9911796707
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 ..... , Rights of Investors, various activities of RTAs with timelines, Dos and Don'ts for Investors and Grievance Redressal Mechanism. 2. In this regard, all the registered RTAs shall take necessary steps to bring the Investor Charter, as provided at 'Annexure - A' to the notice of existing and new shareholders by way of: a. disseminating the Investor Charter on their websites / through e-mail; b. displaying 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ime bound manner * To facilitate prompt service to investors by and through streamlining the process and harnessing technology * To facilitate easy approach, communication and interface with investors so as to resolve their queries / grievances Services provided by RTA to investors * Providing details of allotment and clarification on allotment. * Processing change in /up-dation of the KYC details of the investors for physical holdings like change of address/bank account details/ e-mail address/telephone/mobile/ nomination and PAN). * Processing and updating investor holding/title change requests viz name deletion, transmission, transposition, issue of duplicate shares, dematerialization and rematerialisation of securities. * P ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... the remittance request files to the bank / Company 15 B Grievance Redressal 1 Providing response to the inquiries of the investors and Redressal of Grievance 30 C Other Operational activities 1 Allotment of securities (IPO) 6 2 Intimation regarding distribution of corporate benefits (dividend, bonus, stock Split) * E-mail communication * Physical communication 15 30 Rights of investors * Receive all the benefits/ material information declared by the Company. * Actively participate in the AGM / EGM of the company & E-voting events so as to be a part of the decision making of the Company's business resolutions. * In case of any grievances, approach RTA, Depository, Company, Stock Exchange or SEBI for resolution withi ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... . 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 men ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... strar and Share Transfer Agents (RTAs) to be displayed on their websites- Format for disclosing data of complaints on their website: Data for the month ending SN Received from Carried forward from previous month Received during the month Total Pending# Resolved* Pending at the end of the month** Average Resolution time^ (in days) Pending for less than 3 months Pending for more than 3 months 1 2 3 4 5 6 7 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 resolut ..... X X X X Extracts X X X X X X X X Extracts X X X X
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