Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book

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Jul 14, 2004 |

Circulars

DEPUTY GENERAL MANAGER MARKET REGULATION DEPARTMENT

E-mail:

sundaresanvs@sebi.gov.in SEBI/MRD/DOP/Cir-22/2004 July 14, 2004

The Managing Director,

National Securities Depository Ltd.,

Trade World, 4 th Floor,

Kamala Mills Compound,

Senapati Bapat Marg, Lower Parel,

Mumbai – 400013

The Executive Director,

Central Depository Services(India) Ltd.,

Phiroze Jeejeebhoy Towers,

27-28 th Floor, Dalal Street,

Mumbai – 400 023

Dear Sir,

Sub: Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book

Yours faithfully,

V S SUNDARESAN

Annexure A

There will be occasions when you have grievances against a listed company/ intermediary registered with SEBI. In the event of such grievance y ou should first approach the concerned company/ intermediary against whom you have a grievance.

However, you may not be satisfied with their response.

Therefore you should know whom you should turn to get your grievance redressed. SEBI takes up grievances related to issue and transfer of securities and non-payment of dividend with listed Companies. In addition, SEBI also takes up grievances against the various intermediaries registered with it and related issues. Given below are types of grievances for which you could approach SEBI.

Nature of grievance - Regarding

Type-I: Refund order/ Allotment Advice

Type-II: Non-receipt of dividend.

Type-III: Non-receipt of share certificates after transfer

Type-IV: Debentures

Type-V: Non-receipt of letter of offer for rights

Type VI: Collective Investment Schemes

Type VII: Mutual Funds/ Venture Capital Funds/ Foreign Venture Capital Investors/ Foreign Institutional Investors/ Portfolio Managers, Custodians

Type VIII: Brokers/Debenture Trustees /Depository Participants/ Merchant Bankers /Registrars and Transfer Agents / Bankers to Issue/ Underwriters/ Credit Rating Agencies/ Securities lending Intermediaries

Type IX: Exchanges/ Clearing and Settlement Organizations/ Depositories

Type X: Derivative Trading

Type XI: Buyback /Delisting /Substantial Acquisition /Takeovers /Corporate Governance /Corporate Restructuring /Compliance with Listing Conditions

For faster action send Type I to Type XI complaints, to the OIAE Division of SEBI at Mumbai or Regional Offices at the following addresses:

Address of SEBI Offices

SEBI, Head Office, Mittal Court, A Wing, I st Floor 224 Nariman Point, Mumbai – 400 021. ' 022-22880962-70, 22850451-56 ( iggc@sebi.gov.in )

SEBI, OIAE, 4th floor, Exchange Plaza, "G" Block, Bandra Kurla Complex, Bandra (E), Mumbai - 400 051 ' 022-26598510-13, 26598509 ( iggc@sebi.gov.in )

SEBI, Northern Regional Office, Block No. 1, Rajendra Bhawan, Rajendra Place Dist. Centre, New Delhi- 110 008 ' 011-25788658/7538, 25768991 ( sebinro@sebi.gov.in )

SEBI, Eastern Regional Office, L&T Chambers, 3rd Floor , 16, Camac Street, Kolkata - 700 016 ' 033- 22801219/1220/1614, 22402435/ 22816768 ( sebiero@sebi.gov.in )

SEBI, Southern Regional Office, 3 rd Floor, D Monte Bldg, No. 32, D' Monte Colony, TTK Road, Alwarpet, Chennai 600 018 ' 044-24995676/5525/7385/7480 ( sebisro@sebi.gov.in )

The following types of grievances should be taken up with:

With the Stock Exchange: At the Investor Information Centre of all the recognised Stock Exchanges

Related to securities traded/listed with the exchanges

Trades effected on the exchange w.r.t the companies listed on it or by the members of exchange

With the Department Of Company Affairs (DCA/ concerned Registrar of Companies (ROC)

Against unlisted companies

For non-receipt of annual report, AGM Notice

Fixed deposit in manufacturing companies

Forfeiture of shares

With the Reserve Bank of India

Fixed deposits in Banks

Fixed deposits in Non Banking Finance Companies

For more information visit our website - http\:investor.sebi.gov.in