Regulation 13 - GROUNDS OF COMPLAINT - Securities and Exchange Board of India (Ombudsman) Regulations, 2003

CHAPTER IV PROCEDURE FOR REDRESSAL OF GRIEVANCE GROUNDS OF COMPLAINT 13. A person may lodge a complaint on any one or more of the following grounds either to the Board or to the Ombudsman concerned :- i. Non-receipt of refund orders, allotment letters in respect of a public issue of securities of companies or units of mutual funds or collective investments schemes; ii. Non-receipt of share certificates, unit certificates, debenture certificates, bonus shares; iii. Non-receipt of dividend by shareholders or unit-holders; iv. Non-receipt of interest on debentures, redemption amount of debentures or interest on delayed payment of interest on debentures ; v. Non-receipt of interest on delayed refund of application monies; vi. Non-receipt of annual reports or statements pertaining to the portfolios; vii. Non-receipt of redemption amount from a mutual fund or returns from collective investment scheme; viii. Non-transfer of securities by an issuer company, mutual fund, Collective Investment Management Company or depository within the stipulated time; ix. Non-receipt of letter of offer or consideration in takeover or buy-back offer or delisting; x. Non-receipt of statement of holding corporate benefits or any grievances in respect of corporate benefits, etc; xi. Any grievance in respect of public, rights or bonus issue of a listed company ; xii. Any of the matters covered under section 55A of the Companies Act, 1956; xiii. Any grievance in respect of issue or dealing in securities against an intermediary or a listed company.