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action or later. Please see Debugging in WordPress for more information. (This message was added in version 6.7.0.) in /home3/a1636wpq/public_html/taxclick.org/wp-includes/functions.php on line 6114 CIRCULAR<\/strong> CIR\/OIAE\/1\/2014<\/strong> <\/p>\n December 18, 2014<\/strong><\/p>\n <\/p>\n To<\/p>\n <\/p>\n All <\/p>\n All Intermediaries <\/p>\n Brokers and Sub <\/p>\n Funds and Asset <\/p>\n All recognized Stock <\/p>\n All Depositories<\/p>\n <\/p>\n Association of Mutual <\/p>\n Dear Sir\/Madam,<\/p>\n <\/p>\n Subject : Redressal of investor grievances <\/p>\n 1. <\/p>\n June 2011. The purpose of SCORES is to <\/p>\n 2. <\/p>\n 3. <\/p>\n i. ii. iii. 4. <\/p>\n i. ii. iii. iv. <\/p>\n 5. <\/p>\n Brokers, Sub-Brokers and Depository <\/p>\n 6. <\/p>\n 7. <\/p>\n 8. <\/p>\n<\/div>\n 9. <\/p>\n 10.The <\/p>\n 11.Action <\/p>\n 12.A <\/p>\n 13.Failure <\/p>\n 14.The <\/p>\n 15.The <\/p>\n 16.All <\/p>\n 17.Stock <\/p>\n 18.This <\/p>\n 19.This <\/p>\n Yours faithfully,<\/p>\n <\/p>\n N Hariharan<\/strong><\/p>\n <\/p>\n Chief General Manager<\/strong><\/p>\n Office of Investor Assistance and Tel No. 022 26449880<\/strong><\/p>\n Email id – hariharan@sebi.gov.in<\/strong><\/p>\n <\/p>\n FORM – A<\/strong><\/p>\n<\/div>\n <\/p>\n AUTHENTICATION FOR SCORES BY LISTED COMPANIES<\/strong><\/p>\n <\/p>\n 1. Name of the <\/p>\n 2. PAN of Company : <\/p>\n <\/p>\n 3. CIN of Company: <\/p>\n <\/p>\n 4. Date of <\/p>\n 5. Registered Office <\/p>\n 6.<\/p>\n<\/td>\n Complaints processed through: ?RTI\/STA ?Company<\/p>\n<\/td>\n<\/tr>\n 7.<\/p>\n<\/td>\n Please indicate the following:<\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n <\/p>\n Name of the RTI\/STA (if through RTI\/STA):<\/p>\n <\/p>\n Whether complaints will be passed to RTI\/STA by the <\/p>\n 8. Stock exchange on <\/p>\n 9. The details of <\/p>\n Name :<\/p>\n <\/p>\n Designation:<\/p>\n <\/p>\n Email id : (Corporate and permanent email id)<\/p>\n <\/p>\n Mobile no.<\/p>\n <\/p>\n Telephone No. :<\/p>\n <\/p>\n Fax No. :<\/p>\n <\/p>\n 10. Name, PAN and address of the <\/p>\n Place: Signature of Compliance Officer of <\/p>\n Date: Name:<\/p>\n <\/p>\n Designation:<\/p>\n Company Seal:<\/p>\n <\/p>\n Note: A scanned copy to be sent by <\/p>\n Important: Please note that SCORES has <\/p>\n FORM – B<\/strong><\/p>\n<\/div>\n <\/p>\n AUTHENTICATION FOR SCORES BY SEBI REGISTERED <\/p>\n 1. Name of the <\/p>\n 2. Nature of <\/p>\n 3. SEBI registration <\/p>\n 4. PAN of registered <\/p>\n 5. Date of SEBI <\/p>\n 6. SEBI registration <\/p>\n 7. Office address of <\/p>\n 8. <\/p>\n Name :<\/p>\n <\/p>\n Designation:<\/p>\n <\/p>\n Email id : (corporate and permanent email id)<\/p>\n <\/p>\n Mobile no.<\/p>\n <\/p>\n Telephone No. :<\/p>\n <\/p>\n Fax No. :<\/p>\n <\/p>\n <\/p>\n Place: Signature:<\/p>\n <\/p>\n Date: Name:<\/p>\n <\/p>\n Designation:<\/p>\n Seal:<\/p>\n <\/p>\n Note: A scanned copy to be sent by <\/p>\n Important: Please note that SCORES has To All Intermediaries registered with SEBI (Through the Stock Exchanges for Stock Funds and Asset Management Companies) All Depositories Dear Sir\/Madam, Subject : Redressal of investor grievances through SEBI Complaints Redress System (SCORES) platform i. Circular no.CIR\/OIAE\/2\/2011 dated June 3, 2011 ii. Circular no.CIR\/OIAE\/1\/2012 dated August … Read more<\/a><\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_uag_custom_page_level_css":"","_mi_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"footnotes":""},"categories":[14],"tags":[213],"class_list":["post-1581","post","type-post","status-publish","format-standard","hentry","category-investment","tag-sebi"],"yoast_head":"\n
\nCompanies whose securities are listed on SEBI recognized Stock Exchanges
\n(Through the Stock Exchanges)<\/p>\n
\nregistered with SEBI (Through the Stock Exchanges for Stock<\/p>\n
\nBrokers, Depositories for Depository Participants, AMFI for Mutual<\/p>\n
\nManagement Companies)<\/p>\n
\nExchanges<\/p>\n
\nFunds in India (AMFI)<\/p>\n
\nthrough SEBI Complaints Redress System (SCORES) platform<\/strong><\/p>\n
\nSEBI launched a centralized web based
\ncomplaints redress system \u2018SCORES\u2019 in <\/p>\n
\nprovide a platform for aggrieved investors, whose grievances, pertaining to
\nsecurities market, remain unresolved by the concerned listed company or
\nregistered intermediary after a direct approach. SCORES also provides a
\nplatform, overseen by SEBI through which the investors can approach the
\nconcerned listed company or SEBI registered intermediary in an endeavor towards
\nspeedy redressal of grievances of investors in the securities market. It would,
\nhowever, be advisable that investors may initially take up their grievances for
\nredressal with the concerned listed company or registered intermediary, who are
\nrequired to have designated persons\/officials for handling issues relating to
\ncompliance and redressal of investor grievances. <\/p>\n
\nSEBI has issued
\nvarious circulars\/directions from time to time with respect to SCORES. In order
\nto enable the users to have an access to all the applicable
\ncirculars\/directions at one place, this Circular on SCORES consolidates the
\ncurrent provisions. <\/p>\n
\nThis Circular inter
\nalia<\/em> consolidates the following circulars\/directions issued by SEBI in this
\nregard till date and shall come into force from the date of its issue: <\/p>\n
\nCircular no.CIR\/OIAE\/2\/2011 dated June
\n3, 2011 <\/p>\n
\nCircular no.CIR\/OIAE\/1\/2012 dated
\nAugust 13, 2012 <\/p>\n
\nCircular no.CIR\/OIAE\/1\/2013 dated
\nApril 17, 2013 <\/span><\/p>\n
<\/span><\/p>\n<\/div>\n
\nThe salient features of SCORES are: <\/p>\n
\nCentralised database of investor
\ncomplaints <\/p>\n
\nOnline movement of complaints to the
\nconcerned listed company or SEBI registered intermediary <\/p>\n
\nOnline upload of Action Taken Reports
\n(ATRs) by the concerned listed company or SEBI registered intermediary <\/p>\n
\nOnline viewing by
\ninvestors of actions taken on the complaint and its current status <\/p>\n
\nAll newly listed companies and SEBI
\nregistered intermediaries (excluding Stock <\/p>\n
\nParticipants) are hereby advised to send their details as per Form-A and Form-B
\nannexed to this Circular, respectively to SEBI in hard copy and by email to
\nscores@sebi.gov.in and obtain SCORES user id and password immediately within a
\nperiod of one month from the date of listing. The email id to be furnished by
\nthe listed company \/ SEBI registered intermediary for receiving SCORES user id
\nand password from SEBI has to be preferably a corporate email id and
\nnecessarily a permanent one. Failure by any listed company or SEBI registered
\nintermediary to obtain the SCORES user ID and password would not only be deemed
\nas non-redressal of investor grievances but also indicate willful avoidance of
\nthe same. The existing listed companies which have failed to obtain
\nauthentication will be dealt with in accordance with para 15 below. <\/p>\n
\nStock Brokers,
\nSub-Brokers and Depository Participants are not required to obtain SCORES
\nauthentication since complaints against these intermediaries shall continue to
\nbe routed through the platforms of the concerned Stock Exchange\/Depository. <\/p>\n
\nThe registered
\nintermediaries shall submit the details in hard copy (Form-B) to the
\nDepartment\/Division of SEBI which has granted them registration to operate in
\nthe securities market. SCORES user id and password of an intermediary shall be
\ncreated only after receiving approval from the concerned Department\/Division of SEBI. <\/p>\n
\nIn case of complaints
\nagainst listed companies, the same can be processed by companies in-house or
\nthrough its Registrar to Issue and Share Transfer Agent (RTI\/STA). In case the
\ncomplaints are processed by the RTI\/STA on behalf of the listed company, the
\ncompany should indicate in the enclosed Form-A whether they require the
\nfacility to forward complaints to the RTI\/STA, so that the ATRs can be uploaded
\nby them. In such cases, the name of the RTI\/STA, the name of the Compliance
\nOfficer of the listed company and email id of the listed company should be
\nfurnished, so that the user id and password can be provided accordingly. In
\ncase the complaints are processed by the RTI\/STA on behalf of the listed
\ncompany, any failure on the part of the RTI\/STA to redress the complaints or
\nfailure to update ATR in SCORES, will be treated as failure of the listed
\ncompany to furnish information to SEBI and non redressal of investor complaints
\nby the listed company. <\/p>\n
\nAll listed companies
\nand SEBI registered intermediaries shall review their investors grievances
\nredressal mechanism so as to further strengthen it and correct the existing shortcomings,
\nif any. The listed companies and SEBI registered intermediaries to whom
\ncomplaints are forwarded through SCORES, shall take immediate efforts on
\nreceipt of a complaint, for its resolution, within thirty days. The listed
\ncompanies and SEBI registered intermediaries shall keep the complainant duly
\ninformed of the action taken thereon. <\/p>\n
\nlisted companies and SEBI registered intermediaries shall update the ATR along
\nwith supporting documents, if any, electronically in SCORES. ATR in physical form
\nneed not be sent to SEBI. The proof of dispatch of the reply of the listed
\ncompany \/ SEBI registered intermediary to the concerned investor should also be
\nuploaded in SCORES and preserved by the listed company \/ SEBI registered
\nintermediary, for future reference. <\/p>\n
\ntaken by the listed companies and SEBI registered intermediaries will not be
\nconsidered as complete if the relevant details\/ supporting documents are not
\nuploaded in SCORES and consequently, the complaints will be treated as pending.\n<\/p>\n
\ncomplaint shall be treated as resolved\/disposed\/closed only when SEBI
\ndisposes\/closes the complaint in SCORES. Hence, mere filing of ATR by a listed
\ncompany or SEBI registered intermediary with respect to a complaint will not
\nmean that the complaint is not pending against them. <\/p>\n
\nby listed companies and SEBI registered intermediaries to file ATR under SCORES
\nwithin thirty days of date of receipt of the grievance shall not only be
\ntreated as failure to furnish information to SEBI but shall also be deemed to
\nconstitute non-redressal of investor grievance. <\/p>\n
\nBoard of Directors of the listed company or the Board of Directors\/ Proprietor\/ Partner of the registered intermediary shall
\nbe responsible for ensuring compliance with the provisions of this Circular.<\/p>\n
\nCirculars mentioned in para 3 of this Circular stand rescinded. Notwithstanding
\nsuch rescission, anything done or any action taken or any failure to take
\naction under those Circulars before the date of issuance of this Circular,
\nshall be deemed to have been done or taken or commenced under the provisions of
\nthis Circular. <\/p>\n
\ncompanies whose securities are listed on recognized Stock Exchanges and
\nintermediaries registered with SEBI are advised to comply with this Circular. <\/p>\n
\nExchanges, Depositories and the Association of Mutual Funds of India (AMFI) are
\naccordingly advised to bring the provisions of this Circular to the notice of
\nall Listed Companies, registered Stock-Brokers, Depository Participants and
\nAsset Management Companies respectively and also to disseminate the same on
\ntheir websites.
\nFurther, the Stock Exchanges, Depositories and AMFI should also arrange for
\nadequate publicity of this Circular on an urgent basis.<\/p>\n<\/div>\n
\nCircular is issued in exercise of powers conferred under Section 11(1) of the
\nSecurities and Exchange Board of India Act, 1992 to protect the interests of
\ninvestors in securities and to promote the development of, and to regulate the
\nsecurities market. <\/p>\n
\nCircular is available on SEBI website at www.sebi.gov.in<\/a>. <\/p>\n
\nEducation<\/strong><\/p>\n
\nCompany: <\/p>\n
\nincorporation of company: <\/p>\n
\naddress of company: <\/p>\n\n\n
\n \n \n \n \n \n
\ncompany directly to the
\nRTI\/STA through SCORES<\/p>\n
\nwhich company is listed\/ proposed to be listed: <\/p>\n
\nthe concerned person of the company to whom User id and password will be sent: <\/p>\n
\npromoters and directors of the company:<\/p>\n
\ncompany:<\/p>\n
\nemail to scores@sebi.gov.in followed by
\nhard copy to Office of the Investor Assistance and Education, Securities and
\nExchange Board of India, Plot No. C4-A, ‘G’ Block, Bandra Kurla Complex, Mumbai
\n– 400 051<\/p>\n
\nthe provision for updating company details by the company itself. Any field
\n(except the e-mail id which is permanent) such as registered office address,
\nname of the RTI\/STA, name\/details of the compliance officer, telephone numbers,
\netc should be changed by the company immediately when warranted.<\/p>\n
\nINTERMEDIARIES<\/strong><\/p>\n
\nregistered intermediary : <\/p>\n
\nregistered intermediary: <\/p>\n
\nno. <\/p>\n
\nintermediary : <\/p>\n
\nregistration of intermediary: <\/p>\n
\nvalid upto: <\/p>\n
\nthe intermediary: <\/p>\n
\nThe details of the concerned person of the intermediary
\nto whom User id and password will be sent: <\/p>\n
\nemail to scores@sebi.gov.in followed by
\nhard copy to the concerned Department\/Division of Securities and Exchange Board
\nof India, Plot No. C4-A, ‘G’ Block, Bandra Kurla Complex, Mumbai – 400 051<\/p>\n
\nthe provision for updating intermediary’s details by the intermediary itself.
\nAny field (except the e-mail id which is permanent) such as registered office
\naddress, name\/details of the compliance officer, telephone numbers, etc should
\nbe changed by the intermediary immediately when warranted.<\/p>\n","protected":false},"excerpt":{"rendered":"