List out the documents to be submitted to Stock Exchange at the time of approval of finalization of basis of allotment in India.

The documents that needs to be submitted to Stock Exchange at the time of approval of finalisation of basis of allotment in India are as under: Copy of Prospectus filed with the ROC (also in soft copy CD) along with letter from all the merchant bankers involved in the issue specifying details of amendments/ changes made in Red Herring Prospectus (which were subsequently incorporated in Prospectus). To submit the same in track changes mode also. Proceeding details/minutes of basis of allotment, verified and signed by R & T Agent, BRLM (Responsible for post issue) and the Issuer along with the reasons for exception to rejection cases. Category wise, summary of list of "technical rejection" cases Specifying - Application No., Category, Name & Add., Pan, DP ID, CL ID, Quantity, price Amount and reason for rejection along with photo-copies of Application forms. Confirmation from registrar regarding withdrawal of applications received, considered in the basis, indicating date and time (should not be more than 12 hours from time of submission of basis). Statements giving branch wise/bank wise/city wise/state wise/zone wise details of the total collections with a breakup of ASBA fund received at the various participating bank branches in response to the public issue / offer for sale. Category wise, Bid lot wise, two copies of Calculation sheet of proposed basis of allotment of equity shares to the Qualified Institutional Buyers, Non-Institutional Bidders and Retail Bidders, Reserved category etc. duly signed by RTA, BRLM & Issuer. Photo copy of the final certificate issued by the controlling branch of ASBA bankers giving branch wise details of collections received. Undertakings from the company, lead managers and the registrars & transfer agents in respect of the basis of allotment. Copy of the statutory advertisement released in respect of the public issue / offer for sale, opening and closing of the issue, price revision, if any etc. up to the stage of basis of allotment. Auditors certificate with regard to the promoters contribution, if applicable. Declaration from the Managing Director / Company Secretary that there is no injunction/prohibition order of a competent court of law on the issue or on a part of any particular category of the issue. Confirmation that: Only Qualified Institutional Buyers as mentioned under the definition in Regulation 2 (zd) of the SEBI (Issue of Capital and Disclosure Requirements), Regulations, 2018 are proposed to be allotted equity shares under QIB category. No QIB has Bid and proposed to be allotted equity shares under non-QIB or retail category. List of all prospective allottees (valid) along with number of shares applied, amount paid, bank account details, PAN number, Demat account details etc. (in soft copy CD). If Approval from the SEBI is sought for relaxation in PAN mismatch applications, then copy of the SEBI approval letter as well as the true copy of request letter to the SEBI, should be submitted.