TaxTMI 
TaxTMI 
Disclosure of investor complaints and arbitration details on Stock Exchange website
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....r website. The aforesaid disclosure shall also include details pertaining to arbitration and penal action against the trading members. 3. The format for the report for the aforesaid disclosure, prepared with inputs from the Stock Exchanges, is given as annexure to this circular (14 pages), consisting of the following reports: a. Report 1A - Complaints received from clients against trading members during the current financial year. b. Report 1B - Redressal of complaints lodged by clients against trading members during the previous financial year. c. Report 1C - Redressal of complaints lodged by clients against trading members during the current financial year. d. Report 2A - Complaints received from investors against listed companies during the current financial year. e. Report 2B - Redressal of complaints lodged by investors against listed companies during the previous financial year. f. Report 2C - Redressal of complaints lodged by investors against listed companies during the current financial year. g. Report 3A - Disposal of arbitration proceedings (where client is a party) during the previous financial year. h. Report 3B - Disposal of arbitration proc....
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.... that are incomplete / outside the scope of stock exchange (Arrange the Trading members in descending number of complaints filed against them during the period) Report 1C: Report of Redressal of Complaints lodged by clients against Trading Members (TMs) during 2009-10: Updated on mm dd yyyy (to be updated every quarter) (In excel format) Sl. No. Name of the TM Member Defaulter (Yes/No) No. of UCCs at the beginning of the year No. of Complaints received against the TM * Of the Complaints received during 2009-10 No. of Complaints Resolved through the Exchange /IGRC Non actionable** Arbitration Advised Pending for redressal with Exchange No. of Arbitration filed by Clients Decided by the Arbitrators Decided by Arbitrators in favour of the clients Pending for Redressal with Arbitrators 1 2  ....
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.... N Total *including against its sub-brokers, authorized persons, employees, etc. ....
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....date of resolution/reference to arbitration/finding it non-actionable. If under process, it is the date of updation of this sheet. */** As per Table 2A Report 2B: Redressal of Complaints lodged by investors against Listed Companies during 2008 -09: Updated on mm dd yyyy (to be updated every quarter) (In excel format) Sl. No. Name of the Company If suspended, Date of Suspension No. of Folios of Shareholders No. of Complaints Received Redressed through Exchange Non- Actionable* Arbitration advised Pending for Redressal with Exchange 1 2 3 4 5 6 7 8 ....
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.... N Total (In case of panel of arbitrators, the cases / awards would appear against every member of the panel) (Arrange the arbitrators in descending number of awards passed by them during the period) Report 3B: Disposal of Arbitration Proceedings (where client is a party) during 2009-10: Updated on mm dd yyyy (to be updated every quarter) (In excel sheet) Sl. No. Name of Arbitrator No. of Awards Passed No. of Awards in favor of Clients No. of Awards implemented No. of Awards appealed No. of cases pending for redressal at the end of period Filed by TM Filed by Clients Pending For more than 6 months For more than 3 months, but less than 6 months 1 2 3 ....
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....Non settlement of accounts II II a II b II c II d Non-receipt / delay in securities: Delay in delivery Non-receipt of delivery Delay in refund of margin deposit Non settlement of accounts III III a III b III c III d Non-receipt of documents: Contract notes Bills Account statements Agreement copies IV IV a IV b Unauthorized trades / misappropriation: Unauthorized trades in client account mis-appropriation of client's funds / securities V V a V b V c V d V e V f Service related: Excess brokerage Non-execution of order Wrong execution of order Connectivity / system related problem Non-receipt of corporate benefits Other service defaults VI VI a VI b Closing out / squaring up: Closing off / squaring up position without consent Dispute in Auction value / close out value VII Non implementation of arbitration award VIII IPO related IX Others ** Status Type Description I I a I b Non actionable Complaint incomplete Outside the scope of stock exchange II Resolved III Under P....