SEBI Issues FAQs on Investor Services by RTAs

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  • 2 Min Read
  • By Taxmann
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  • Last Updated on 18 July, 2025

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FAQs on Investor Services

FAQs; Dated: 16.07.2025

The Securities and Exchange Board of India (SEBI) has issued a detailed set of Frequently Asked Questions (FAQs) to guide investors on various service requests processed by Registrar to the Issue and Share Transfer Agents (RTAs). These FAQs aim to bring greater clarity and consistency in investor services for securities held in both physical and dematerialised (demat) modes.

1. Key Areas Covered in the FAQs

The FAQs address common investor queries related to a wide range of service functions performed by RTAs, including:

  • Registration and Updation of PAN
  • Nomination and Change in Nominee Details
  • Updating Contact Details – such as email ID and mobile number
  • Updating Bank Account Details – for dividend and redemption payments
  • Signature Mismatch or Update – rectification and attestation procedures
  • Change of Name – due to marriage, legal change, etc.
  • Dematerialisation & Rematerialisation – of securities from physical to demat form and vice versa
  • Transmission of Securities – in case of death of security holder
  • Transposition Requests – change in order of holder names
  • Grievance Redressal Mechanism – for unresolved or pending service issues
  • E-voting Process – for securities held in physical and demat formats

2. Objective and Benefits

The release of these FAQs is part of SEBI’s investor-centric regulatory approach and aims to:

  • Empower investors with accessible information on key service processes
  • Streamline interactions between investors and RTAs
  • Promote transparency and accountability in the securities servicing ecosystem
  • Ensure uniformity in handling investor requests across different RTAs and intermediaries

SEBI encourages all investors, RTAs, and intermediaries to refer to this FAQ document to ensure compliance with the prescribed procedures and to enhance the overall investor experience.

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Author: Taxmann

Taxmann Publications has a dedicated in-house Research & Editorial Team. This team consists of a team of Chartered Accountants, Company Secretaries, and Lawyers. This team works under the guidance and supervision of editor-in-chief Mr Rakesh Bhargava.

The Research and Editorial Team is responsible for developing reliable and accurate content for the readers. The team follows the six-sigma approach to achieve the benchmark of zero error in its publications and research platforms. The team ensures that the following publication guidelines are thoroughly followed while developing the content:

  • The statutory material is obtained only from the authorized and reliable sources
  • All the latest developments in the judicial and legislative fields are covered
  • Prepare the analytical write-ups on current, controversial, and important issues to help the readers to understand the concept and its implications
  • Every content published by Taxmann is complete, accurate and lucid
  • All evidence-based statements are supported with proper reference to Section, Circular No., Notification No. or citations
  • The golden rules of grammar, style and consistency are thoroughly followed
  • Font and size that's easy to read and remain consistent across all imprint and digital publications are applied