TaxTMI 
TaxTMI 
Investor Charter for Registrars to an Issue and Share Transfer Agents (RTAs)
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....nnexure A. 4. In this regard, all the registered RTAs shall take necessary steps to bring the Investor Charter 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. 5. The Registrar Association of India (RAIN) shall also disseminate the Investor Charter on its website. 6. Additionally, in order to ensure transparency in the Investor Grievance Redressal Mechanism, all the registered RTAs shall continue to disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by 7th of succeeding month, as per the format enclosed at Annexure 'B' to this circular. 7. These disclosure requirements are in addition to those already mandated by SEBI. 8. The provisions of this circular shall come into force with immediate effect. 9. With the issuance of this circular, SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/670 dated November 26, 2021 stands rescinded and Clause 29 of Master Circular for RTAs dated May 07, 2024 stands amen....
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....requests, viz., recording of declaration with regard to exemption / lower tax rates for TDS on dividend/interest, revalidation and reissue of dividend and interest instruments. • Processing investor service requests in a timely manner and providing details of discrepancies observed in the documents to the investors in one go. • Execution and intimation of other corporate actions viz., ESOPs, Dividend payment, Stock split, Bonus issue and Merger/Demerger activities. • Communication of Rights issue entitlements. • Communication of Buyback, exit offer, takeover made by the company/ acquirer, and the procedure to be followed by investor in respect of these issues • Mandatory execution of transfer of shares and dividends to IEPF and transfer of undelivered share certificates to Suspense account. • Process grievance received through e-mails, Letters and SCORES. Timelines pertaining to various services provided by RTA Sr No Nature of Service Expected Timelines (number of days) A Investor Service Request:&....
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.... to get customised services as per requirement at fair price. • Right to have access to the escalation matrix for communication with the RTA. • Right to not be bound by any clause prescribed by the Issuer Company/RTA which are contravening to the Regulatory provisions. • Right to get updates with respect to various service requests filed with the RTA. DOs and DON'Ts for Investor Dos Don'ts 1. Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF. 2. Follow up diligently and promptly if you have not received allotment intimation/ certificate / dividend / interest etc. 3. Ensure that your PAN is registered with the RTA for all your folios. 4. Ensure nomination is registered for all your securities to smoothen the transmission. 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....
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....ollowing 2 options: i. May escalate the complaint on SEBI SCORES portal. ii. May file a complaint on SMARTODR portal for its resolution through online conciliation and arbitration. 3. Upon receipt of complaint on SMARTODR portal, the relevant MII will review the matter and endeavor to resolve the matter between the Market Participant and investor within 21 days. 4. If the matter could not be amicably resolved, then the matter shall be referred for conciliation. 5. During the conciliation process, the conciliator will endeavor for amicable settlement of the dispute within 21 days, which may be extended with 10 days by the conciliator with consent of the parties to dispute. 6. If the conciliation is unsuccessful, the investor may request to refer the matter for arbitration. 7. The arbitration process to be concluded by arbitrator(s) within 30 days, which is extendable by 30 days with consent of the parties to dispute. Annexure - B Data of complaints against Registrars to an Issue and Share Transfer Agents (RTAs) to be displayed on their websites- Format for disclosing data of complaints on their website: ....