚yÖˆÏÓò xö˛yÓ˚ !â˛!‡˛ˆÏì˛ ˜Óï xò% Ïõyîò ÌyÑ˛y ãÓ˚&!Ó˚–3 ˆîˆÏÖ !òò ~£z xö˛yˆÏÓ˚Ó˚ ö˛ˆÏú ˆÑ˛y¡ôy!ò !v˛!ú!fi›˛Ç (delisting) £ ÏÎ˚ ÏäÈ

!Ñ˛òy–3 !v˛õƒy›˛ ˆüÎ˚yˆÏÓ˚Ó˚ ˆ«˛ˆÏe xö˛yÓ˚ ˆü°Ï £ÓyÓ˚ ˛ô)ˆÏÓ≈ !ò!ÿ˛ì˛ Ñ˛Ó˚&ò ˆüÎ˚yÓ˚

ˆfl˛ôüyú !v˛˛ô!ã›˛!Ó˚ xƒyÑ˛yv˛zˆÏr›˛ ˆe´!v˛›˛ £ˆÏÎ˚ˆÏäÈ !Ñ˛òy–3 xö˛yÓ˚ !â˛!‡˛ˆÏì˛ v˛zˆÏÕ‘!Öì˛ £ƒyu˛ ˆv˛!ú¶˛y!Ó˚ ¢Çe´yhs˛ ¢õÎ˚ ~ÓÇ !îò

õ Ïòy ÏÎyÜ !î ÏÎ˚ ˆÖÎ˚yú Ó˚yÖ%ò–3 xy˛ôòyÓ˚ ˆ›˛u˛yÓ˚ @˘Ã£ˆÏíÓ˚ ˛ô)ˆÏÓ≈ ˆü°Ï !îò ˛ôÎ≈hs˛ xö˛yÓ˚ !Ó˚!¶˛üyˆÏòÓ˚ ãòƒ

xˆÏ˛ô«˛y Ñ˛Ó˚&ò S7 !îòV–3 Î!î xy˛ô!ò xy˛ôòyÓ˚ ˆüÎ˚yÓ˚ !Ó!e´ Ñ˛Ó˚ˆÏì˛ òy â˛yò ì˛y£ˆÏú xö˛yÓ˚ ˆü°Ï

£ÓyÓ˚ 3 !î ÏòÓ˚ õ Ïïƒ xö˛y ÏÓ˚Ó˚ !â˛!‡˛¢£ ˆì˛yúyÓ˚ xy ÏÓîò˛ôe ãõy Ñ˛Ó˚&ò–3 ˆÑ˛y¡ôy!òÓ˚ Ñ˛yÜã˛ôe ˆÎ ïÓ˚ˆÏòÓ˚ ¢£z Ñ˛ˆÏÓ˚ˆÏäÈò ˆ¢£z ïÓ˚ˆÏòÓ˚ ¢£z Form

of Acceptance, Transfer Deed, Depository Instruction ~ÓÇ Form

of Withdrawal-~ £ ÏÎ˚ ÏäÈ !Ñ˛òy !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–3 xö˛yÓ˚ v˛Ñ%˛ˆÏõr›˛ òy ˆ˛ôˆÏú ¢yîy Ñ˛y܈Ïã ≤ÈÏÎ˚yãò#Î˚ ì˛Ìƒ !îˆÏÎ˚ xö˛yÓ˚

ˆÌˆÏÑ˛ xy˛ôòyÓ˚ òyõ ì%˛ˆÏú ˆòÁÎ˚yÓ˚ ãòƒ ãyòyˆÏì˛ ˛ôyˆÏÓ˚ò–!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 xy˛ô!ò ˆÎ xö˛yÓ˚ @˘Ã£í Ñ˛ˆÏÓ˚ˆÏäÈò xö˛yˆÏÓ˚Ó˚ ˆü°Ï !îò ˛ôÎ≈hs˛ xˆÏ˛ô«˛yÑ˛Ó˚ ÏÓò òy–

5 ˆÎ Transfer deed ˛ôy!‡˛ˆÏÎ˚ˆÏäÈò ì˛yˆÏì˛ ˆe´ì˛y Óy £hfl˛yhs˛Ñ˛yÓ˚#Ó˚ ˛ô)í≈ !ÓÓÓ˚íˆî ÏÓò òy–

5 Ñ˛Ö Ïòy x¢¡ô)í≈ xy ÏÓîò˛ôe / x ÏÓï î!úú ãõy ˆî ÏÓò òy–

Page 19: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

20

ˆÎÔÌ !Ó!ò ÏÎ˚yÜ ≤ÃÑ˛“(Collective Investment Schemes)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 ≤Ã!ì˛¤˛yò!›˛ SEBI !òÓı˛#Ñ,˛ì˛ !Ñ˛òy !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 xö˛yÓ˚ v˛Ñ%˛ˆÏõr›˛ õˆÏòyˆÏÎyÜ !îˆÏÎ˚ ˛ôv˛Yò–

3 fl˛Ò#ˆÏõÓ˚ xƒy≤Ãy£z¢yú !Ó˚ˆÏ˛ôy›≈˛ ˛ôv˛Yò–

3 ≤à ÏãQ!›˛ v z ôÎ%_´ !Ñ˛òy Îyâ˛y£z Ñ˛Ó˚&ò–

3 ˆ≤ÃyˆÏõy›˛yÓ˚ˆÏîÓ˚ ì˛y Á ì˛yˆÏîÓ˚ ¢¡ôˆÏÑ≈˛ ÎyÓì˛#Î˚ ì˛Ìƒ Îyâ˛y£z Ñ˛Ó˚&ò–

3 ¢_¥y Óy ≤Ã!ì˛¤˛yˆÏòÓ˚ ¢¡ô!_Ó˚ ˛ô!Ó˚‹ÒyÓ˚ xÌÓy ÓyãyÓ˚ãyì˛ õy!úÑ˛yòy xyˆÏäÈ!Ñ˛òy !ò!ÿ˛ì˛ ˆ£yò–

3 Collective Investment Management Company (CIMC)-Ó˚ fl˛Ò#õ˛ô!Ó˚â˛yúòyÓ˚ ≤à ÏÎ˚yãò#Î˚ ¢¡ôî xy ÏäÈ !Ñ˛òy !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 ˆe´!v˛›˛ ˆÓ˚!›˛Ç/fl˛Ò#ˆÏõÓ˚ ˆõÎ˚yî Îyâ˛y£z Ñ˛Ó˚&ò–

3 ≤Ã!ì˛◊&!ì˛ ~ÓÇ ~Ñ˛£z ¢yˆÏÌ ˛ô)Ó≈Óì≈˛# fl˛Ò#ˆÏõÓ˚ xy!Ì≈Ñ˛ ö˛úyö˛ú ˆîˆÏÖ !òò–

3 CIMC xy!Ì≈Ñ˛ ÓäÈÓ˚ ˆü°Ï £ÓyÓ˚ 2 õy Ï¢Ó˚ õ Ïïƒ Óy!°Ï≈Ñ˛ ≤Ã!ì˛ ÏÓîò ˛ôy‡˛y ÏFäÈ!Ñ˛òy !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 õˆÏò Ó˚yÖˆÏÓò !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚ xyˆÏÎ˚Ó˚ ܃yÓ˚y!r›˛ xÌÓy xÌ≈ ˛ô!Ó˚ˆÏüyˆÏïÓ˚!òÿ˛Î˚ì˛y ˆ¢!Ó ˆîÎ˚ òy–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 Ñ˛Öò£z SEBI !òÓı˛#Ñ, ì˛ òÎ˚ ~õò CIS ≤Ã!ì˛¤˛yˆÏò !Ó!òˆÏÎ˚yÜ Ñ˛Ó˚ˆÏÓò òy–

5 Óyãy ÏÓ˚Ó˚ =ãÓ/!ÓK˛y˛ôò Á ≤Ã!ì˛◊&ì˛ xyÎ˚ ˆî ÏÖ !Ó!ò ÏÎ˚yÜ Ñ˛Ó˚ Ïì˛ Îy ÏÓòòy–

ˆv˛!Ó˚ ϶˛!›˛¶˛¢ (Derivatives)

!Ñ˛ Ñ˛Ó˚ ÏÓò (Do’s)

3 fi›˛Ñ˛ ~:ˆÏâ˛ˆÏOÓ˚ xy£zòñ !òÎ˚õÑ˛yò%ò Á ≤ÃÑ˛yüÑ˛Ó˚í (Rules, Regulations

and Disclosurs) ¶˛yˆÏúy Ñ˛ˆÏÓ˚ ˆãˆÏò !òò–

Page 20: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

21

3 !òÓı˛#Ñ,˛ì˛ ˆ›˛∆!v˛Ç ˆõ¡∫yÓ˚ˆÏîÓ˚ ¢ˆÏD xÌÓy ì˛yÓ˚ xò%ˆÏõy!îì˛ fi›˛Ñ˛~: ÏⲠÏOÓ˚ ˆõ¡∫yÓ˚ ÏîÓ˚ ¢ ÏD ÓƒÓ¢y Ñ˛Ó˚ ÏÓò–

3 ÎÖò ˆÑ˛yˆÏòy ˆúòˆÏîò Ñ˛Ó˚ˆÏÓòñ !ò!ÿ˛ì˛ £ˆÏÓò ˆÎ xy˛ôòyÓ˚ â% !_´˛ôexò% Ïõy!îì˛ Óƒ!_´ myÓ˚y ≤Ãî_ £ ÏÎ˚ ÏäÈ–

3 ˆÓ yÑ˛y ÏÓ˚ã/xÌ≈ ≤Ãîyò/õy!ã≈ò ÷ï%õye ˆ› ∆!v˛Ç ˆõ¡∫yÓ˚ ÏîÓ˚ ÏÑ˛ ˆî ÏÓò–

3 ≤Ã!ì˛!›˛ ˆúòˆÏîò ˆÎò â% !_´˛ôˆÏeÓ˚ õˆÏïƒ !îˆÏÎ˚ £Î˚ ì˛y !ò!ÿ˛ì˛ Ñ˛Ó˚&ò–

3 ˆ› ∆!v˛Ç ˆõ¡∫yÓ˚ ÏÑ˛ ˆîÎ˚ õy!ã≈ò õy!òÓ˚ ãòƒ ¢£ ÏÎyÜ# ãõyÓ˚ Ó˚!¢î ¢Ç@˘Ã£Ñ˛Ó˚&ò–

3 Client-TM â% !_´ !Óüy ÏÓ ˆîÖ%ò–

3 xy˛ôòyÓ˚ x!ïÑ˛yÓ˚ Ñ˛ì≈˛Óƒ ˆãˆÏò !òò–

3 xy˛ôòyÓ˚ xÓfl˛iyˆÏò ÓyãyÓ˚/õy!ã≈ò Ñ˛ˆÏúÓ˚ G§% !Ñ˛ ¢¡ôˆÏÑ≈˛ xÓ!£ì˛ ˆ£yò–

3 ˆ›˛∆!v˛Ç ˆõ¡∫yˆÏÓ˚Ó˚ Ñ˛yäÈ ˆÌˆÏÑ˛ ˜î!òÑ˛ !¶˛!_ˆÏì˛ xy˛ôòyÓ˚ ¶˛!Ó°ÏƒÍ xÓfl˛iyˆÏòÓ˚Mark to market margin-~Ó˚ xÌ≈ ¢Ç@˘Ã£ Ñ˛Ó˚&ò xÌÓy ≤Ãîyò Ñ˛Ó˚&ò–

!Ñ˛ Ñ˛Ó˚ ÏÓò òy (Don’ts)

5 G§%˛!Ñ˛ ¢¡∫!úì˛ î!úú ˆúòˆÏîˆÏòÓ˚ ˛ô)ˆÏÓ≈ òy ˛ôˆÏv˛¸ òy Ó%ˆÏG˛ ÓƒÓfl˛iy ÷Ó˚&Ñ˛Ó˚ ÏÓò òy–

5 ˆÑ˛yò ˛ôˆÏíƒÓ˚ ¢¡∫!úì˛ G§% !Ñ˛ ~ÓÇ ≤Ãy!Æ òy ˆãˆÏò ÓƒÓ¢y ÷Ó˚& Ñ˛Ó˚ˆÏÓò òy–

e´Î˚ ˛ôk˛!ì˛ (Purchasing Process)

ˆÑ˛yÌy ˆÌ ÏÑ˛ ˛ôíƒ !Ñ˛ò ÏÓò (From where to purchase the products)

l ˆÓ yÑ˛yÓ˚ É ˆÓ yÑ˛yÓ˚Ó˚y !Ó!¶˛ß¨ ïÓ˚ˆÏòÓ˚ ˛ô!Ó˚ˆÏ°ÏÓy ˆîÎ˚ ˆÎõò ˆüÎ˚yÓ˚ñ }í˛ôeñˆv˛!Ó˚ˆÏ¶˛!›˛¶˛ñ !õv˛zâ%˛ƒÎ˚yú ö˛yu˛ñ IPOÈÙÈ~Ó˚ e´Î˚ Á !Óe´Î˚–

l ÓƒyÇÑ˛ É ÓƒyÇÑ˛ ˆüÎ˚yÓ˚ñ }í˛ôeñ ˆv˛!Ó˚ˆÏ¶˛!›˛¶˛ñ !õv˛zâ%˛ƒÎ˚yú ö˛yu˛ñ IPO

¢Ó˚y¢!Ó˚ xÌÓy ì˛y ÏîÓ˚ Á ÏÎ˚Ó¢y£z Ï›˛Ó˚ õyïƒ Ïõ e´Î˚ÈÙÈ!Óe´ ÏÎ˚Ó˚ ÓƒÓfl˛iy Ñ˛ ÏÓ˚–

l !õv˛zâ%˛ƒÎ˚yú ö˛yu˛ É ≤ÃyÎ˚ ¢õhfl˛ !õv zâ% ƒÎ˚yú ö˛yu˛£z xòúy£z Ïò ~ÓÇ ¢Ó˚y¢!Ó˚!õv zâ% ƒÎ˚yú ö˛yu˛ e´Î˚ÈÙÈ!Óe´ ÏÎ˚Ó˚ ¢% ÏÎyÜ Ñ˛ ÏÓ˚ ˆîÎ˚–

Page 21: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

22

l fi›˛Ñ˛ ~: Ïâ˛O É Close Ended !õv zâ% ƒÎ˚yú ö˛yu˛ fi›˛Ñ˛ ~:ˆÏâ˛ˆÏOÓ˚ õˆÏïƒ!î ÏÎ˚ e´Î˚ÈÙÈ!Óe´Î˚ £Î˚ ~õò!Ñ˛ ˆÓ yÑ˛yÓ˚ ÏîÓ˚ õyïƒ Ïõ e´Î˚ÈÙÈ!Óe´Î˚ Ñ˛Ó˚y ÎyÎ˚Open Ended !õv zâ% ƒÎ˚yú ö˛yu˛Á fi›˛Ñ˛ ~:ˆÏâ˛ˆÏOÓ˚ õˆÏïƒ !îˆÏÎ˚ e´Î˚ÈÙÈ!Óe´Î˚Ñ˛Ó˚y ÎyÎ˚–

ˆüÎ˚yÓ˚ Óyãy ÏÓ˚ !Ó!ò ÏÎ˚yÜÑ˛yÓ˚# £ Ïì˛ £ Ïú ˛ôî Ï«˛˛ô(Steps involved for becoming a capital market investor)

l ≤ÃÌõ ≤à ÏÎ˚yãò PAN Card– ~!›˛ ¢õhfl˛ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚ ˆ«˛ˆÏeÓyïƒì˛yõ)úÑ˛–

l !v˛õƒy›˛ Á ÓƒyÇÑ˛ xƒyÑ˛yv zr›˛ xÓüƒ£z ≤ÈÏÎ˚yãò– xÌ≈ @˘Ã£í Á ≤ÃîyˆÏòÓ˚¢%!ÓïyÓ˚ ãòƒ ÓƒyÇÑ˛ xƒyÑ˛yv˛zr›˛!›˛ !v˛õƒy›˛ xƒyÑ˛yv˛zˆÏr›˛Ó˚ ¢ˆÏD ¢ÇÎ%_´ Ñ˛Ó˚y£Î–

l ˛ôÓ˚Óì≈˛# ˛ôîˆÏ«˛˛ô £ˆÏúy ˆÓ yÑ˛yÓ˚ !òÓ≈yâ˛ò ~ÓÇ KYC ö˛õ≈ ˛ô)Ó˚í Ñ˛Ó˚y ~ÓÇbroker-client â% !_´ Ñ˛Ó˚y–

l ˆÓ yÑ˛yÓ˚ ì˛yÓ˚˛ôÓ˚ ~Ñ˛!›˛ ~Ñ˛õye Client ID ò¡∫Ó˚ ˆîˆÏÓòñ ˆÎ!›˛!Ó!ò ÏÎ˚yÜÑ˛yÓ˚#Ó˚ ˛ô!Ó˚â˛Î˚ !£ Ï¢ ÏÓ Üíƒ £ ÏÓ–

l ~Öò xy˛ô!ò ˆüÎ˚yÓ˚ e´Î˚ ~ÓÇ !Óe´ˆÏÎ˚Ó˚ ãòƒ ˜ì˛!Ó˚ ˆ£yò–

ˆÑ˛yò ïÓ˚ ÏòÓ˚ ≤Ã!ì˛¤˛yò ÏÑ˛ ˆÑ˛ !òÎ˚s˛fí Ñ˛ ÏÓ˚(Who Regulates which Type of Entity)

xy!Ì≈Ñ˛ ÓyãyˆÏÓ˚Ó˚ ¢ˆÏD ¢¡ô!Ñ≈˛ì˛ ˆÑ˛y¡ôy!ò/õïƒfl˛iì˛yÑ˛yÓ˚#/˛ô!Ó˚ˆÏ°ÏÓy≤ÃîyòÑ˛yÓ˚#Ó˚ ~Ñ˛!›˛ ì˛y!úÑ˛y !ò ÏⲠˆîÁÎ˚y £ú– ~£z ïÓ˚ ÏòÓ˚ ≤Ã!ì˛¤˛yò¢õ)£ ÏÑ˛ÎyÓ˚y !òÎ˚s˛fí Ñ˛ˆÏÓ˚ ì˛yˆÏîÓ˚ òyõÁ !òˆÏⲠv z ÏÕ‘Ö Ñ˛Ó˚y £ˆÏúy ÈÙÙÙÈ

¢_¥y Óy ≤Ã!ì˛¤˛y ÏòÓ˚ ïÓ˚í !òÎ˚s˛fÑ˛ ¢Çfl˛iy

!£¢yÓ ˛ôÓ˚#«˛Ñ˛ ICAI / CAG

ÓƒyÇÑ˛ RBI

ÓƒyÇÑ˛ÈÙÈIssue Collection SEBI

!ⲛ˛ ö˛yu˛ Registrar of Chit Funds

Page 22: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

23

¢_¥y Óy ≤Ã!ì˛¤˛y ÏòÓ˚ ïÓ˚í !òÎ˚s˛fÑ˛ ¢Çfl˛iy

ˆÎÔÌ !Ó!òˆÏÎ˚yÜ fl˛Ò#õ SEBI

¢õhfl˛ Ó˚Ñ˛ ÏõÓ˚ ˆÑ˛y¡ôy!ò MCA / ROC

ˆÑ˛y¡ôy!òÈÙÈò!̶% _´ MCA / ROC / SEBI / SE

ˆÑ˛y¡ôy!ò ˆ¢ˆÏe´›˛y!Ó˚ ICSI

ˆÑ˛yÈÙÈx˛ôy ÏÓ˚!›˛¶˛ ÓƒyÇÑ˛ RBI

Ñ˛fi›˛ xƒyÑ˛yv˛zr›˛ƒyr›˛¢ ICWAI

ˆe´!v˛›˛ ˆÓ˚!›˛Ç ~!ã!™¢ SEBI

Ñ˛yˆÏfi›˛y!v˛Î˚yú ˛ô!Ó˚ˆÏ°ÏÓy SEBI

!v˛ˆÏÓM˛ÈyÓ˚ ›˛∆y!fi›˛ã SEBI

!v˛˛ô!ã›˛!Ó˚¢ SEBI

!v˛˛ô!ã›˛!Ó˚ ˛ôy!›≈ !¢˛ôƒyr›˛¢ SEBI / NSDL / CDSL

!ÓˆÏîü# ≤Ãy!ì˛¤˛y!òÑ˛ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚# SEBI

£yv˛z!¢Ç !ö˛òy™ ˆÑ˛y¡ôy!ò NHB

Ó#õyÓ˚ ˆÓ yÑ˛yÓ˚ / ~ˆÏãr›˛ IRDA

Ó#õy ˆÑ˛y¡ôy!ò IRDA

!Ó!òˆÏÎ˚yÜ ÓƒyÇÑ˛ SõyˆÏâ≈˛r›˛ ÓƒyÇÑ˛V SEBI

!Ó!òˆÏÎ˚yÜÑ˛yÓ˚# xƒyˆÏ¢y!¢ˆÏÎ˚üò¢ SEBI

!õ!v˛Î˚y S!òv˛zãˆÏ˛ô˛ôyÓ˚ñ õƒyÜy!ãòñ !›˛!¶˛V MIB

!õv zâ% ƒÎyú ö˛yu˛ Á ¢¡ôî ÓƒÓfl iy˛ôòy ˆÑ˛y¡ôy!ò SEBI

!õv˛zâ%˛ƒÎ˚yú ö˛yu˛ ˆÓ yÑ˛yÓ˚/~ˆÏãr›˛ AMFI / SEBI

òò‰ Óƒy!Ñ˛Ç ö˛y£zòyò‰!¢Î˚yú ˆÑ˛y¡ôy!ò RBI

!ò!ï ˆÑ˛y¡ôy!ò SEBI

Page 23: Ministry of Corporate Affairs Government of India of Corporate Affairs Government of India Shastri Bhawan, New Delhi-110 001 Salman Khurshid Minister of State (I/C) for Corporate Affairs

24

¢_¥y Óy ≤Ã!ì˛¤˛y ÏòÓ˚ ïÓ˚í !òÎ˚s˛fÑ˛ ¢Çfl˛iy

ˆ˛ôy›≈˛ˆÏö˛y!úÁ õƒyˆÏòãyÓ˚ SEBI

ˆÓ˚!ãfl˛T…yÓ˚ Á ˆüÎ˚yÓ˚ ›˛∆y™ö˛yÓ˚ ~ˆÏãr›˛ SEBI

ˆüÎ˚yÓ˚ ˆÓ yÑ˛yÓ˚ SEBI / SE

fi›˛Ñ˛ ~:ˆÏâ˛O SEBI

¢yÓ ˆÓ yÑ˛yÓ˚ SEBI

ˆ¶˛ò‰â˛yÓ˚ Ñ˛ƒy!˛ô›˛yú ö˛yu˛¢‰ SEBI

Ñ, ì˛K˛ì˛y fl ∫#Ñ˛yÓ˚ Á îy!Ó ˛ô!Ó˚ì˛ƒyÜ(Acknowledgements & Disclaimer)

Ñ, ì˛K˛ì˛y fl ∫#Ñ˛yÓ˚ (Acknowledgements)

~£z ˛ô‡˛ˆÏòÓ˚ v˛z˛ôyîyò!›˛ ˜ì˛Ó˚# Ñ˛Ó˚y £ˆÏÎ˚ˆÏäÈ õ)úì˛ ˆÑ˛y¡ôy!ò !Ó°ÏÎ˚Ñ˛ õs˛fˆÏÑ˛Ó˚Á ÏÎ˚Ó¢y£z›˛ (www.mca.gov.in), !Ó!òˆÏÎ˚yÜÑ˛yÓ˚# !ü«˛y ~ÓÇ ¢%Ó˚«˛y ö˛yu˛(www.iepf.gov.in), SEBI (www.sebi.gov.in), NSE

(www.nseindia.com), BSE (www.bseindia.com), MCX-SX

(www.mcx-sx.com) ~ÓÇ Prime Database (www.primedatabase.com)

~ÓÇ ICAI, ICSI, ICWAI ~Ó˚ ˛ôy‡˛ƒ v˛z˛ôyîyò ˆÌˆÏÑ˛–

îy!Ó ˛ô!Ó˚ì˛ƒyÜ (Disclaimer)

~ÖyˆÏò ˆÎ ïÓ˚ˆÏòÓ˚ ì˛Ìƒ ˛ô!Ó˚ˆÏÓ!üì˛ £ˆÏÎ˚ˆÏäÈ ì˛y õ)úì˛ ì˛Ìƒñ !Ó!¶˛ß¨ Óƒ!_´Ó˚Ñ˛yˆÏäÈ ˆ˛ô§ÔˆÏäÈ ˆîÁÎ˚yÓ˚ ãòƒ ~ÓÇ ˆüÎ˚yÓ˚ ÓyãyÓ˚ ¢¡ôˆÏÑ≈˛ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#ˆÏîÓ˚¢ˆÏâ˛ì˛òì˛y Ó,!k˛Ó˚ ãòƒ– ΈÏÌ‹T ΈÏbÓ˚ ¢yˆÏÌ ~!›˛ ˜ì˛Ó˚# Ñ˛Ó˚y £ˆÏÎ˚ˆÏäÈ ì˛ˆÏÓ ~Ó˚!¶˛!_ˆÏì˛ Î!î ˆÑ˛yò Óƒ!_´ ˆÑ˛yò !¢k˛yhs˛ !òˆÏÎ˚ «˛!ì˛Ó˚ ¢¡ø%Ö#ò £ˆÏÎ˚ ÌyˆÏÑ˛ò ì˛yÓ˚ãòƒ ˆÑ˛y¡ôy!ò !Ó°ÏÎ˚Ñ˛ õs˛fÑ˛ñ ¢¡ôyîÑ˛ xÌÓy ÎyÓ˚y ~!›˛ Ór›˛ò Ñ˛Ó˚ˆÏäÈò ì˛yÓ˚yîyÎ˚# ÌyÑ˛ˆÏÓò òy–

~›˛y õˆÏò Ó˚yÖˆÏì˛ £ˆÏÓ ≤Ã!ì˛!òÎ˚ì˛ ˆüÎ˚yÓ˚ ÓyãyÓ˚ ¢Çe´yhs˛ !òÎ˚õÈÙÈÑ˛yò%ò˛ô!Ó˚Óì≈˛ò £ˆÏFäÈ ˆÏ¢ãòƒ !Ó!òˆÏÎ˚yÜÑ˛yÓ˚#Ó˚y ¢Ó≈îy ¢y¡±!ì˛Ñ˛ì˛õ xy£zò Ñ˛yò%ò¢¡ô ÏÑ≈ !Ó!¶˛ß¨ Á ÏÎ˚Ó¢y£z›˛ xÌÓy !òÎ˚s fÑ˛ ¢Çfl iyÓ˚ !òÎ˚õ ˆî ÏÖ xÓ!£ì˛ £ ÏÓò–