IEPF – Reposing Investors Trust by helping investors to claim back their securities


The Investor Education and Protection Fund (IEPF) is a statutory fund established by the Government of India under the Companies Act, 2013. Its primary purpose is to protect the interests of investors and promote investor education and awareness.

Here are some key features and functions of the Investor Education and Protection Fund (IEPF):

  1. Unclaimed Dividends and Shares: The IEPF primarily receives funds from unclaimed dividends and shares. When dividends declared by companies are not claimed by shareholders within a certain time frame, these unclaimed dividends are transferred to the IEPF. Similarly, when shares are unclaimed, they are also transferred to the fund.

  2. Utilization of Funds: The funds collected under IEPF are used for various investor protection and education activities. This includes conducting investor awareness programs, seminars, and workshops to educate investors about their rights and responsibilities.

  3. Refund to Investors: In certain cases, where eligible investors can claim their unclaimed dividends or shares, the IEPF facilitates the refund process to rightful investors.

  4. Reduction of Unclaimed Funds: The existence of IEPF encourages companies to make efforts to reduce unclaimed dividends and shares by proactively reaching out to shareholders and facilitating the payment of dividends and transfer of shares.

  5. Regulatory Authority: The Ministry of Corporate Affairs in India is responsible for overseeing the functioning of the IEPF and ensuring compliance with the Companies Act, 2013.

The Investor Education and Protection Fund plays a crucial role in safeguarding the interests of investors and raising awareness about financial matters. It ensures that unclaimed funds are not lost and can be eventually claimed by the rightful owners while promoting financial literacy among investors. The Investors can claim back their shares and securities lying with IEPF by filing Form IEPF-5.

What is IEPF-5?

IEPF-5 is a form which is to be filed whenever the shares, unclaimed dividend, matured deposits, matured debentures, etc. of any person has been transferred to the Investor Education and Protection Fund (IEPF) and the person want to claim the same as refund.

Who can File IEPF-5?

Any person, whose unclaimed or unpaid dividend, shares, matured deposits, matured debentures, etc. has been transferred by the company to IEPF may claim their refunds to the IEPF authority. For claiming such amount, claimant needs to file form IEPF-5 along with requisite documents.

How to file IEPF-5?

Here is a step-by-step guide on how to file IEPF-5 form on MCA:

  1. Visit the Ministry of Corporate Affairs website and log in to the V2 portal of MCA.
  2. Go to the MCA services tab and click on IEPF-5 Form under the Investor Services Tab.
  3. Now fill the required details and submit the form.
  4. After filling the form online by logging into the MCA portal, save it on your computer.
  5. Upload the form by going to the IEPF website and clicking on the ‘Upload eForms’ option under the ‘Forms’ tab.
  1. On successful uploading, an acknowledgement is generated having the Service Request Number (SRN).
  2. Take a printout of the filled Form IEPF-5 and the acknowledgement generated after uploading the form.
  3. Submit the required documents to the Nodal Officer (IEPF) of the company at its registered office in an envelope marked ‘Claim for a refund from IEPF Authority’.
  4. The concerned company will verify the form IEPF-5 and send its report to the IEPF.
  5. The IEPF Authority will examine the completeness of documents and credit transfers from the company into the IEPF Authority.
  6. The IEPF Authority will release the refund in favour of claimants’ Aadhaar linked bank account through electronic transfer.

Alternatively, you can also download Form 5 INV from here, fill it according to the instructions given in its instruction kit, and upload the filled form on the IEPF portal. After uploading Form 5 INV on the MCA21 portal, you are required to provide investor-wise details of unclaimed and unpaid amounts in an excel file.

Documents required to file IEPF-5: –

  • Copy of the duly filled form IEPF-5 and the acknowledgement generated after uploading e-Form IEPF -5 having the unique SRN.
  • Indemnity Bond (original) with claimant signature.
  • Advance stamped receipt (original) with revenue stamp and signature of claimant and witnesses.
  • Original matured debenture/deposit /share certificate (when securities are held in physical form) or copy of transaction statement (when securities are held in Demat form).
  • Self-attested copy of Aadhaar card.
  • Proof of entitlement. i.e., certificate of share, interest warrant application number, etc.
  • Cancelled cheque.
  • Copy of passport, Overseas Citizen of India (OCI) and Person Of Indian Origin (PIO) card, in case of foreigners and NRI.
Reach out to us for support. Article contributed by Saurav Kumar, Associate at Finex.


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