Investor complaints processing must occur through a centralized electronic SCORES system, requiring online ATR submission and officer registration. SEBI mandates exclusive electronic processing of complaints through the centralized SCORES system, which provides a central complaints database, online routing to intermediaries, online upload of Action Taken Reports with supporting documents, and investor access to complaint status; physical ATRs for SCORES complaints will not be accepted or permit status updates. Intermediaries must register a Compliance Officer (name and email) to receive SCORES credentials and will receive daily alerts on pending complaints.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Investor complaints processing must occur through a centralized electronic SCORES system, requiring online ATR submission and officer registration.
SEBI mandates exclusive electronic processing of complaints through the centralized SCORES system, which provides a central complaints database, online routing to intermediaries, online upload of Action Taken Reports with supporting documents, and investor access to complaint status; physical ATRs for SCORES complaints will not be accepted or permit status updates. Intermediaries must register a Compliance Officer (name and email) to receive SCORES credentials and will receive daily alerts on pending complaints.
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