General Instructions for filling Delivery Instruction Slip (DIS)
Delivery Instruction slip are being used to transfer securities from one demat account to
another demat account..
E All relevant portions must be duly filled in the DIS (sample attached).
E The DIS should preferably be filled in black / blue pen and any portion of the DIS which is not applicable to the
account holder must be clearly struck off.
E Separate DIS is to be filled for transferring shares to different demat accounts.
E If the DIS is complete in all respect, then acknowledgement of the DP should be given to the BO.
E Date of receiving the DIS should be written on the acknowledgement given to the BO.
E All corrections on the DIS must be duly authenticated by the account holder (s) by affixing his/her signature near the
place of the correction.
E All signatures must be done using a ballpoint pen or an ink pen only. Sketch pens and marker pens should not be
used for signing.
E Use of whiteners / correction fluids anywhere on the DIS form must be avoided in entirety.
E Ensure that the client has sufficient amount of credit balance in his account before accepting the DIS. The charges
for per ISIN are as applicable DP tariff assigned to the client.
The normal charges are :
? 0.04% of the value or Rs. 30.00 per ISIN whichever is higher plus applicable Service Tax (Current rate being
12.36% on DP Charges)
Abbreviation used in DIS:
DP ID
:
Depository Participant ID
BO
:
Beneficiary Owner (Demat Account Holder)
CM
:
Clearing Member (Broker Pool Account)
CM ID
:
Clearing Member ID no.
CMBP ID
:
Clearing Member Broker Pool ID
Counter DP ID
:
Depository Participant ID of demat account where the shares getting transferred.
Sample of Instruction Slip for Delivery / Receipt
1
sbicap securities
SBICAP Securities Limited.
Serial No: 0000001
DP ID - 12047200 and DP SEBI Reg. No. IN-DP-CDSL-370-2006
INSTRUCTION SLIP FOR DELIVERY / RECEIPT
(To be filled in duplicate)
191, Maker Tower ‘F’, Cuffe Parade, Mumbai - 400 005
Tel. : 91-22-3027 3300 Fax : 91-22-3027 3420
2
Delivery
3
I/We request you to debit / credit my / our account as under
BOID
Sr.No.
4
First / Sole Holder’s Name
IN
2
IN
3
IN
4
IN
5
IN
Quantity In Figures
Security Name
ISIN
1
Receipt
Date : ___/____/20___
5
6
If transfer from BO (Investor) account to another BO (Investor) account and NOT RELATED to Stock Exchange Transactions:
Please mention consideration amount in Rs. _____________________________________________ OR
9
Please Specify reason:Gift
Transfer between two accounts of same holder
Transfer between family members
Others (explain) _______________________________________________
Settlement Details
12
Account Transfer - With in CDSL (Transaction)
BO-CM, CM-BO, CM-CM
BO-BO
Exchange Name
Optional
Settlement / Market Type
Optional
Settlement Number
Counter DP ID / CM BP ID
Counter Client ID
Counter BO / CM Name
Counter Settlement Details
A
S
13
Account Transfer - Outside CDSL (Inter Depository)
BO-BO
CM-CM
Exchange Name
Not Applicable
Settlement / Market Type
Settlement Number
10
P
M
-: Fill the relevant columns :Instruction Type
E
L
8
Total Instructions Issued (In Words only)
Instructions Reference No.
(to be filled by DP)
Quantity In Words
7
BO-CM, CM-BO, CM-CM
CMID (Applicable for Early
Pay-In and Normal Pay-In)
14
11
Execution Date (Not
Applicable for Early Pay-In
and Normal Pay-In)
Market Trades (Settlements)
Early Pay-In
Normal Pay-In
Not Applicable
Not Applicable
CM-CM
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
- : Blank & Signed Delivery Instruction Slips should not be left with your DP/Broker : 15
For SBICAP Securities Limited Use Only
Mobile No :- ____________________________
Signature Verified By
Internal Ref. No.
16
Transaction Entered By
Instruction Slip for Delivery / Receipt
1.
SBICAP DP-ID and SEBI Registration No. : Our DP id and the SEBI registration No. will be preprinted before the booklet is issued to client.
2.
Delivery / Receipt: Tick on appropriate column
Delivery: When the Demat Account Holders request to DEBIT the shares from his/her account to
other Demat Account.
Receipt: When the Demat Account Holders approves to get CREDIT of shares to his/her account. If
"confirmation is not waived" in the Demat Account, the holder has to furnish DIS for receiving the
shares to his account. This option most commonly used by Institutional Clients.
3.
Date: Specify the date of submitting the DIS. This should be the same or earlier from the “Execution
Date”. Future date in this column will not be accepted.
4.
BO A/c No. and Name: Client Name and A/c No. will be pre-printed before the booklet is issued.
5.
ISIN: Specify the ISIN (International Securities Identification Number) of Security to be transferred.
Confirm this with transaction statement. Be careful in specifying the correct ISIN as various securities
issued by Issuer/Company have different ISINs.
6.
Security Name: Specify the name of the security to be transferred.
7.
Quantity (in Figures and Words): Specify the quantity in figures as well in words.
8.
Total Instructions used (in Words Only): Specify the total no. of ISINs to be delivered in words.
This is required to safeguard against unauthorized alteration. Strike out the unused space for ISINs.
9.
Cash Transfer : In case of transfers from BO/Client to BO/Client, NOT RELATED TO Stock
Exchange transactions, it is mandatory to specify if the consideration is money or otherwise. Amount
to be specified in case consideration is money and reason to be specified in case of consideration is
otherwise.
If the reason is selected as ‘Gift’ or ‘Transfer between Family members’: The relation with the person
receiving the stock should be specified in ‘explain’ column.
eg: Transferring to spouse, Transferring to mother etc.
If the reason is selected as ‘Others’, please specify the reason.
eg: Transferring into collateral account, Buyback offer etc.
10. CMID (Applicable for Early Pay-in and Normal Pay-in): Specify the CM ID (Clearing
Member ID) of the broker to whose pool account securities are to be transferred.
If CMID (Clearing Member ID) is specified then column 14 should be mandatorily filled.
Execution date in column 11 should be left blank, as it is not applicable in this case.
Instruction Slip for Delivery / Receipt
11.
Execution Date: Specify the date on which the securities are to be transferred. Submit the DIS
request well in advance to avoid failure in execution. If DIS is received for same day Execution of
after 4.00 pm on T+1 day, it will be executed/accepted at client’s risk on best effort basis. Execution
date should not be greater than 7 days from the current date. Execution date is not applicable for
Early Pay-in and Normal pay-in instructions.
12.
Account Transfer - Within CDSL (Transaction)
a.
BO-BO: When securities are being moved from one BO account to another BO account within
CDSL, the transaction is called off market transfer.
CDSL Counter Bo Id will always consist of 16 digit numeric value. First 8 digits will be DP id
which should be filled in ‘Counter DP ID’ column and following 8 digits will be Client ID and
should be filled in ‘Counter Client Id’ column.
Counter BO name should be mandatorily filled in ‘Counter BO/CM name’ column.
Sample:
b. BO-CM, CM-BO, CM-CM: When securities are delivered to clearing members CDSL account
directly for pay-in purpose.
Exchange name, Settlement/Market type, Settlement Number should be mandatorily filled in this
case.
CDSL Counter Bo Id will always consist of 16 digit numeric value. First 8 digits will be DP id which
should be filled in ‘Counter DP ID’ column and following digits will be Client ID which should be
filled in ‘Counter Client Id’ column.
CM name should be mandatorily filled in ‘Counter BO/CM name’ column.
Sample:
Instruction Slip for Delivery / Receipt
13. Account Transfer - Outside CDSL (Inter Depository) a.
BO-BO: When securities move from one BO account in CDSL to another BO account with the
other depository, the transaction is called inter depository transfer.
Counter DP ID and client Id columns should be filled in this case. NSDL Depository DP ID will be
always 8 digits alphanumeric value starting with ‘IN’ and Counter Client Id will be 8 digit numeric
value.
Counter BO name should be mandatorily filled in ‘Counter BO/CM name’ column
Sample:
b.
BO-CM, CM-BO, CM-CM: When securities are delivered to clearing member of another
depository directly for the purpose of pay-in, this option would be used. Exchange name,
Settlement/Market type, Settlement Number, Counter CMBP ID should be mandatorily filled in
this case.
If CMBP ID column is filled, there is no need to specify Counter Client ID.
Please note for BSE CMBP ID starts with ‘IN6’ and for NSE CMBP ID starts with ‘In5’.
Counter CM name should be mandatorily filled in ‘Counter BO/CM name’ column
Sample:
Instruction Slip for Delivery / Receipt
14. Market Trades (Settlements)a.
Early Pay-in: When securities are transferred to Brokers Early Pay in Pool account held with
clearing corporation, the transaction is called Early Pay - in instructions. Exchange Name,
Settlement/Market type, Settlement Number should be mandatorily filled.
16 Digit Early Payin Id should be filled in where first 8 digits will be filled in ‘Counter DP Id
‘column and next 8 digits should be filled in ‘Counter Client Id’ Column. CMID in column 10
should be mandatorily filled in this case.
Sample:
b.
Normal Pay-in: When On Market transfer instructions are given to transfer to the broker’s
Clearing member trading id code, the instructions are referred as is Normal Pay-in. Exchange
Name, Settlement/Market type, Settlement Number should be mandatorily filled. And CMID in
column 10 also be mandatorily filled in this case.
Sample:
15. Signature and Name of All Holders: The holders should sign in the order of their respective columns
specified in the DIS request form. The signature should match with our specimen signature records
as recorded in KYC. Please ensure to obtain authentication through signature from all accounts
holders on alterations if any on the form.
16. Client Phone No.: Please specify your current/immediate contact no.