5paisa capital has submitted mandatory quarterly certificates under SEBI (Depositories and Participants) Regulations, 2018 for the quarter ended March 31, 2026. The submission, made on April 10, 2026, demonstrates the company's commitment to regulatory compliance and proper governance of share transfer processes.

Regulatory Compliance Framework

The certificates were submitted pursuant to Regulation 74(5) of the Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018. This regulation mandates companies to provide quarterly confirmations regarding the proper handling of dematerialisation processes and adherence to prescribed procedures.

Registrar and Transfer Agent Confirmation

MUFG Intime India Private Limited, formerly known as Link Intime India Private Limited, serving as the company's Registrar and Share Transfer Agent, issued a confirmation certificate dated April 1, 2026. The certificate confirms that:

• Securities received from depository participants for dematerialisation during Q4 FY26 were properly confirmed to the depositories
• All securities comprised in the certificates have been listed on stock exchanges where earlier issued securities are listed
• Security certificates received for dematerialisation were mutilated and cancelled after due verification
• Names of depositories were substituted in the register of members as registered owners within prescribed timelines

Secretarial Audit Certificates

Nilesh Shah & Associates, Practicing Company Secretaries and Secretarial Auditors of the company, issued separate certificates for both NSDL and CDSL depositories covering the period from January 1, 2026 to March 31, 2026. The certificates confirm compliance with SEBI guidelines for dematerialisation of shares.

Procedural Adherence

The secretarial audit certificates confirm that 5paisa Capital Limited has followed proper procedures for dematerialisation, including:

• Appropriate amendment of the register of members with shares transferred in favour of transferees
• Adequate verification procedures to ensure transferees and dematerialisation requesters are identical
• Proper defacement, mutilation and cancellation of physical share certificates
• Substitution of NSDL and CDSL names as registered owners in respective cases
• Maintenance of systems to protect investor corporate benefits during transfer processes

Corporate Governance Standards

The timely submission of these certificates reflects 5paisa Capital Limited's adherence to corporate governance standards and regulatory requirements. The comprehensive verification process conducted by both the RTA and secretarial auditors ensures transparency in share transfer operations and maintains investor confidence in the company's operational integrity.

5paisa capital Limited has received an Income Tax order involving a demand of ₹75.11 lakh, the company disclosed to stock exchanges on April 02, 2026. The order was passed by the Office of the Joint Commissioner of Income Tax (OSD), Central Circle – 4(4) on March 30, 2026, and received by the company on April 01, 2026.

Income Tax Order Details

The tax authority has issued an order under the applicable provisions of the Income Tax Act, 1961, regarding disallowance of certain expenses. The order confirms a demand in respect of certain areas, with the total amount involved being ₹75.11 lakh.

Company's Response and Next Steps

5paisa Capital stated it intends to file an appeal against the order within the prescribed statutory timelines. The company emphasized that it has maintained complete records and supporting documentation for all transactions and expressed confidence in substantiating its position before the authorities.

The company's key response points include:

• Filing an appeal within prescribed statutory timelines
• Maintaining complete records and supporting documentation
• Confidence in substantiating its position
• Submitting appropriate clarifications to authorities

Financial Impact Assessment

According to the company's disclosure, there is no material impact on the financial, operational or other activities of 5paisa Capital at this stage. The company is currently in the process of evaluating the order and determining the appropriate course of action.

Regulatory Compliance

The disclosure was made under Regulation 30 of the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015. The company informed both BSE Limited and The National Stock Exchange of India Limited about the development, maintaining its commitment to the highest standards of corporate governance and regulatory compliance.

The disclosure was signed by Charvi Panchmatia, Company Secretary & Compliance Officer, reaffirming the company's adherence to transparency requirements under SEBI regulations.