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Duties and responsibilities of RTA

Avatar 37a3bd7bc7328f0ead2c0f6f635dddf60615e676e6b4ddf964144012e529de45 asked

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Avatar 37a3bd7bc7328f0ead2c0f6f635dddf60615e676e6b4ddf964144012e529de45 answered

A Registrar to an Issue and share transfer agent shall fulfil its obligations in a prompt ethical and professional manner. A Registrar to an Issue and share transfer agent shall at all times exercise due diligence, ensure proper care and exercise independent professional judgement. A Registrar to an Issue and share transfer agent shall exercise adequate care, caution and due diligence before dematerialisation of securities by confirming and verifying that the securities to be dematerialised have been granted listing permission by the stock exchange/s. A Registrar to an Issue and share transfer agent shall always endeavour to ensure that— (a) inquiries from investors are adequately dealt with; (b) grievances of investors are redressed without any delay; (c) transfer of securities held in physical form and confirmation of dematerialisation/rematerialisation requests and distribution of corporate benefits and allotment of securities is done within the time specified under any law.

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Avatar 37a3bd7bc7328f0ead2c0f6f635dddf60615e676e6b4ddf964144012e529de45 answered

1. A Registrar to an Issue and share transfer agent shall maintain high standards of integrity in the conduct of its business. 2. A Registrar to an Issue and share transfer agent shall fulfil its obligations in a prompt ethical and professional manner. 3. A Registrar to an Issue and share transfer agent shall at all times exercise due diligence, ensure proper care and exercise independent professional judgement. 4. A Registrar to an Issue and share transfer agent shall exercise adequate care, caution and due diligence before dematerialisation of securities by confirming and verifying that the securities to be dematerialised have been granted listing permission by the stock exchange/s. 5. A Registrar to an Issue and share transfer agent shall always endeavour to ensure that— (a) inquiries from investors are adequately dealt with; (b) grievances of investors are redressed without any delay; (c) transfer of securities held in physical form and confirmation of dematerialisation/rematerialisation requests and distribution of corporate benefits and allotment of securities is done within the time specified under any law. 6. A Registrar to an Issue and share transfer agent shall make reasonable efforts to avoid misrepresentation and ensure that the information provided to the investors is not misleading. 7. A Registrar to an Issue and share transfer agent shall not reject the dematerialisation/rematerialisation requests on flimsy grounds. Such request could be rejected only on valid and proper grounds and supported by relevant documents. 8. A Registrar to an Issue and share transfer agent shall avoid conflict of interest and make adequate disclosure of its interest. Thanks

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