- Refund order/Allotment Advice
- Non Receipt of dividend
- Non- Receipt of Share Certificates after transfer
- Debentures related issues
- Non- Receipt of letter of offer for Rights
- Collective Investment Schemes.
- Mutual Fund Portfolio Managers, Custodians
- Brokers, DP’S Merchant Bankers, Registrars and Transfer Agents and other intermediaries
All the complaints are mandatory to be properly typed preferably on the format given by SEBI, which is annexed as an Annexure to the OIAE Division of SEBI at Mumbai or Regional Offices
Addresses Of SEBI Offices
SEBI Head Office: Mittal Court, ‘A’ Wing 1 st Floor 224, Nariman Point, Mumbai-400 021.Tel Nos: 022-22880962-70, 22850451-56 Email: iggc@sebi.gov.in
SEBI OIAE : 4 th Floor, Exchange Plaza, ‘G’ Block, Bandra Kurla Complex, Bandra (E) Mumbai-400 051. Tel Nos: 022-26598510-13, Email: iggc@sebi.gov.in
SEBI North Regional Office: Block No 1 Rajendra Bhawan,
SEBI Eastern Regional Office: L&T Chambers, 3 rd Floor 16,
SEBI Southern Regional Office: 3 rd Floor, D’ Monte Bldg,No 32, D’Monte Colony,TTK Road Alwarpet,Chennai-600 018 Tel: 044-24995676/5525/7385 Email: sebisro@sebi.gov.in
These are some of concerned regulatory authorities to be addressed
THE STOCK EXCHANGE: At the investor Information Centre of all the recognized stock exchanges
- Related to securities traded/listed with the exchange
- Trades affected on the exchange w.r.t. the companies listed on it or by the members of the stock exchange.
DEPARTMENT OF COMPANY AFFAIRS/REGISTRAR OF COMPANIES (ROC)
- Against unlisted companies
- For non-receipt of annual report,AGM notice
- Fixed deposit in manufacturing companies
- Forfeiture of shares
RESERVE BANK OF
- Fixed Deposits in Bank
- Fixed Deposits in Non Banking Finance Companies
The nature of complaints received by the Exchange can be broadly classified into the following categories:
- Non-receipt of delivery of shares/ Non removal of objection/Non-receipt of sale proceeds of shares/ Non-receipt of dividend/ Non-receipt of Rights, Bonus shares
- Disputes regarding Rate Difference
- Disputes relating to non-settlement of Accounts
- Miscellaneous Items
The complaints are forwarded to the concerned members to reply /settle the complaints within 7days from the receipt of the letter. If no reply is received or reply received is not satisfactory, the matter is placed before the IGRC (Investor’s Grievance Redressal Committee) headed by Retd. High court Judge. IGRC is constituted by the Governing Board to resolve the Complaints of non-members against Members through the process of reconciliation. The parties are heard and the matter is tried to be solved amicably or it is referred for Arbitration under the Rules, Bye-laws & Regulations of the Exchange.