Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites

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....r-alia, detailing the services provided to Investors, Rights of Investors, various activities of RTAs with timelines, Dos and Don'ts for Investors and Grievance Redressal Mechanism. 2. In this regard, all the registered RTAs shall take necessary steps to bring the Investor Charter, as provided at 'Annexure - A' to the notice of existing and new shareholders by way of: a. disseminating the Investor Charter on their websites / through e-mail; b. displaying the Investor charter at prominent places in offices etc. 3. The Registrar Association of India (RAIN) shall also disseminate the Investor Charter on its website. 4. Additionally, in order to bring about transparency in the Investor Grievance Redressal Mechanism, i....

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.... fulfilling obligations in a prompt, ethical and professional manner. • To comply with all regulatory requirements in a time bound manner • To facilitate prompt service to investors by and through streamlining the process and harnessing technology • To facilitate easy approach, communication and interface with investors so as to resolve their queries / grievances Services provided by RTA to investors • Providing details of allotment and clarification on allotment. • Processing change in /up-dation of the KYC details of the investors for physical holdings like change of address/bank account details/ e-mail address/telephone/mobile/ nomination and PAN). • Process....

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....t for change in / up-dation of a. Name   30 b. Signature 30 c. Nomination 30 d. Contact details (Address, E-mail address and Mobile number) 15 e. Bank account details 15 II.      Processing of request for Up-dation 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 30 C Other Operational activities 1 Allotment of securities (IPO) 6 2 Intimation regarding distribution of corporate benefi....

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....form the RTA in writing and complete required formalities in case of loss of securities. • 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. • Monitor all corporate announcements pertaining to investments made. • Do not keep your folios without PAN. • Do not keep your folios without nomination • Do not deal with unauthorized persons for any investor service requests such as change in / up- dation of address, e-mail address, mobile number and bank details. • Do not share security details, viz. folio number, certificate number, distinctive number(s), bank details, s....

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....exchanges: a)  The nature of the complaint that can be lodged against listed company has been given on the websites of the Stock Exchange. Upon receipt of complaint, the stock exchange shall forward the same to the concerned company with a copy to the complainant. b)  If the company fails to redress the complaint within 30 days, the exchange sends a reminder to the company and follows up with the company and its respective RTA. c)  If the investor is not satisfied with the redressal / resolution of the complaint by the listed company / RTA, investor can lodge the complaint on the SEBI SCORES. o   Grievance Redressal Mechanism at SEBI • • Complain....