What are the pre-issue formalities under Regulation 28(1) of the SEBI (Listing Obligations and Disclosure Requirements), Regulations, 2015 for ESPS / ESOS / SARS / GEBS/RBS?

Answer 6 A(a) Pre-Issue Formalities Checklist for Prior In-principle approval under Regulation 28(1) of the SEBI (Listing Obligations and Disclosure Requirements), Regulations, 2015 for ESPS/ESOS/SARS/GEBS/RBS: Certified copy of Stock Option/Stock Purchase Scheme/Stock Appreciation Rights Scheme/ General Employee Benefits Scheme/ Retirement Benefit Schemes, certified by the Company Secretary. Certified copy of statement to be filed with the Stock Exchange as required under Regulation 10(b) of the SEBI (Share Based Employee Benefits and Sweat Equity) Regulations, 2021. Certified true copy of the notice of AGM/EGM for approving the Scheme/for amending the Scheme/for approving grants under Regulation 6 of the SEBI (Share Based Employee Benefits and Sweat Equity) Regulations, 2021, certified by the Company Secretary. Certified true copy of special resolution along with the explanatory statement passed by the shareholders of the Company approving/ amending the Scheme. Certificate of Secretarial Auditors on compliance with SEBI (Share Based Employee Benefits and Sweat Equity) Regulations, 2021. Certificate of Merchant Banker on compliance with SEBI (Share Based Employee Benefits and Sweat Equity) Regulations, 2021. List of Promoters as defined under the SEBI (Share Based Employee Benefits and Sweat Equity) Regulations, 2021. Details of employee (wherever applicable) - Who have been granted options/issued shares in excess of 5% of option/shares issued in one year. Who have been granted options/issued shares equal to or exceeding 1% of issued capital during any one year. Copy of latest Annual Report. Specimen copy of Share certificate (where shares are issued in physical form). Confirmation from the Company. Undertakings as required by SEBI. Reconciliation statement. Certified true copy of irrevocable trust deed. Certified true copy of Disclosure document (applicable only for ESOS and SARS). Processing fees.