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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI - SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/670

Extract

..... g 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 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 .....

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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI

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..... s 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. Processing of other requests, viz., recording of declaration w.r.t. exemption / lower tax rates for TDS on dividend/interest, revalidation and reissue of dividend and interest instruments. Execution and intimation of other corp .....

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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI

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..... vidend, 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 within prescribed timelines. DOs and DON’Ts for Investor Dos Don’ts Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF. Follow up diligently and promptly if you have not receive allotment intimation/ certificate / dividend / interest etc. Ensure that you .....

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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI

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..... 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: Nature of Complaint Name of Issuer Company Folio number Full Name of shareholder E-mail address and mobile number Reference to any previous correspondence made in this regard Provide the relevant documents and also update KYC and details, if there are any changes e) Upon receipt of the complaint, RTA after due verification shall send intimat .....

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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI

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..... y 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 current month divided by total number of complaints resolved in the current month Month - wise data for the current financial year* SN Month Carried forward From previous month Received Resolved Pending 1 2 3 4 5 6 1 July, 2021 2 August, 2021 3 September, 2021 4 October, 2021 5 November, 2021 6 December, 2021 Grand Total Trend of annual (Calendar Year) disposal of complaints (for 5 year .....

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Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites - SEBI

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