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Recently, SEBI has passed a landmark judgment under RTA Regulations in the context of liability between the issuer company and its agent RTA

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Recently, SEBI has passed a landmark judgment under RTA Regulations in the context of liability between the issuer company and its agent RTA, recognition of an industry-wide problem of unavailability of signatures, consideration of due diligence, corrective steps and subsequent compliance by an RTA to determine liability on an RTA.

Regstreet Law Advisors Sumit Agrawal and others represented the leading Registrar and Transfer Agent of India – the Link Intime India Pvt. Ltd. RTAs are required to maintain specimen signature cards and transfer deeds, as well as notifying the transferees regarding any material signature difference while registering and transferring Securities transactions.

SEBI, in the facts of the case, warned the RTA without any suspension considering its efforts and due diligence. The SEBI order is annexed for securities law learners.

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