High-Value IEPF/Transmission Cases: Affidavit/Indemnity, TAT Optimization and Escalations (Probate/NCLT)

Affidavit/Indemnity Strength

• Drafting clarity and coverage
• Stamping/notarization best practices
• Tie-back to proofs and corporate actions

TAT Optimization

• Milestone planning and SLA for responses
• Parallel workstreams (KYC, demat, bank)
• Escalation matrix

Probate/NCLT Intersections

• When to involve probate
• Co-ordination with NCLT-linked matters

Risk Thresholds and Controls

• High-value thresholds (₹25L, ₹50L+) may require stronger sureties and board approvals
• Two-surety model with financial strength proofs, PAN, and bank statements
• Indemnity coverage: loss, claims, costs; duration and survival clauses

Indicative Timelines (Complex Cases)

• Dossier preparation and notarization: 5–10 working days
• Company/RTA round‑trip with clarifications: 20–45 working days
• Probate/Succession (if applicable): jurisdiction dependent (weeks to months)

Escalation Playbook

1. RTA helpdesk with evidence bundle and SLA tracking
2. Company Compliance/Board Secretariat with case brief
3. Legal escalation: Probate/NCLT guidance for disputed titles or board reservations

Case Studies

• ₹60L multi‑folio consolidation: executed corrections, consolidation, and staged filings to reduce TAT
• Cross‑company holdings: synchronized affidavits/sureties to satisfy divergent RTA requirements

FAQs

Related Guides

• Transmission of Shares (EN)
• Name/Signature Corrections & Corporate Actions
• IEPF Claim 2025 (EN)