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    CORPORATE SECRETARIAL SERVICES

    Registrar & Transfer Agent Services

    Expert registrar and transfer agent services for companies — AAPT & Associates provides comprehensive RTA services for companies including share registry maintenance, transfer processing, dematerialisation support and ongoing RTA compliance under SEBI and Companies Act regulations.

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    01 — OVERVIEW

    What is a Registrar and Transfer Agent (RTA)?

    A Registrar and Transfer Agent (RTA) is a SEBI-registered intermediary appointed by a company to maintain its share registry, process share transfers, handle dematerialisation requests and manage shareholder-related compliance. The RTA acts as the link between the company, its shareholders and the depositories (NSDL/CDSL).

    For companies undergoing dematerialisation of securities under MCA Rule 9B, appointment of a SEBI-registered RTA is mandatory before applying for an ISIN. Our share registrar services in India cover both the statutory appointment requirement and the ongoing day-to-day registry management that follows.

    • Mandatory for companies seeking ISIN allotment from NSDL or CDSL
    • Required for processing demat and remat requests from shareholders
    • Essential for listed companies under SEBI (Listing Obligations and Disclosure Requirements) Regulations
    • Needed for unlisted companies completing dematerialisation under MCA Rule 9B
    02 — SERVICES

    Our Registrar and Transfer Agent Services

    Our RTA services for companies cover the complete share registry function:

    1
    Share Registry Maintenance

    Maintaining the Register of Members — recording all share transfers, transmissions, allotments and changes in shareholding, with accurate and up-to-date shareholder records at all times.

    2
    Share Transfer Processing

    Processing physical share transfer deeds, verifying signatures, checking compliance with transfer restrictions (if any) and updating the register of members within prescribed timelines.

    3
    Dematerialisation Support

    Coordinating shareholder demat requests (DRF processing), liaising with NSDL/CDSL for electronic credit, cancelling physical certificates and updating demat holding records.

    4
    ISIN Application Support

    Assisting companies in applying for ISIN allotment from NSDL or CDSL — preparing required documentation, coordinating with the depository and tracking ISIN issuance to completion.

    5
    Dividend & Corporate Action Processing

    Processing dividend payments, bonus share allotments, rights issues and other corporate actions — coordinating with the company, shareholders and depositories for accurate and timely execution.

    6
    Shareholder Communication

    Issuing notices, annual reports and other statutory communications to shareholders — maintaining accurate shareholder address records and coordinating e-voting for general meetings.

    7
    Transmission & Nomination Processing

    Processing transmission of shares on death of a shareholder, recording nominations and updating the register — with all required legal documentation and compliance verification.

    8
    RTA Compliance & Reporting

    As your RTA compliance consultant — quarterly reconciliation of share capital, demat/physical holding reconciliation, SEBI filing support and MCA compliance reporting.

    03 — WHO NEEDS AN RTA

    Which Companies Need RTA Services?

    Our share registrar services in India are required by:

    • Private limited companies completing dematerialisation — mandatory RTA appointment is the first step in the demat process under MCA Rule 9B
    • Listed companies — SEBI (LODR) Regulations require listed companies to appoint a SEBI-registered RTA for all share registry functions
    • Companies processing share transfers — any company with active share transfer activity needs a properly maintained share registry
    • Companies paying dividends — accurate shareholder records and bank account details are essential for dividend processing
    • Companies with NRI or foreign shareholders — RTA coordination is essential for FEMA compliance, repatriation and reporting
    • Companies planning an IPO or pre-IPO round — clean share registry records are a due-diligence requirement for any capital market transaction
    04 — RTA COMPLIANCE

    RTA Compliance Consultant Services

    Beyond day-to-day registry management, our RTA compliance consultant services ensure your company stays current with all regulatory requirements:

    • Quarterly share capital reconciliation — reconciling issued, subscribed and paid-up capital with demat and physical holdings, as required by SEBI
    • Annual return support — providing accurate shareholding data for MCA annual return (MGT-7) filings
    • IEPF compliance — identifying and transferring unclaimed dividends and shares to the Investor Education and Protection Fund (IEPF) within the prescribed 7-year timeline
    • Insider trading compliance — maintaining the Structured Digital Database (SDD) for listed companies under SEBI (PIT) Regulations
    • Beneficial ownership reporting — tracking and updating significant beneficial ownership (SBO) declarations under the Companies Act
    05 — PROCESS

    How We Onboard an RTA Engagement

    1

    Appointment & Documentation

    Board Resolution appointing AAPT as RTA, execution of the tripartite agreement between the company, AAPT (as RTA) and the depository (NSDL/CDSL), and transfer of existing registry records.

    2

    Registry Review & Cleanup

    We review the existing register of members, reconcile physical and demat holdings, identify any discrepancies, and create a clean, accurate baseline registry before going forward.

    3

    ISIN Application (if required)

    For companies newly undertaking dematerialisation, we prepare and submit the ISIN application to NSDL or CDSL — tracking issuance until ISIN is allotted.

    4

    Shareholder Communication & Demat

    We communicate with shareholders, guide them through the demat process, collect DRF forms and physical certificates, and coordinate electronic credit with the depository.

    5

    Ongoing Registry Management

    We manage all share transfers, corporate actions, compliance filings and shareholder communications on an ongoing basis — as your complete registrar and transfer agent services partner.

    06 — WHY AAPT

    Why Choose AAPT & Associates for RTA Services

    AAPT & Associates provides RTA services for companies as part of a broader corporate secretarial and compliance offering — giving you a single point of contact for share registry, dematerialisation, MCA filings and ongoing RTA compliance. As a CA firm with deep secretarial expertise, we bring a level of technical rigour to registry management that most standalone RTA providers cannot match — combining depository coordination with Companies Act compliance in one integrated engagement.


    07 — FAQ

    Frequently Asked Questions

    A Registrar and Transfer Agent maintains a company's share registry — recording all shareholding changes, processing transfers and transmissions, handling dematerialisation requests and coordinating with depositories. Our RTA services for companies cover every aspect of this function, from ISIN application to ongoing registry management and corporate action processing.

    Yes. Appointment of a SEBI-registered RTA is mandatory before applying for an ISIN from NSDL or CDSL. Private companies completing dematerialisation under MCA Rule 9B must appoint an RTA as the first step. Our share registrar services in India include managing the complete RTA appointment and ISIN application process.

    AAPT & Associates provides registrar and transfer agent services in coordination with SEBI-registered RTA entities — managing the complete process on your behalf. We handle all documentation, depository coordination and compliance reporting as your outsourced registry management partner. Contact us to discuss the specific structure for your engagement.

    The Investor Education and Protection Fund (IEPF) is a government fund to which unclaimed dividends (older than 7 years) and the corresponding shares must be transferred. As your RTA compliance consultant, AAPT identifies unclaimed dividend amounts, prepares IEPF-1 filings and coordinates the transfer of shares to the IEPF Demat Account — keeping you compliant with this often-missed obligation.

    The Register of Members is maintained electronically — recording each shareholder's name, address, folio number, number of shares held (physical and demat), PAN, bank account details and nomination. Our share registrar services in India ensure the register is always accurate, reconciled with depository records and available for inspection as required under the Companies Act.

    Yes. Our registrar and transfer agent services cover companies with NRI shareholders, foreign portfolio investors and foreign direct investment — including FEMA-compliant transfer documentation, RBI reporting coordination and repatriation support. Foreign shareholder structures add compliance complexity that our integrated CA and secretarial team is well-placed to manage.

    Need an RTA for demat or registry management?

    Talk to our secretarial team — we'll confirm what's needed, manage the complete appointment and keep your share registry current and compliant.