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TMI BlogPublishing of Investor Charter and Disclosure of Complaints by Custodians and DDPs on their websitesX X X X Extracts X X X X X X X X Extracts X X X X ..... timelines and general guidance for Investors. 2. In this regard, all the registered Custodians and DDPs shall take necessary steps to bring the Investor Charter, as provided in "Annexure-A" to this circular, to the notice of their clients and ensure that the Investor Charter is prominently displayed on their respective website for ease of accessibility of investors. 3. Additionally, in order to bring about transparency in the Investor Grievance Redressal Mechanism, it has been decided that all Custodians and DDPs shall disclose on their respective websites, the monthly data on complaints received and redressal thereof, latest by 7th of succeeding month, as per the format provided in "Annexure- B" to this circular. 4. The provisions of t ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ting / Postal Ballot within Market timelines 6 Monthly Portfolio Report to client with list of Assets Within 7 working days 7 Client Queries Acknowledgment or Response within 48 hours 8 Grievance Redressal Acknowledgment within 48 hours and redress within 30 days * above timelines will apply to cases where documents/information is complete in all respects General Guidance for Investors: S.No. Guidance 1 Provide Complete, Accurate and Latest information for Account Opening. 2 Investors are solely responsible for any investment activity undertaken on the market. 3 Ensure all investments and investment related activities are in compliance with applicable rules and regulations 4 Investors have Right of Fair and Equitable T ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ree of Payment) transfers permitted as per SEBI Operational Guidelines for FPIs, DDPs and EFIs Within 15 days 4 KYC Review / Update Jurisdiction FPI Category - I FPI Category - II High Risk Registered under Reg. 5(a)(i) - During continuance of registration i.e. every 3 years. Others - Annually Annually Non-High Risk During continuance of registration i.e. every 3 years. Regulated entities during continuance of registration i.e. every 3 years.Others-Annually. * above timelines will apply to cases where application is complete in all respects General Guidance for Investors: S.No. Guidance 1 Provide Complete, Accurate and Latest information for FPI registration. 2 Adhere to all the rules, regulations, investment ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ) 4 Other Sources (if any) 5 Grand Total B. Trend of Monthly disposal of complaints for the Financial Year- SN Month Carried forward from previous month Received during the month Resolved during the month * Pending at the end of the month ** 1 April 2021 2 May 2021 …. 12 March 2022 Grand Total * Inclusive of complaints of previous months resolved in the current month. ** Inclusive of complaints pending as on the last day of the month. ^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month. C. Trend of Annual (FY) disposal of complaints (For 3 years on rolling basis)- S.No ..... X X X X Extracts X X X X X X X X Extracts X X X X
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