TMI BlogDisclosure of investor complaints and arbitration details on Stock Exchange websiteX X X X Extracts X X X X X X X X Extracts X X X X ..... e. The aforesaid disclosure shall also include details pertaining to arbitration and penal action against the trading members. 3. The format for the report for the aforesaid disclosure, prepared with inputs from the Stock Exchanges, is given as annexure to this circular (14 pages), consisting of the following reports: a. Report 1A Complaints received from clients against trading members during the current financial year. b. Report 1B Redressal of complaints lodged by clients against trading members during the previous financial year. c. Report 1C Redressal of complaints lodged by clients against trading members during the current financial year. d. Report 2A Complaints received from investors against listed companies during the current financial year. e. Report 2B Redressal of complaints lodged by investors against listed companies during the previous financial year. f. Report 2C Redressal of complaints lodged by investors against listed companies during the current financial year. g. Report 3A Disposal of arbitration proceedings (where client is a party) during the previous financial year. h. Report 3B Disposal of arbitration proceedings ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 2 3 4 5 6 7 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... N # including against its sub-brokers, authorized persons, employees, etc. ## Status date is the date of resolution/reference to arbitration/finding it non-actionable. If under process, it is the date of updation of this sheet. */** As per Table 1A Report 1B: Redressal of Complaints lodged by clients against Trading Members (TMs) during 2008-09: Updated on mm dd yyyy (to be updated every quarter) (In excel sheet) Sl. No. Name of the TM Defaulter ( ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 9 10 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e Exchange /IGRC Non actionable** Arbitration Advised Pending for redressal with Exchange No. of Arbitration filed by Clients Decided by the Arbitrators Decided by Arbitrators in favour of the clients Pending for Redressal with Arbitrators 1 2 3 4 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... N Total *including against its sub-brokers, authorized persons, employees, etc. **Non actionable means the complain ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 10 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 6 7 8 9 10 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 2 3 4 5 6 7 8 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... xcel sheet) Sl. No. Name of Arbitrator No. of Awards Passed No. of Awards in favor of Clients No. of Awards implemented No. of Awards appealed No. of cases pending for redressal at the end of period Filed by TM Filed by Clients Pending For more than 6 months For more than 3 months, but less than 6 months 1 2 3 4 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... would appear against every member of the panel) (Arrange the arbitrators in descending number of awards passed by them during the period) Report 4A: Penal Actions against Trading Members during 2008-09: Updated on mm dd yyyy (to be updated every quarter) (in excel sheet) Sl. No. Name of Trading Member Registration No. No. of Complaints received Action against TM, its sub-brokers / authorized person and employees together No. of Penal Orders issued Monetary Penalties levied (Rs. lakh) No. of Arbitration Awards issued against For complaints For others For complaints For others 1 2 3 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Report 4B: Penal Actions against Trading Members during 2009-10: Updated on mm dd yyyy (to be updated every quarter) (in excel sheet) Sl. No. Name of Trading Member Registration No. No. of Complaints received Action against TM, its sub-brokers / authorized person and employees together No. of Penal Orders issued Monetary Penalties levied (Rs. lakh) No. of Arbitration Awards issued against For complaints For others For complaints For others 1 2 3 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Table 1A For Report 1A *Type of Complaints Type Description I I a I b I c I d Non-receipt / delay in payment: Delay in payment Non-receipt of payment Delay in refund of margin payment Non settlement of accounts II II a II b II c II d Non-receipt / delay in securities: Delay in delivery Non-receipt of delivery Delay in refund of margin deposit Non settlement of accounts III III a III b III c III d Non-receipt of documents: Contract notes Bills Account statements Agreement copies IV IV a IV b Unauthorized trades / misappropriation: Unauthorized trades in client account mis-appropriation of client s funds / securities V V a V b V c V d V e V f ..... X X X X Extracts X X X X X X X X Extracts X X X X
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