To be a trusted, transparent and prompt service provider to the investors, conforming to the highest standards of compliance, confidentiality and professionalism in conduct,to meet the obligation towards investors in Indian capital markets.
S. No. | Activities | Expected Timelines (number of days) |
---|---|---|
A | Investor Service Request: | |
1 | Processing of transmission request | 21 |
2 | Processing of issue of duplicate security certificate request | 30 |
3 | Processing of dematerialization request | 15 |
4 | Processing of remat request | 30 |
5 | Processing of Transposition request | 15 |
6 | I. Processing of request for change in / updation of
|
30 |
|
30 | |
|
30 | |
|
15 | |
|
15 | |
II. Processing of request for Updation of PAN | 15 | |
7 | Processing of Re-validation of dividend / interest / redemption instruments and sending the remittance request files to the bank / Company | 15 |
B | Grievance Redressal | |
1 | Providing response to the inquiries of the investors and Redressal of Grievance | 21 |
C | Other Operational activities | |
1 | Allotment of securities (IPO) | 6 |
2 | Intimation regarding distribution of corporate benefits (dividend, bonus, stock Split)
|
15 |
|
30 |
DOs | DON’Ts |
---|---|
1. Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF. | 1. Do not keep your folios without PAN. |
2. Follow up diligently and promptly if you have not received allotment intimation/ certificate / dividend / interest etc. | 2. Do not keep your folios without nomination . |
3. Ensure that your PAN is registered with the RTA for all your folios. | 3. Do not deal with unauthorized persons for any investor service requests such as change in / updation of address, e-mail address, mobile number and bank details. |
4. Ensure nomination is registered for all your securities to smoothen the transmission. | 4. Do not share security details, viz.,folio number, certificate number, distinctive number(s), bank details, specimen signature, KYC documents, etc. with unknown person(s). |
5. Ensure that all KYC details viz., full postal address with PIN, mobile number, e-mail address etc. are updated to facilitate the RTA for sending communication. | |
6. Ensure that correct and complete Bank details are recorded with RTA to facilitate prompt electronic credit of dividend / interest / redemption amounts and eliminate possibility of unclaimed amounts / underlying securities being transferred to IEPF. | |
7. Promptly inform the RTA in writing and complete required formalities in case of loss of securities. | |
8. . Ensure that the documents provided for availing any investor service request are complete in all respects and keep copies of documents sent to the RTA. | |
9. Monitor all corporate announcements pertaining to investments made. |
The Process of investor grievance redressal is as follows:
1 | Investor Complaint/ Grievances |
Investor can lodge complaint/grievance against RTA in the following ways:
Mode of filing the complaint with Listed Company/RTA: Investor can approach the Listed Company/RTA at the designated Investor Grievance e-mail ID of the Listed Company/RTA. The Listed Company/RTA will strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance Mode of filing the complaint with stock exchanges
Two level review for complaint/grievance against RTA: |
2 | Online Dispute Resolution (ODR) platform for online Conciliation and Arbitration | If the Investor is not satisfied with the resolution provided by the Market Participants, the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration. |
3 | Steps to be followed in ODR for Review, Conciliation and Arbitration |
|
(1) SN |
(2) Received from |
(3) Carried forward from previous month |
(4) Received during the month |
(5) Total Pending |
(6) Resolved |
(7) Pending at the end of the month |
(8) Average Resolution time (in days) |
|
---|---|---|---|---|---|---|---|---|
Pending for less than 3 months | Pending for more than 3 months | |||||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | |
1 | Directly from Investors | 0 | 0 | 0 | 0 | 0 | 0 | |
2 | SEBI (SCORES) | NA | NA | NA | NA | NA | NA | |
3 | Stock Exchanges | 0 | 0 | 0 | 0 | 0 | 0 | |
4 | Other Sources (if any) | 0 | 0 | 0 | 0 | 0 | 0 | |
5 | Grand Total | 0 | 0 | 0 | 0 | 0 |
(1) SN |
(2) Month |
(3) Carried forward from previous month |
(4) Received |
(5) Resolved |
(6) Pending |
---|---|---|---|---|---|
1 | 2 | 3 | 4 | 5 | 6 |
1 | April - 2025 | 0 | 0 | 0 | 0 |
2 | May - 2025 | 0 | 0 | 0 | 0 |
3 | June - 2025 | 0 | 0 | 0 | 0 |
4 | July - 2025 | 0 | 0 | 0 | 0 |
5 | August - 2025 | 0 | 0 | 0 | 0 |
6 | September - 2025 | 0 | 0 | 0 | 0 |
7 | October - 2025 | 0 | 0 | 0 | 0 |
8 | November - 2025 | 0 | 0 | 0 | 0 |
9 | December - 2026 | 0 | 0 | 0 | 0 |
10 | January - 2026 | 0 | 0 | 0 | 0 |
11 | February - 2026 | 0 | 0 | 0 | 0 |
12 | March - 2026 | 0 | 0 | 0 | 0 |
Grand Total | 0 | 0 | 0 | 0 |
* 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 time taken to resolve each complaint in the current month divided by the total number of complaints resolved in the current month.
SN | Year | Carried forward from previous year | Received during the year | Resolved during the year | Pending at the end of the year |
---|---|---|---|---|---|
1 | 2021-22 | 0 | 0 | 0 | 0 |
2 | 2022-23 | 0 | 0 | 0 | 0 |
3 | 2023-24 | 0 | 0 | 0 | 0 |
4 | 2024-25 | 0 | 0 | 0 | 0 |
Grand Total | 0 | 0 | 0 | 0 |
#The data shall be emailed to rta@sebi.gov.in