Who to app oa h a d

Ho to lodge a i esto o plai t?

Mo e ote people get o fused as ho to app oa h a d ho to ap-

p oa h i ase of a g ie a e hile deali g i a i a ial p odu t. This pu -
li aio is a efo t to ake the i esto s u de sta d ho to get thei o -
plai ts esol ed, ho to app oa h, p o edu es i ol ed, hat a e the li i-
taio s et .
Co te ts
 Steps i g ie a e e ha is
 T pes of o plai ts ha dled SEBI
 Mate s ot o side ed as o plai ts
 Ho to lodge a o plai t i SCORES?
 Li itaio s hile deali g ith the o plai ts
 G ie a e ed essal e ha is at sto k e ha ges
 A it aio
 I po ta t poi ts to e e e i a it aio
 Who to app oa h fo othe o plai ts?
Steps i g ie a e ed ess e ha is
_ _ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ __ _ __ __ _ __ _ __ _ __ _ _ Poi ts to Re e e
1 Co ta t the i te edia / o pa ith
. Do u e taio : Keep
Ha e la it as to hat e t o g a d opies of ag ee e ts, appli a-
he . Al a s keep a ile o do u e t io fo s, a ou t state e ts,
o t a t otes et . alo g ith all
ho ou spoke to, hi h date, his e-
lete s, e ails, fa es et .
spo se et .
2
. A t Qui kl : It is i po ta t
If ou o plai t has ot ee e- that ou app oa h the o -
d essed / add essed, lodge ou o plai t e ed autho it fo ou g ie -
o SCORES SEBI Co plai t Red ess S s- a e ed essal ui kl .
te - htp://s o es.go .i
. Seek assista e he i
SCO‘ES is a e ased e t alised g ie - dou t o do ot u de sta d
ho to app oa h
a e ed ess s ste of SEBI. A i esto ho
is ot fa ilia ith o does ot ha e a ess to
SCO‘ES a lodge o plai ts i ph si al fo isii g o se di g the o plai t
to a of the oi es of SEBI. Su h o plai ts ould e s a ed a d uploaded i
SCO‘ES fo p o essi g. The salie t featu es of SCO‘ES a e:

O li e a ess
 A e ail a d SMS is ge e ated i sta ta eousl a k o ledgi g the e eipt of
o plai t a d alloi g a u i ue o plai t egist aio u e to the o plai -
a t fo futu e efe e e a d t a ki g
 I esto s a ie the status o li e loggi g i the u i ue o plai t egis-
t aio u e a d p o ides fo se di g e i de s
 Audit t ail of ea h o plai t
 All the o plai ts a e sa ed i a e t al data ase hi h ge e ates ele a t
MIS epo ts e a li g SEBI to take app op iate poli de isio s a d o e edial
a io s, if a .
O
You a also lodge ou o plai t at I esto Se i es Cell of sto k e ha ges
SE if the o plai t is agai st a sto k oke / autho ised pe so s/ listed o -
pa ies a d deposito ies if it is agai st deposito pa i ipa ts. You a se t to
the ea est oi e of the e ha ges /deposito ies.
T pes of o plai ts ha dled
_________________________________________________________________________________________________________________________________________________________________________________________________________________________
SEBI

Co plai ts a isi g out of a i iies that a e o e ed u de SEBI A t, ; Se u iies

Co t a t ‘egulaio A t, ; Deposito ies A t, a d ‘ules a d ‘egulaio s ade
the e u de a d the p o isio s that a e o e ed u de Se io A of Co pa ies A t,
a e ha dled SEBI.
 Co plai ts agai st SEBI egiste ed e iies
 Sto k oke /Autho ized age t
 Sto k E ha ge
 De e tu e t ustees
 Deposito
 Deposito pa i ipa ts
 Mutual fu ds
 ‘egist a to a issue / sha e t a sfe age t
 Ba ke to a issue
 Me ha t a ke s
 Po folio a age s
 Colle i e i est e t s he es
 Custodia of se u iies
 K‘A egist aio age
 C edit ai g age
 I est e t Ad ise s et .
 Listed o pa ies
 You a also epo t o p o ide i fo aio o
 a i egula iies i t adi g i sha es o a ipulaio i p i e o iolaio of i side
t adi g egulaio s.
 u egulated CIS s he es / po zi s he es et .

Mate s ot o side ed as o plai ts?

_________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ____ _________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______

 Co plai ts that a e i o plete o ot spe ii

 Allegaio s ithout suppo i g do u e ts
 Suggesio s / guida e / e pla aio sought
 No lisi g of sha es of p i ate ofe
 Dissaisfa io o t adi g p i e of sha es of o pa ies
 Disputes a isi g out of p i ate ag ee e t ith o pa ies/ i te edia ies
Ho to lodge a o plai t i SCORES?
_____________________________________________________________________________________________________________

Log o to htp://s o es.go .i

Go to o plai t egist aio u de I esto Co e
Please ill i the ele a t details a d ata h the do u e ts, if a , a d su it. Ki dl
e su e that alid e ail a d o ile u e is e te ed. I ad a e, please e su e that
ou ha e s a ed ele a t do u e ts, if a pe tai i g to the o plai t a d sa ed
i PDF fo at MB size so that it a e ata hed ith the o plai t.
You ill get a e ail a d SMS a k o ledgi g the e eipt of o plai t alloi g a
u i ue o plai t egist aio u e fo futu e efe e e a d t a ki g.
Li itaio s hile deali g ith o plai ts?
___________________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _________ ___________________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _________ __________

Ge e all , the e it espo ds

to the o plai t ithi fe da s
ate the e eipt of the o plai t.
Ho e e , the ed essal of o plai t
a e dela ed due to a ious ea-
so s iz., o e eipt of saisfa to
epl f o the e it , o e eipt of
i fo aio / do u e ts sought
the e it /SEBI f o the i esto ,
ou t ate , e it ot t a ea le o
a ished o pa ies et .

I e tai othe ases, he

the e it o o pa de ies o g doi g a d it e ai s u lea as to ho is o g
o hethe a o gdoi g o u ed at all. If this happe s, SEBI a ot a t as judge o
a a it ato a d fo e the e it o o pa to esol e the o plai t. Ho e e ,
SEBI takes a io agai st the e iies / di e to s of su h o pa ies o the g ou ds of
thei u saisfa to ed essal of la ge u e of i esto o plai ts.

Also, SEBI a ot ha dle follo i g o plai ts:

 Co plai ts agai st u listed/ delisted/ ou d up/ li uidated/si k o pa ies
 Co plai ts that a e su – judi e elai g to ases hi h a e u de o side aio
ou t of la , uasi– judi ial p o eedi gs et .
 Co plai ts falli g u de the pu ie of othe egulato odies iz. ‘BI, I‘DA,
PF‘DA, CCI, FMC et ., o u de the pu ie of othe i ist ies iz., MCA et .

G ie a e ed essal e ha is at e ha ges ?
___________________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _________ ___________________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ ______________ _____________ _____________ _____________ ______________ _____________ _________ ___________________ ______________ _____________ _____________ _____________ ______________ _____________ _____________ _____

I esto Se i es Cell ISC of Sto k E ha ges SE /Deposito ies se t

th ough SCORES o di e tl the i esto s
Sto k e ha ges ha e ee ad ised to ed ess the o plai t ithi da s.

I esto G ie a e Red essal Co itee IGRC

If ot saisied, App oa h Deposito / I esto G ie a e ‘ed essal Co -
itee IG‘C of SEs. The o plai ts ot ed essed th ough ISCs also get
efe ed to IG‘Cs.
da s to a i a l esol e the i esto o plai t
If ot, IG‘C to as e tai the alue of the lai ad issi le to the i esto a d
the a ou t is lo ked i IPF
Me e gi e da s f o the date of IG‘C to i fo hethe he ould pu -
sue a it aio
No Yes

Sto k e ha ge e- Sto k e ha ge eleases % of the ad-

leases the a ou t issi le alue o . la hi he e is
to the i esto less is gi e to the i esto f o IPF

A it aio
It s the uasi judi ial p o ess of setle e t of dispute, if o e pa t feels that
saisfa to ed essal of g ie a e has ot take pla e at IGC‘C
If a it aio is i the fa ou of i esto a d the e e de ides to ake appli a-
io i appellate a it ato pa el, the the posii e dife e e of the follo i g is
paid f o IPF of the e ha ge
A % of the a ou t e io ed i the a it aio a a d o . la s hi h is less
a d
B A ou t al ead eleased to the i esto ea lie
 Appellate A it ato Pa el
If a it aio is i the fa ou of i esto a d the e e de ides to ake ap-
pli aio i e t highe ou t, the the posii e dife e e of the follo i g is
paid f o IPF of the e ha ge
A % of the a ou t e io ed i the appellate a a d o la s hi h is less
a d
B A ou t al ead eleased to the i esto ea lie

Cou ts
 U de taki g gi e the i esto to sto k e ha ge to etu the a ou t eleased
to hi , i ase the p o eedi gs a e de ided agai st the i esto o he de ides ot to
pe use fu the .
 Total a ou t eleased to the i esto th ough o eta elief shall o e eed ‘s.
la i o e i a ial ea .
 I ase of o pa e t of the a ou t the i esto , t adi g ot allo ed o a
sto k e ha ge a d de at a ou t shall e f oze .

What is A it aio ?
________________________________________________________________

A it aio is a uasi judi ial p o ess of setle e t of disputes et ee

i esto s a d t adi g e es oke s / su oke s o ithi oke s
the sel es. It ai s at ui ke legal esoluio of disputes fo all the t a s-
a io s do e o the e ha ge. The a it aio f a e o k is go e ed ules ,
ela s, i ula s a d egulaio s issued the e ha ge a d SEBI f o i e to i e.

I po ta t poi ts to e e e i a it aio
_________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ____ _________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ____ _________ _______ _______ ______ __

 The o plai t i the othe s ste s shall e t eated as losed, o e a it aio p o-

eedi gs a e i iiated si e it is uasi judi ial p o ess.
 A it aio appli aio to e iled ithi th ee ea s f o i ide e. La of li ita-
io
 Choi e of sele i g a it ato s f o the o o pool of a it ato s of all the e -
ha ges togethe ; o else s ste ge e ated
 A pa el of th ee a it ato s , if the alue of lai is > lakhs a d sole a it ato if <
lakhs.
 No deposit fees fo lai s upto lakhs fo the i esto
 Appeal ithi da s to the Appellate A it ato pa el
 Fili g of peiio i the o pete t ou t ea est to the i esto s eside e.
The fees fo appeal shall ot e eed ‘s. , /- , i addiio to statuto ha ges if
the lai / ou te lai is upto lakh.
Fo o e details, isit i esto se io of e ha ge / deposito ies e sites.

Who to app oa h fo othe o plai ts?

_________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ____ _________ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______ _______ ______ _______ _______ ______ _______ _______ ______ _______ ______ _______

Natu e of o plai ts Who to app oa h?

Ba k deposits a d a ki g Ba ki g O uds a —
htp:// . i.o g.i /S ipts/ s_ ie o te t.asp ?Id=
No a ki g Fi a ial Co pa ies NBFCs Co pa La Boa d / Co su e Fo u / Ci il ou ts

I su a e elated I su a e ‘egulato & De elop e t Autho it

htp:// .poli holde .go .i
Co pa ies – is a age e t, A ual Mi ist of Co po ate Afai s
ge e al eei g, A ual epo t, No e- htp://pgpo tal.go .i /
eipt of p efe e ial allot e t of sha es,
o po ate a io s, i o it sha eholde s
i te est et .
Pe sio Fu ds Pe sio Fu ds ‘egulato & De elop e t Autho it of I dia
htp:// .pf da.o g.i
Co odiies Fo a d Ma ket Co issio —htp:// .f .go .i
Chit fu ds Ci il ou ts/ o su e fo u s
Mo opol a d a i o peii e t ade Co peiio Co issio of I dia
p a i es htp:// . i.go .i

Call SEBI Toll F ee Nu e fo ou se u iies a ket elated ue ies

/
Fo I esto Assista e: askse i@se i.go .i
Fo I esto o plai ts: htps://s o es.go .i

SEBI Toll free helpline is available from 9.30 to 5.30 all days. It provides
investors assistance for topics in securities market and guidance for lodg-
ing complaints and status of complaints in 14 languages.
Co ta t Details of SEBI oi es
Head Plot No.C -A,'G' Blo k, Ba d a Ku la Co ple , Ba d a East , Mu ai Tel : -
Oi e / Fa : - - / - E- ail : se i@se i.go .i

The ‘egio al Ma age , Cha diga h SCO - , st loo , se to C, Cha diga h –

th Floo , Ba k of Ba- lo al oi e Tel: ha diga h-
oda Buildi g, , lo@se i.go .i
No the Sa sad Ma g, Ne Del-
Regio al hi - . Tel. Lu k o lo al d loo , Elde o o po ate Cha e s-ii, Vi hui
oi e Boa d: - - oi e Kha d, Go i Naga , Lu k o - Tel-
Fa : - . lu k o -lo@se i.go .i
se i o@se i.go .i
Deh adu lo- d Floo , GMVN Buildi g, / ,‘ajpu ‘oad, Deh-
al oi e adu - . deh adu -lo@se i.go .i

The ‘egio al Ma age , Ko hi Lo al TH Floo , Fi a e To e , Kaloo Ko hi - Tel

O e seas To e s, th oi e – / o hi -lo@se i.go .i
Floo , -L, A a
Salai, Che ai : Be galu u Floo , Jee a Ma gal Buildi g, No– , ‘eside
Southe . Tel : - Lo al oi e ‘oad, Be galu u— Tel–
Regio al / / a galo e-lo@se i.go .i
Oi e Fa : E ail :
se is o@se i.go .i H de a ad st Floo , I di a Cha e s, - / A/ , ‘oad No–
Lo al oi e , A e ue , Ba ja a Hills, H de a ad— Tel
– / h de a ad-
lo@se i.go .i

The ‘egio al Ma age , Gu ahai th Floo , Nedi House, G S ‘oad, Dispu , Gu-
L&T Cha e s, d lo al oi e ahai— Tel— gu uhai-
Floo , Ca a St eet, lo@se i.go .i
Easte Re- Kolkata Tel :
gio al - . Fa : Bhu esh a Sto k E ha ge Bha a , P- , Ja ade Viha , Cha -
Oi e E- ail: se- lo al oi e d asekha pu , Bhu esh a —
ie o@se i.go .i Tel– - hu esh a -
lo@se i.go .i
Ra hi Lo al Ne Colle to ate uildi g, A– Blo k, oo o- to
Oi e , th Floo , Kut he ‘oad, ‘a hi— . Tel–
a hi-lo@se i.go .i
Weste ‘egio al Jaipu Lo al G ou d Floo , Jee a Nidhi uildi g, A edka i -
Oi e, U it No: , Oi e le, ha a i si gh ‘oad, Jaipu - tel:-+ -
G ou d Floo , SAKA‘ I, - Fa : + - - E- ail: lo-
Nea Ga dhig a ‘ail- jaipu @se i.go .i
a Staio Opp. Neh-
I do e Lo al Madh a P adesh Sto k e ha ge Ltd, ,Palika Pla-
Weste u B idge Ash a
oi e za,i do e- Tel:+ - - /
Regio al ‘oad, Ah eda ad -
Fa :+ - -
Oi e , Tel : + - -
E- ail:i do e-lo@se i.go .i
- , E- ail :
se i o@se i.go .i Pa aji Lo al th Floo EDC House, At a a Bo ka ‘oad,Pa aji-
Oi e Tel: - Fa : - pa aji-
lo@se i.go .i

Raipu Lo al st Floo , I est e t Buildi g, Phase- , LIC Ca pus,

Oi es Pa d i, ‘aipu - Tel- - aipu -
lo@se i.go .i