Personal Finance

A Brief Note on ASBA

Application Supported by Blocked Amount (ASBA) is an application process whereby you instruct your bank to block funds for subscribing to an initial public offering (IPO) issue.  

The amount in this case is temporarily blocked. It is debited only if you are allotted shares. These shares are transferred to your dematerialised (demat) account before listing. 

From January 1, 2016, onwards, the markets regulator the Securities and Exchange Board of India (SEBI) has made it mandatory to fill up an ASBA form.  

However, not all banks offer ASBA facility, only Self-Certified Syndicate Banks (SCSBs) recognised banks are authorised to do so. This application process is free of cost. 

Being a completely digital process, you are not required to submit any physical documentation. 

After taking into consideration the Average Quarterly Balance in the account, the blocked amount is determined. 

An investor has the option to apply through ASBA via offline or online modes. 

For offline IPO application, download the ASBA application form, which is available on the Bombay Stock Exchange (BSE) and National Stock Exchange (NSE) websites.

Fill in the details like the name of the applicant, permanent account number (PAN) details, demat account number, bid quantity, bid price, bank account number and Indian Financial System Code (IFSC code).

Submit the form to the SCSB branch and collect the acknowledgment receipt. The bank will upload the details of the application on the bidding platform.

It is also possible to apply in IPOs via online mode if the SCSBs are providing such facilities. An investor needs to log in to their net banking portal and click on the net-banking option. From the list of available options, click on IPO application. You will be redirected to the IPO online portal where you need to key in details such as name, PAN number, bid quantity, bid price, demat details and submit the application

It is also possible to apply for an IPO online through Unified Payments Interface (UPI). 

In fact, from 2019 onwards, retail investors are required to mandatorily bid for shares in an IPO through the UPI if they are applying for an IPO through registered brokers, depository participants and registered transfer agents.

For this, log in to the back-office application provided by the brokerage firm. Click on the option of applying for an IPO online. Select the ongoing IPO you wish to apply for. In the bid entry window, change the bid quantity and cut off price as per the preference. Check the total amount, enter the virtual payment address (VPA) or UPI ID and submit the application.

An investor will receive a notification on the UPI app for a pending mandate. Accept it and the IPO application is complete. A mail or an SMS will be sent to you mentioning the status of the application submitted.

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