INVESTOR CHARTER- PUBLIC ISSUE OF DEBT SECURITIES

VISION STATEMENT:

To continuously earn trust of investors and emerge as a solution provider with integrity.

Mission STATEMENT:

DESCRIPTION OF ACTIVITIES/ BUSINESS OF THE ENTITY:

DETAILS OF SERVICES PROVIDED TO INVESTORS – PUBLIC ISSUE:

TIMELINES
S.No.
Activities
Timeline for which activity takes place
Information where available
1. Filing of draft offer document by company for public comments 0 Websites of stock exchanges, lead manager, issuer and SEBI.
2. Receipt of public comments on offer document Seven working days from draft offer document filing. -
3. Statutory advertisement On or before the Issue opening date. Newspaper advertisement
4. Issue opening date On or after statutory advertisement. Final offer document available on websites of stock exchanges, lead manager, issuer and SEBI .
5. Availability of application forms with abridged prospectus Till issue closure date Websites of stock exchanges and lead manager.
6. Display of total demand in the issue Issue opening date till issue closure date. Updated on websites of stock exchanges.
7. Commencement of trading – pubic issue/font> On or before six working days from Issue closure date Final offer document available on websites of stock exchanges, lead manager, issuer and SEBI.
8. Unblocking ASBA Accounts Within five working days In case of delay the issuer shall pay interest at the rate of 15% per annum (Reg. 35(2) of NCS Regulations).
9. Allotment status and allotment advice Completion of basis of allotment. By email/ post/ SMS
10. Track record of public issue Listing date Lead manager's website

Rights of Investors

DOs AND DON’Ts FOR INVESTORS:

(for complete dos and don’ts, may refer to offer document)

DOs:

Don’ts:

INVESTOR GRIEVANCE REDRESSAL MECHANISM AND HOW TO ACCESS IT

TIMELINES FOR RESOLUTION OF INVESTOR GRIEVANCES:

Best efforts should be undertaken by lead manager (LM) to resolve the grievances within T+30 days. A desirable indicative timeline is as follows:

S.No.
Activities
No. of calendar days
1. Investor grievance received by the lead manager T
2. Lead Manager to the offer to identify the concerned intermediary and endeavour to forward the grievance to the concerned intermediary/ies on T day itself T+1
3. The concerned intermediary/ies to respond to the lead manager with an acceptable reply/ proof of resolution X
4. Lead manager, the concerned intermediary/ies and the investor shall exchange between themselves additional information related to the grievance, wherever required. Between T and X
5. LM to reply to the investor with the reply/ proof of resolution X+3

NATURE OF INVESTOR GRIEVANCES FOR WHICH THE AFORESAID TIMELINE ISAPPLICABLE:

MODE OF RECEIPT OF INVESTOR GRIEVANCE:

The following modes of receipt will be considered valid for processing the grievances in the timelines discussed above

NATURE OF ENQUIRIES FOR WHICH THE LEAD MANAGER SHALL BE RESPOND TO/ ESCALATED PROMPTLY:

RESPONSIBILITIES OF INVESTORS (EXPECTATIONS FROM THE INVESTORS

INVESTOR CHARTER - PUBLIC ISSUE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS)

VISION STATEMENT:

To continuously earn trust of investors and emerge as a solution provider with integrity.

Mission STATEMENT:

DESCRIPTION OF ACTIVITIES/ BUSINESS OF THE ENTITY:

IPO: Act as Merchant Banker to Issuer

DETAILS OF SERVICES PROVIDED TO INVESTORS – PUBLIC ISSUE:

TIMELINES
S.No.
Activities
Timeline for which activity takes place
Information where available
1. Filing of draft offer document by company for public comments T Websites of stock exchanges, lead manager, issuer and SEBI.
2. Receipt of public comments on offer document Seven working days from draft offer document filing. -
3. Statutory advertisement On or before the Issue opening date. Newspaper advertisement
4. Issue opening date On or after statutory advertisement. Final offer document available on websites of stock exchanges, lead manager, issuer and SEBI .
5. Availability of application forms Issue opening date till issue closure date. Final offer document available on websites of stock exchanges, lead manager, issuer and SEBI.
6. Total demand in the issue Issue closure date. Updated on websites of stock exchanges .
7. Commencement of trading On or before six working days from Issue closure date Final offer document available on websites of stock exchanges, lead manager, issuer and SEBI.
8. Unblocking ASBA Accounts Within five working days In case of delay the issuer shall pay interest at the rate of 15% per annum (Reg. 35(2) of NCS).
9. Allotment status and allotment advice Completion of basis of allotment. By email/ post/ SMS
10. Track record of public issue Listing date Lead manager's website

Rights of Investors

DOs AND DON’Ts FOR INVESTORS:

DOs:

Don’ts:

INVESTOR GRIEVANCE REDRESS MECHANISM AND HOW TO ACCESS IT:

TIMELINES FOR RESOLUTION OF INVESTOR GRIEVANCES:

Best efforts should be undertaken by lead manager (LM) to resolve the grievances within T+30 days. A desirable indicative timeline is as follows:

S.No.
Activities
No. of calendar days
1. Investor grievance received by the lead manager T
2. Lead Manager to the offer to identify the concerned intermediary and it shall be endeavoured to forward the grievance to the concerned intermediary/ies on T day itself T+1
3. Investor may escalate the pending grievance, if any, to a senior officer of the lead manager of rank of Vice President or above T+21
4. The concerned intermediary/ies to respond to the lead manager with an acceptable reply X
5. Lead manager, the concerned intermediary/ies and the investor shall exchange between themselves additional information related to the grievance, wherever required Between T and X
6. LM to respond to the investor with the reply Upto X+3

NATURE OF INVESTOR GRIEVANCES FOR WHICH THE AFORESAID TIMELINE ISAPPLICABLE:

MODE OF RECEIPT OF INVESTOR GRIEVANCE:

The following modes of receipt will be considered valid for processing the grievances in the timelines discussed above

NATURE OF ENQUIRIES FOR WHICH THE LEAD MANAGER SHALL BE RESPOND TO/ ESCALATED PROMPTLY:

RESPONSIBILITIES OF INVESTORS (EXPECTATIONS FROM THE INVESTORS

INVESTOR CHARTER- PRIVATE PLACEMENT OF NON-CONVERTIBLE SECURITIES

VISION STATEMENT:

To continuously earn trust of investors and emerge as a solution provider with integrity.

Mission STATEMENT:

DESCRIPTION OF ACTIVITIES/ BUSINESS OF THE ENTITY:

Act as Arranger to Private Placement, if appointed by the Issuer;

DETAILS OF SERVICES PROVIDED TO INVESTORS – PUBLIC ISSUE:

TIMELINES
S.No.
Activities
Timeline for which activity takes place
Information where available
1. Company to make intimation to the stock exchange(s) at least two business days prior to the passing of the Board resolution in relation to the Issue. Two days prior to the board resolution. Stock exchange
2. Board resolution for approving the issuance (shareholder's approval is not required for private placement of debt if the issuance is within the borrowing limits under Section 180(1)(c) of the Companies Act). Within 30 minutes Stock exchange
3. Investor needs to do register on the EBP platform. At least two days before the scheduled date of bidding. Stock exchange
4. Companies with issue size of Rs. 100 crore and above will have to register themselves on the EBP mechanism of the Stock exchange(s) and the entire process-right from uploading of information memorandum, mapping of investors/ arrangers, bidding, pay-ins, allocation will happen through the EBP mechanism. Two days before the scheduled date of bidding. Stock exchange
5. Issue opens and closes Issue should remain open for minimum one hour. Stock exchange
6. To conduct committee/ board meeting to identify the investors and issue the private placement offer letter to the identified investors. Within one hour of the closure of bidding -
7. Allotment and receipt of funds To be completed latest within two working days of closure of issue. -
8. Filing of listing application and obtaining trading approval from the stock exchange(s). To be completed latest within four working days of closure of issue. Stock exchange
9. Allotment status and allotment advice Completion of basis of allotment. By email/ post/ SMS
10. Track record of public issue Listing date Lead manager's website

Rights of Investors

DOs AND DON’Ts FOR INVESTORS:

DOs:

Don’ts:

INVESTOR GRIEVANCE REDRESSAL MECHANISM AND HOW TO ACCESS IT

TIMELINES FOR RESOLUTION OF INVESTOR GRIEVANCES:

Best efforts will be undertaken by lead manager to resolve the grievance within T+30 days. A desirable indicative timeline is as follows:

S.No.
Activities
No. of calendar days
1. Investor grievance received by the Issuer and/ or the RTA T
2. The Issuer and/or the RTA to respond to the investor with an acceptable reply T+10
3. The Issuer and/or the RTA and the investor shall exchange between themselves additional information related to the grievance, wherever required Between T and T+10
4. In case any further coordination / information is required by Issuer / RTA, final response to the investor should be sent Up to T+20

NOTE:

It is not mandatory for the issuer to appoint a merchant banker or any other entity as advisor or arranger for the private placement of debt and even if appointed, they are NOT involved in the entire process of issuance and hence the investors will have to take up their grievance/s directly with the Company.

NATURE OF INVESTOR GRIEVANCE FOR WHICH THE AFORESAID TIMELINE IS APPLICABLE:

MODE OF RECEIPT OF INVESTOR GRIEVANCE:

The following modes of receipt will be considered valid for processing the grievances in the timelines discussed above

NATURE OF ENQUIRIES/ QUERIES FOR WHICH THE ISSUER AND/ OR THE RTA SHALL ENDEAVOUR TO RESOLVE/ ESCALATE PROMPTLY:

RESPONSIBILITIES OF INVESTORS (EXPECTATIONS FROM THE INVESTORS

Attention Investors: 1. "KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary." 2. ASBA - "No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account." 3. for Depository Transaction - "Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day......................issued in the interest of investors." 4. for Stock Broking Transaction - "Prevent Unauthorized Transactions in your account --> Update your Mobile Number / Email Id with your Stock Broker. Receive alerts on your Registered Mobile / Email for all debit and other important transactions in your demat account directly from Exchanges on the same day......................issued in the interest of investors."

NVS Brokerage SEBI Registration No.: INZ000209331 (BSE-531 | NSE-90098 ) ,

AMFI: ARN-0539 is Registered under “NVS Brokerage Private Limited”

INA000003205 is Registered under “NVS Wealth Managers Pvt. Ltd.”


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