Documents Required For Iepf Claim In 2026: Complete Checklist, Process & Expert Guide

By Author: Expertvuw Management
Total Articles: 16
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But it isn’t that bad as there isn’t anything complicated about IEPF claim filing documents until you know what they actually are and for what purpose they serve. All that information can be found right here as this article provides a detailed description of each document needed for your claim. In other words, it contains everything that you need to complete the IEPF claim filing process.

So, whether you are the original shareholder, a legal heir, an NRI, or even a missing share certificate owner — here is the best and last guide to documents required for IEPF claim filing in 2026.

Why Getting Your Documents Right Matters More Than Anything Else
Now, before we get started with this list, we need to be brutally honest here.

Countless investors have spent weeks collecting their documents, filling out the complicated Form IEPF-5, sending out hefty files to the nodal officer, and then just waiting endlessly — only to be denied because of errors in their IEPF claim documentation.

The IEPF Authority, as well as the company’s nodal officer, want one thing from you — consistent, identical ...
... documentation. From name, PAN card number, address, and bank details — everything must be identical. This is not to torture you with paperwork. This is for fraud prevention. The system must be sure that the millions of rupees of shares they have will go to the right person.

Part 1: Documents Every Claimant Must Submit
Regardless of whether you are the original shareholder, a legal heir, or an NRI — these documents form the foundation of every IEPF claim filing process.

1. Printed and Signed Copy of Form IEPF-5

Printout of the duly completed IEPF Form 5 accompanied by the signature of the applicant as well as the joint holder, if any, on all the pages is required.

It is submitted online on the MCA-21 website first, after which the document is printed and signed before mailing the physical copy to the nodal officer of the company or the RTA. Never mail the physical copy until the online submission is made, as the SRN received during the online submission should be mentioned here.

2. SRN Acknowledgement

An attested SRN acknowledgement should be presented, which needs to be signed by the claimant.

This will be evidence that you have filed online. The SRN is also used to track the whole application process. Make sure to write it down several times and keep it separate from other papers.

3. Indemnity Bond (Original)

This is one of the most important — and most commonly defective — documents in the entire IEPF claim filing process.

In the event of a refund of dividend amount of ₹10,000 or above and/or market value of shares, a non-judicial stamp paper of appropriate value as per the provisions of the Stamp Act for that particular state should be used. However, for claims up to ₹10,000, the indemnity bond can be prepared in plain paper.

The value of the stamp paper will vary depending on the state — ₹500 in Maharashtra, ₹100 in Delhi, and varying in other states. It has to be signed by the claimant along with two witnesses in full name, address, date and place of execution. The date and place of execution has to be the same as stated by the claimant as well as the witnesses.

This is one of the common reasons for the indemnity bond being rejected. Guessing is out of the question here.

4. Advance Stamped Receipt (Original)

The advance stamped receipt must bear a revenue stamp, be cross-signed by the claimant, and be self-attested along with signatures of the witnesses and dated.

The ₹1 revenue stamp must be physically crossed with your signature — not just affixed. This is a detail that catches many first-time claimants off guard.

5. Proof of Entitlement

Proof of entitlement needs to be provided.

It serves as proof that you have an entitlement for these particular shares. Proof of entitlement usually consists of your folio number, share number, and company name. You should always double-check this information with the company’s RTA before providing this because even a minor mistake in the number of shares may lead to rejection.

6. Original Share Certificate or Demat Transaction Statement

Original certificates of the shares and investments, if held in physical form, or a copy of a transaction statement if held in digital form as proof of ownership of investments must be submitted. In case original share certificates are lost, documents submitted to the RTA for the issue of duplicate shares need to be attached.

If your shares are in a demat account, a copy of the transaction statement showing the debit of shares from your demat account to the IEPF account is acceptable. If you have a physical certificate, submit the original.

7. Cancelled Cheque Leaf

An original cancelled cheque leaf must be submitted. In case the cheque leaf does not have the name, bank name, branch name, and IFSC code printed on it, a copy of the bank account statement or passbook duly attested by the bank must be submitted instead.

The name on the cancelled cheque must match your name on other documents exactly. This is where many claimants face rejection — a joint account cheque, a cheque from a different account, or a cheque with a name that varies even slightly from your share records.

8. Client Master List (CML)

The Client Master List is an official document issued by your Depository Participant that confirms your demat account details — DPID, Client ID, account holder name, and address. The Client Master List or Report of the claimant must be duly attested by all claimants.

Make sure your demat account is active before submitting this. Shares can only be credited to an active demat account. If your account is dormant, reactivate it before filing.

Part 2: KYC Documents — Indian Citizens vs NRIs
The KYC requirement differs based on your residency status. This is one area where the documents required for IEPF claim diverge significantly between Indian citizens and NRIs.

For Indian Citizens

For establishing the identity of the applicant, the duly certified copy of the PAN card and Aadhaar card is mandatory to submit.

It is necessary to link your Aadhaar card to your latest mobile number, as the OTP will be sent to this number during the IEPF claim filing process.

If you do not have your Aadhaar card with you — like the case with super senior citizens and some states’ residents — then you can submit some other proof of identity issued by the government along with the address of the claimant.

For NRIs (Non-Resident Indians)

In respect of NRI accounts, in order to establish the identity of the claimant, a self-attested copy of passport or self-attested copy of OIC card issued by Ministry of Home Affairs, accompanied by one of the documents held by the claimant is to be produced.

For NRO/NRE account holders, a self-attested copy of passport or OCI card or PIO card or driving licence is necessary.

For NRIs, the physical document submission within the mandatory 15-day window is particularly challenging. Coordinating courier services from abroad, getting documents apostilled or attested, and meeting the timeline all at once is where many NRI claims run into trouble. Our NRI Share Recovery team handles exactly these logistics — from document preparation to physical submission — so the window is never missed.

For Foreign Nationals

In case of foreigners, instead of Aadhaar card, a copy of passport or PIO card duly apostilled as per the Hague Convention must be submitted.

Part 3: Additional Documents for Legal Heirs
If the original shareholder has passed away and you are filing as a legal heir, the IEPF claim documentation requirements become significantly more involved. This is the most complex category — and the one where professional guidance adds the most value.

Death Certificate (Original)

The original death certificate of the shareholder is mandatory. This should be the certificate issued by the municipal authority or relevant government body — not a hospital-issued certificate.

Legal Heir Certificate or Succession Certificate

The company may require a copy of the death certificate, affidavit from legal heirs, indemnity bond, succession certificate or probate of will or letter of administration, etc. For shares with market value greater than ₹2 lakh, NOC from other legal heirs and a relinquishment deed in favour of the claimant may also be required.

Understanding which document you need in your specific situation is important:

Succession Certificate — Issued by a civil court, this is the most commonly required document for claiming financial assets. The application process involves filing a petition, a notice in a newspaper, and a waiting period for objections. For NRIs, foreign documents must be apostilled or attested by an Indian embassy.

Legal Heir Certificate — Issued by a tehsildar or revenue authority. It is faster to obtain but may not be accepted for high-value claims where a succession certificate from a civil court is required.

Probate of Will — If the deceased left a registered will, the executor named in the will must obtain a probate from a court to validate it. Where a will is provided, a legal heirship certificate issued by a competent authority, a no-objection certificate from all legal heirs in favour of the claimant, and an affidavit from witnesses about confirmation of the will may also be required.

Letter of Administration — Used when there is no will and a succession certificate alone is insufficient for the type of asset being claimed.

No-Objection Certificate (NOC) from Other Heirs

For claims above a certain threshold, a notarised indemnity bond and a no-objection certificate from other legal heirs, or a family settlement deed, will be required.

If multiple family members are entitled to the shares — siblings, for example — each one who is not filing the claim needs to provide a formal NOC confirming they are not contesting the claim and are in agreement with the claimant proceeding on behalf of all.

Relinquishment Deed

For higher-value holdings where multiple heirs exist, a relinquishment deed — a legal document by which other heirs formally give up their claim in favour of the filing claimant — may be required by the company before verification proceeds.

Affidavit of Indemnity

An affidavit by the legal heir confirming their entitlement and indemnifying the company and IEPF against any future claims from third parties. This must be on appropriate stamp paper and notarised.

Dealing with inherited shares? Legal heir cases are the most document-intensive in the IEPF claim filing process.

Our IEPF Claim Services team has handled hundreds of succession-related claims across India and abroad.

Contact Us today — +91 88829 91427 | +91 80768 85539 | info@expertvuw.in

Part 4: Additional Documents for Lost Share Certificates
If the physical share certificate has been either lost, stolen, or destroyed, then it cannot be ignored. The other documents need to be prepared before the process of making a claim can start.

Where there is any loss of the original certificates, the duplicate issuance process needs to be completed with the company, which includes preparation of FIR, newspaper advertisement in English and vernacular language, indemnity cum surety bond, and so on, as per SEBI guidelines. A copy of the process documents will be given by the company to the official IEPF Authority.

This means:

FIR or Police Complaint — A self-attested copy of the FIR or police complaint containing information of the shareholder, holding details, folio number, and distinctive numbers of the share certificate must be submitted.

Newspaper Advertisement — Advertisements must be published in both an English-language newspaper and a vernacular-language newspaper of wide circulation in the area where the company’s registered office is located and where the shareholder resides.

Indemnity cum Surety Bond — A separate, more detailed bond required specifically for lost certificate cases, executed on stamp paper as per state requirements.

Only after these steps are completed can you apply for a duplicate share certificate from the RTA — and only once that duplicate is issued can you proceed with the main IEPF claim filing.

Part 5: Documents for Joint Holders
If the shares were held jointly and one of the holders has passed away:

In case of death of any of the holders in joint holding of securities, the claimant is required to get the name of the deceased holder deleted from the register of members or other records of the company immediately after the death of the joint security holder — before filing the claim application. The claimant is also required to obtain an NOC from other holders of securities, if any, and submit the same along with the claim application.

For surviving joint holders where all holders are alive, the documents required for IEPF claim filing are the standard set — but all joint holders must sign the Form IEPF-5 printout, the indemnity bond, and all supporting documents. In case of joint holders or claimants, all documents must be signed by both claimants.

Part 6: Name Mismatch — What to Do
This deserves its own section because it is the single most common IEPF claim documentation problem.

In case of a minor difference in the name of the claimant on supporting documents, an affidavit on non-judicial stamp paper of value ₹100, duly executed by the claimant, is required to be submitted. In case of a major difference in name, a self-attested copy of a marriage certificate or government gazette is required to be submitted along with a self-attested copy of photo ID proof of the name registered in company records.

What counts as a minor difference versus a major one? Generally:

Minor — Missing middle name, initial vs full name, minor spelling variation (Sharma vs Sarma)

Major — Name change after marriage, court-ordered name change, completely different name across documents

In both cases, address the discrepancy with the correct supporting document before filing. Never hope the verifier will overlook it — they will not.

The Master Document Checklist Before You File

Use this checklist before submitting your documents required for IEPF claim. Tick every box before dispatching anything.

Universal documents (all claimants):

Printed and signed IEPF-5 form (with SRN on all pages)
Self-attested SRN acknowledgement
Original indemnity bond (correct stamp paper for your state, signed, witnessed, and dated)
Original advance stamped receipt (₹1 revenue stamp, cross-signed)
Proof of entitlement (folio number, share details confirmed with RTA)
Original share certificate (physical) or demat transaction statement
Original cancelled cheque (name printed, or passbook copy attested by bank)
Client Master List from your Depository Participant (attested)
Self-attested PAN card copy
Self-attested Aadhaar card copy (Indian citizens) or Passport/OCI (NRIs)
Additional for legal heirs:

Original death certificate
Legal heir/succession certificate or probate of will
NOC from other heirs (if applicable)
Relinquishment deed (if applicable, high-value holdings)
Affidavit of indemnity (notarised, on stamp paper)
Additional for lost certificates:

FIR/police complaint copy
Proof of newspaper advertisements (English and vernacular)
Indemnity cum surety bond for duplicate certificate
Duplicate share certificate (once issued by RTA)
Additional for name mismatches:

Affidavit on ₹100 stamp paper (minor difference)
Marriage certificate or government gazette (major difference/name change)
Not sure which documents apply to your case? Our Name Mismatch Correction Services team will assess your situation and give you a precise document list — no guesswork. Contact Us — +91 88829 91427 | +91 80768 85539 | info@expertvuw.in

The 15-Day Physical Submission Rule — Do Not Miss This
Documents Required for IEPF Claim
The completion of Form IEPF-5 in online mode is just a part of the entire IEPF claim filing process. Once the Form IEPF-5 has been filed in online mode, you need to submit your hard copies within 15 days.

Your window period begins right from the moment you complete your submission on the MCA website — not after you print out the document. You have to prepare the documents in tandem with the online submission — not after.

Your envelope needs to be marked properly as “Claim Submission under IEPF-5” and needs to be sent by Registered Post With Acknowledgement Due (RPAD). Remember to keep the track record of the same.

Frequently Asked Questions on IEPF Claim Documentation
What is the most important document in the IEPF claim filing process?
All the documents hold equal importance – the Indemnity Bond, the shares, and the KYC documents. However, it is the Indemnity Bond in which the maximum number of errors have been found.

Can I send photocopied documents instead of originals?
No, you will have to send original share certificates. Self-certified copies of KYC documents are acceptable. Indemnity bond and advance stamped receipt should always be sent in original.

What if my Aadhaar card is not linked to my present mobile number?Update your mobile number link to Aadhaar at an Aadhaar enrollment center before submitting. The online IEPF-5 form submission uses OTP-based verification, which requires a linked Aadhaar mobile number.

What documents do NRIs need that Indian citizens do not?
NRIs must submit a self-attested copy of their passport or Overseas Indian Card (OIC) issued by MHA along with any other available documents. For NRO/NRE accounts, OCI card, PIO card, or a driving licence is also acceptable.

Can I refile if my IEPF claim documentation was incomplete?
The IEPF Authority provides one chance to correct errors and resubmit the form — this is called resubmission. Only one resubmission is allowed, and a 15-day time period is given. After that, you must file afresh. This is why getting the documents required for IEPF claim right the first time is so important.

Are there any charges for filing documents for IEPF claims?
No charges will be incurred when filing Form IEPF-5 or submitting documents to the IEPF Authority. Charges will be limited to the cost of stamp paper, getting notarized, courier, and professional help if any.

In case there is a mismatch between the name on the share certificate and the PAN card, what should I do?
If the mismatch is small then only an affidavit on ₹100 stamp paper will be enough. If the mismatch is big like name change after marriage then a marriage certificate or notification in the government gazette is needed along with photo ID proof in the old name.

When to Seek Professional Help for IEPF Claim Documentation
However, for all your more complex requirements, the IEPF Claim Services we offer are perfectly suited — if you find yourself being:

A legal heir who is working through your first-ever succession documentation
A person whose share certificates have been misplaced, requiring you to get through the duplicate certificate process first
An NRI who finds it difficult to submit physically within the mandatory 15-day period — our NRI Share Recovery service has got you covered
Facing issues matching names in your documents and not knowing which document will sort this out
Someone whose last claim failed on grounds of IEPF claim documentation and you want an expert second opinion
Someone whose claim relates to more than one company or multiple folios
Our IEPF Claim Services cover the entire journey — document audit, preparation, coordination with the company’s RTA, physical submission, and status tracking — so nothing falls through the cracks.

Ready to get your documents in order and file your IEPF claim?

Let our experts guide you from checklist to credit.

Contact Us today — +91 88829 91427 | +91 80768 85539 | info@expertvuw.in

Final Word
The IEPF claim filing process needs accuracy — but not perfection. All the documents required for IEPF claim filing have their purpose. Once you know their purpose, it becomes easier to collect the required documents.

The golden rule is to always collect the documents, confirm if everything is matching in all documents, and then go ahead with the filings. Spending an extra couple of days in collecting all details will avoid months of going back and forth.

Whichever way you decide to handle your IEPF claim documentation — by yourself or with the help of our IEPF Claim Services and NRI Share Recovery — the most critical part is to begin.

Your shares are there waiting for you. Your dividends are there waiting for you too. The only things that come between them are the documents.

Get started on your IEPF claim right away.

Our experts are here to help throughout the entire process.

Contact Us — +91 88829 91427 | +91 80768 85539 | info@expertvuw.in

Documents Required for IEPF Claim