To be a trusted, transparent and prompt service provider to the investors, conforming to the highest standards of compliance, confidentiality and professionalism in conduct, to meet the obligation towards investors in Indian capital markets.

  • To maintain high standard of integrity in the conduct of business by 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

  • 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).
  • Processing and updating investor holding/title change requests viz name deletion, transmission, transposition, issue of duplicate shares, dematerialization and rematerialisation of securities.
  • Processing of other requests, viz., recording of declaration w.r.t. exemption / lower tax rates for TDS on dividend/interest, revalidation and reissue of dividend and interest instruments.
  • 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 mails and Letters and those through SCORES also.

  • Receive all the benefits/ material information declared by the Company.
  • Actively participate in the AGM / EGM of the company & E-voting events so as to be a part of the decision making of the Company’s business resolutions.
  • In case of any grievances, approach RTA, Depository, Company, Stock Exchange or SEBI for resolution within prescribed timelines.

  • Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF.
  • Follow up diligently and promptly if you have not receive allotment intimation/ certificate / dividend / interest etc.
  • Ensure that your PAN is registered with the RTA for all your folios.
  • Ensure nomination is registered for all your securities to smoothen the transmission.
  • 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.
  • Ensure that correct and complete Bank details are recorded with RTA to facilitate prompt electronic credit of dividend / interest / redemption amounts and eliminate possibility of unclaimed amounts / underlying securities being transferred to IEPF.
  • Promptly inform 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.

Level-1 -To KFin Technologies

In the event that the investor is not satisfied with the resolution provided or the service request / grievance is not redressed within the timelines as mentioned in the Investor Charter, you the investor may escalate the matter through email to our dedicated email ID: compliance.corp@kfintech.com or through a physical letter addressed to the Compliance Team , mentioning the following:

Name of Company :
Folio # / DP ID-Client ID :
Full Name of Investor:
E-mail address:
Registered Mobile number :
Nature of Complaint :
Unique Reference Number (URN) of the correspondence complaint refers to:

Address to share send physical letter :

Compliance Team,
KFin Technologies Limited.
Selenium Building, Tower-B,
Plot No 31 & 32,
Financial District, Nanakramguda, Serilingampally,
Hyderabad, Rangareddi, Telangana
India - 500032.

Redressal / resolution of grievance / complaint via e-mail / physical letter , as applicable, will be reverted within 30 days from the date of receipt of grievance / complaint.

Level-2 -To Stock Exchanges

Online registration of complaint / grievance on stock exchanges:

The nature of 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. 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.

Level-3 -To SEBI (SCORES)

Complaints can be lodged through SEBI Complaints Redress System : https://scores.gov.in/scores/Welcome.html

SMART ODR Portal : In case the investor is still not satisfied with the resolution provided for his complaint/grievance lodged with RTA & SEBI(SCORES), the investor shall lodge his complaint/grievance on SMART ODR Portal (Securities Market Approach for Resolution Through ODR Portal) for online resolution of disputes : https://smartodr.in/login as per the SEBI Circular, SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated 31-Jul-23, and SEBI Master Circular dated Aug 04, 2023.

For more information on online resolution of disputes in the Indian Securities Market, refer to SEBI Circular.


SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/670 of November 26, 2021

INVESTOR SERVICE REQUEST
Nature of Service Expected Timelines (Number of days)
Processing of Transmission Request (SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/65) 30
Processing of Issue of Duplicate Security Certificate Request (Letter of Confirmation) 30
Processing of Dematerialization Request 15
Processing of Remat Request 30
Processing of Transposition Request 15
I. PROCESSING OF REQUEST FOR CHANGE IN UPDATION 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 UPDATION OF PAN 15
Processing of Re-Validation of Dividend I Interest I Redemption Instruments And Sending The Remittance Request Files To The Bank I Company 15
GRIEVANCE REDRESSAL (CG-MH-E-18082023-248175)
Providing Response To The Inquiries of The Investors And Redressal of Grievance 21
OTHER OPERATIONAL ACTIVITIES
Allotment of Securities (IPO) 6
INTIMATION REGARDING DISTRIBUTION OF CORPORATE BENEFITS (DIVIDEND, BONUS, STOCK SPLIT)
A. E-Mail Communication 15
B. Physical Communication 30

S NoDateReference NumberCircular
1 07/05/2024SEBI/HO/MIRSD/POD-1/P/CIR/2024/37 Master Circular
2 04/01/2024SEBI/FAQ FAQs with respect to Investor Service Requests processed by RTAs
3 28/12/2023SEBI/HO/OIAE/OIAE_IAD-3/P/CIR/2023/195 Master Circular for Online Resolution of Disputes in the Indian Securities Market
4 27/12/2023SEBI/HO/MIRSD/POD-1/P/CIR/2023/193 Extension of timelines for providing choice of nomination in eligible demat accounts and mutual fund folios
5 18/12/2023SEBI/HO/MIRSD/PoD-1/OW/P/2023/50902 Clarification with respect to Corporate Benefits and Voting Rights in case of securities transferred to Suspense Escrow Demat Account (SEDA)
6 17/11/2023SEBI/HO/MIRSD/POD-1/P/CIR/2023/181 Simplified norms for processing investor’s service requests by RTAs
7 26/09/2023SEBI/HO/MIRSD/POD-1/P/CIR/2023/158 Extension of timelines (i) for nomination and (ii) for submission of PAN, Nomination and KYC
8 20/09/2023SEBI/HO/OIAE/IGRD/CIR/P/2023/156 Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform
9 11/08/2023SEBI/HO/OIAE/OIAE_IAD-P/CIR/2023/145 Master Circular For Online Dispute Resolution (Updated Aug 11)
10 08/06/2023SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/72 Online Processing of Inv Requests and Complaints
11 25/05/2023SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/79 Model Tripartite Agreement
12 16/03/2023SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 Common and simplified norms for processing investor’s service
13 27/01/2023SEBI/HO/OIAE/2023/03391 Awareness on availability of Dispute Resolution Mechanism at Stock Exchanges
14 25/05/2022SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/70 Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates
15 18/05/2022SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/65 Simplification of procedure and standardization of formats of documents for transmission of securities
16 25/01/2022SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 Issuance of Securities
17 26/11/2021SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/67 Investor Charter and Disclosure

Data for the month ending 31/05/2024

Sl.NoReceived fromCarried forward from previous monthReceived during the monthTotal PendingResolvedPending at the end of the monthAverage Resolution time (in days)
Pending for less than 3 monthsPending for more than 3 months
1Directly from Investors2214301632022.88
2SEBI (SCORES)92370140260022.31
3Stock Exchanges 111012006.75
4Other Sources43116413623033.77
Grand Total:158640571385024.36