Please find below the procedure for buying Shiprocket Limited at RookCapital.

1. You confirm booking of Shiprocket Limited Unlisted Shares with us at a trading price.

2. You provide your client master report (ask the broker if not available) along with PAN Card and Cancelled Cheque in case you are not transferring funds from the bank account as mentioned in the CMR Copy. These are KYC documents required as per SEBI regulations.

3. We Will Provide the Bank details. You need to transfer funds to that account.

4. Payment has to be done in RTGS/NEFT/IMPS CHEQUE TRANSFER. No CASH DEPOSIT.

5. Payment has to be done from the same account in which shares are to be credited.

We will transfer the shares in 24 hours if funds are credited before 2 pm. Important

Note: Please note that the lock-in period for selling Shiprocket Limited Unlisted Shares is 6 months after listing. Hence, you can’t sell Shiprocket Limited Unlisted Shares which you bought in Pre-IPO for 6 months after its listing. i.e., You can sell it only after 6 months calculated from the listing date. For any queries, please contact us at sales@rookcapital.in

Please find below the procedure for selling Shiprocket Limited at RookCapital.

1. We will confirm our buying price of Shiprocket Limited.

2. We will give you our client master report and you will transfer Shiprocket Limited to our demat account.

3. We will ask for your bank details once Shiprocket Limited are received in our demat account.

4. We will transfer the funds to your bank account within 24 hrs of receiving Shiprocket Limited.

5. Payment will be made in RTGS / NEFT / CHEQUE TRANSFER/IMPS. No CASH DEPOSIT.

6. Payment will be given in the same account which is linked to the demat account or you need to provide the cancelled cheque showing your name to verify. As per SEBI regulations, the transfer of funds to a third-party account is not legal and our policy refrains us from doing so.

Note: The price at which we are buying is fixed for 3 days. If you can't sell your stock within 3 days, then the price of that day will be applicable when we receive the shares in our demat.

Yes, buying and selling unlisted shares in India is indeed 100% legal. This activity is regulated and governed under the guidelines provided by the Securities and Exchange Board of India (SEBI). Investors and traders must adhere to these regulations and guidelines to ensure compliance with legal and financial standards. It's important for participants in the unlisted share market to be aware of and understand these regulations to engage in transactions legally and securely

In recent years, the unlisted share market has expanded significantly, leading to a reduction in the minimum investment amount. Previously, the typical investment ticket size ranged from 5-10 Lakhs, but in the current market scenario, it has decreased to between 35-50k. Therefore, through our RookCapital platform, if someone wishes to invest in Shiprocket Limited, the minimum investment required would now be in the range of 35-50k

When you purchase Shiprocket Limited through RookCapital, it's important to note that, as per SEBI regulations, these shares can only be transferred to a demat account.

There are two primary ways to check the credit of Shiprocket Limited in your account:

1. Using NSDL or CDSL Applications:

Download the NSDL or CDSL application from the Google Play Store.

To determine whether your stock broker is registered with NSDL or CDSL, you can examine the format of your Demat Account number. The Demat Account number consists of 16 characters, combining the DP ID and Client ID.

DP ID is the unique identification number of the Broker, assigned by CDSL or NSDL.

Client ID is the unique identification number of the Client, representing their portfolio.

In CDSL, the Demat Account number is entirely numeric (e.g., 12345678 for DP ID and 91234567 for Client ID).

In NSDL, the first two characters are alphabetic, representing the country (e.g., 'IN' for India), followed by a 6-digit unique number for the Broker (DP ID) and an 8-digit Client ID (e.g., IN123456 for DP ID and 78912345 for Client ID).

2. Checking in Broker's Application:

The credit of Shiprocket Limited can also be checked in your broker's application. However, it's important to note that it may take T+2 days for the shares to show up in the application after the transaction.

"The Securities and Exchange Board of India (SEBI) does have a regulatory influence on the unlisted market, though it's not as comprehensive as its oversight of the listed markets.

Key aspects of SEBI's involvement in the unlisted space include:

1. Applicable Rules and Regulations: Certain SEBI regulations are indeed applicable to transactions in the unlisted market. This includes the mandatory lock-in period of 6 months, the requirement to pay stamp duty, and depository participant (DP) charges for every transaction. These measures are in place to ensure a certain level of standardization and protection in the unlisted market, similar to those in the listed markets.

2. Lack of Specific Regulation for Unlisted Brokers: As of now, SEBI does not have specific regulations for becoming an unlisted broker. This means that while certain SEBI rules apply to transactions within the unlisted market, the process of becoming a broker in this space is not directly regulated by SEBI. This lack of direct regulation highlights the importance of due diligence by investors when engaging with brokers in the unlisted market.

3. Investor Protection and Transparency: The regulations that do apply, such as the lock-in period and transaction charges, are designed to protect investors and add a layer of transparency to these transactions. They aim to mitigate some of the risks inherent in trading unlisted securities, which typically don't have the same level of public scrutiny and regulatory oversight as listed securities. In summary, while SEBI's regulatory framework does extend to certain aspects of the unlisted market, it does not comprehensively regulate all aspects of it, particularly concerning the accreditation of unlisted brokers. This underscores the need for investors to exercise caution and conduct thorough research when participating in the unlisted market."

"For comprehensive and up-to-date news and information about Shiprocket Limited, we have several platforms to keep you informed. Our website is regularly updated with the latest insights and developments. For real-time updates and engaging discussions, you can join our Telegram channel. Additionally, follow us on Twitter for quick news bites and industry trends. And for more in-depth analysis and informative content, subscribe to our YouTube channel. These resources are designed to provide you with a well-rounded understanding of the unlisted market, ensuring you have access to all the information you need about Shiprocket Limited."

Investing in NSE Unlisted Shares involves risks like limited liquidity, regulatory changes, and the potential delay in share transfer due to the requirement of board approval. Investors should also consider the market conditions and the company's financial performance before investing.

You need to submit your Client Master List (CML) copy, PAN card, Aadhar card, and a cancelled cheque for KYC purposes.

There are no additional costs such as stamp papers, document preparation charges, or consultant fees.

Stamp Duty and DP charges are now included in the price of the shares, making the transaction completely transparent and all-inclusive.

Buying NSE Unlisted Shares — Current Process (After 23.03.2025) The process of buying NSE unlisted shares is now instant and hassle-free:

Provide Basic KYC Documents: You only need to submit the following for name approval and compliance:

Client Master List (CML) copy

PAN card

Cancelled cheque

Same-Day Credit of Shares: Once your KYC is verified and payment is completed, shares are credited to your Demat account on the same day.

No Share Purchase Agreement (SPA), annexures, broker verification letter, or DIS slips are required anymore.

The earlier process that took up to three months has been completely replaced by a single-day, seamless transfer system effective from 23 March 2025.