NOTICE
Dated
: August 29, 2014
Trading
members are hereby informed that the Exchange has received a Circular from SEBI
vide Ref. No. CIR/MIRSD/3/2014,August 28, 2014 regarding Information
regarding Grievance Redressal Mechanism. The contents of the said Circular are
reproduced hereunder for information of trading members.
CIR/MIRSD/3/2014
August 28, 2014
To
ALL SEBI REGISTERED INTERMEDIARIES
Dear Sir / Madam,
Sub: Information regarding Grievance Redressal Mechanism
1. SEBI has been taking various measures
to create awareness among investors about grievance mechanisms available to
them through workshops as well as hrough print and electronic media.
2. As an
additional measure and for information of all investors who deal/ invest/
transact in the market, it has now been decided that offices of all Stock
Brokers (its registered Sub-Broker(s) and Authorized Person(s)) and Depository
Participants shall prominently display basic information, as provided in
Annexure-A, about the grievance redressal mechanism available to investors. For
other intermediaries, the information as provided in Annexure-B shall be
prominently displayed in their offices.
3. The intermediaries shall take necessary
steps to implement the provisions of this circular and ensure its full
compliance in respect of all its offices on or before 60 days from the date of
this circular.
4. This Circular is issued in exercise of
powers conferred under Section 11 (1) of the Securities and Exchange Board of
India Act, 1992 to protect the interests of investors in securities and to
promote the development of, and to regulate the securities market.
5. This circular is available on SEBI
website at www.sebi.gov.in under the categories “Legal Framework” and
“Circulars”.
Yours faithfully,
A.S.Mithwani
Deputy General
Manager
022-26449613
Encl: Annexure-A
Annexure-B
Annexure A
FOR STOCK BROKERS / DEPOSITORY PARTICIPANTS
Dear Investor,
In case of any grievance / complaint
against the Stock Broker / Depository Participant:
· Please contact Compliance Officer of
the Stock Broker/ Depository Participant (Name) / email-id (xxx.@email.com) and
Phone No. - 91-XXXXXXXXXX.
· You may also approach CEO/
Partner/Proprietor (Name) / email-id
xxx.@email.com) and Phone No. - 91-XXXXXXXXXX.
· If not satisfied with the response of the Stock Broker/
Depository Participant, you may contact the concerned Stock Exchange /
Depository at the following –
|
Web Address |
Contact No |
Email-id |
|||
|
BSE |
www.bseindia.com |
xxxxxxx |
xxx@bseindia.com |
||
|
NSE |
www.nseindia.com |
xxxxxxx |
xxx@nse.co.in |
||
|
MCX-SX |
www.mcx-sx.com |
xxxxxxx |
xxx@mcx-sx.com |
||
· You can also lodge your grievances with
SEBI at http://scores.gov.in. For any queries, feedback or assistance, please
contact SEBI Office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575
Annexure-B
FOR OTHER INTERMEDIARIES
Dear Investor,
In case of any grievance / complaint
against the Intermediary:
· Please contact Compliance Officer of
the Intermediary (Name and Address) / email-id (xxx.@email.com) and Phone No. -
91-XXXXXXXXXX.
· You may also approach CEO / Partner /
Proprietor (Name) / email-id (xxx.@email.com) and Phone No. - 91-XXXXXXXXXX.
· If not satisfied with the response of
the intermediary you can lodge your grievances with SEBI at
http://scores.gov.in or you may also write to any of the offices of SEBI. For
any queries, feedback or assistance, please contact SEBI Office on Toll Free Helpline
at 1800 22 7575 / 1800 266 7575.
Unquote:
Trading Members are requested to take note of the aforesaid SEBI circular and ensure compliance by way of prominently displaying the basic information given in Annexure-A. This Circular, Annexure-A & Annexure-B mentioned therein are available on SEBI website at www.sebi.gov.in.
General
Manager