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TMI BlogPublishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their WebsitesX X X X Extracts X X X X X X X X Extracts X X X X ..... g the Investor charter at prominent places in offices etc. 3. The Registrar Association of India (RAIN) shall also disseminate the Investor Charter on its website. 4. Additionally, in order to bring about transparency in the Investor Grievance Redressal Mechanism, it has been decided that all the registered RTAs shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by 7th of succeeding month, as per the format enclosed at Annexure - B to this circular 5. These disclosure requirements are in addition to those already mandated by SEBI. 6. The provisions of this circular shall come into effect from January 01, 2022 . 7. This circular is issued in exercise of powers conferred by Section 11(1) of the Securities and Exchange Board of India Act, 1992 to protect the interests of investors in securities and to promote the development of, and to regulate the securities market. 8. A copy of this circular is available on SEBI website at www.sebi.gov.in under the categories Legal Framework Circulars . Yours faithfully, Aradhana Verma Deputy General Manage ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... A Investor Service Request : 1 Processing of transmission request 21 2 Processing of issue of duplicate security certificate request 30 3 Processing of dematerialization request 15 4 Processing of remat request 30 5 Processing of Transposition request 15 6 Processing of request for change in / up-dation of a. Name 30 b. Signature 30 c. Nomination 30 d. Contact details (Address, E-mail address and Mobile number) 15 e. Bank account details 15 II. Processing of request for Up-dation of PAN 15 7 Processing of Re-validation of dividend / interest / redemption instruments and send ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ining to investments made. Do not keep your folios without PAN. Do not keep your folios without nomination Do not deal with unauthorized persons for any investor service requests such as change in / up- dation of address, e-mail address, mobile number and bank details. Do not share security details, viz. folio number, certificate number, distinctive number(s), bank details, specimen signature, KYC documents, etc. with unknown person(s). Grievance Redressal Modes and Escalation Mechanism To Listed company / RTA a) Investor shall check the website of listed company / RTA for the dedicated grievance e-mail ID and other relevant details of the grievance redressal division / compliance officer for the purpose of registering grievances / complaints. b) Investor can dial on help numbers or point of service of RTA for any query or concern. c) For lodging the grievance, the investor can write to listed entity / RTA s dedicated e-mail address or through physical letter. d) While lodging a complaint it is necessary for investor to mention the following: Na ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 8 1 Directly from Investors 2 SEBI (SCORES) 3 Stock Exchanges (if relevant) 4 Other Sources (if any) 5 Grand Total *Should include complaints of previous months resolved in the current month, if any. **Should include total complaints pending as on the last day of the month, if any. ^Average resolution time is the sum total of time taken to resolve each complaint in the ..... X X X X Extracts X X X X X X X X Extracts X X X X
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