Securities and Exchange Board of India

CIRCULAR 

CIR/MRD/DP/DA/25/2012
September 21, 2012

Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book

1. Please refer to SEBI circular no. MRD/DOP/Cir-22/2004, dated July 14, 2004 which specified the information regarding grievance redressal mechanism to be printed on the inside back cover of the Delivery Instruction Form Book issued by all Depository Participants.

2. The contents to be printed in the Delivery Instruction Form Book have been revised in line with recent initiatives taken by SEBI and are enclosed at Annexure A.

3. The Depositories are advised to:-

(a)  make amendments to the relevant bye-laws, rules and regulations for the implementation of the above, as may be applicable/necessary ;

(b)  bring the provisions of this circular to the notice of their DPs and also to disseminate the same on their website.

4. This circular is being issued in exercise of the powers conferred by Section 11(1) of Securities and Exchange Board of India Act, 1992 and section 19 of the Depositories Act, 1996 to protect the interest of investors in securities and to promote the development of, and to regulate the securities market.

Maninder Cheema
Deputy General Manager
022 – 26449754
ANNEXURE A
In case you have grievances against a listed company or intermediary registered with SEBI, you should first approach the concerned company or intermediary against whom you have grievance. If you are not satisfied with their response, you may approach SEBI or other regulatory bodies. You can approach SEBI for following types of grievances :
Listed Companies

  • Refund/ Allotment /Bonus/Dividend/Rights/Redemption / Interest
  • Prelisting offer documents (shares).
  • Prelisting offer documents (debentures and bonds).
  • Delisting of Securities
  • Buyback of Securities
  • Takeover and Restructuring
  • Corporate Governance and Listing Conditions
Brokers and stock exchanges

Stock brokers

Sub brokers

Portfolio managers

Stock exchanges

Registrar and Transfer Agents Other entities

Collective Investment Schemes

Debenture Trustees

Merchant Bankers

Bankers to Issue

Credit Rating Agencies

Custodian of Securities

Foreign Institutional Investors

Underwriters

Venture Capital Funds

KYC Registration Agency(KRA)

Alternative Investment Fund

Mutual Funds
Depository and Depository participants
Information to SEBI:

  • Price Manipulation
  • Insider trading
You can file your complaints online at http://scores.gov.in or alternately send your complaints to Office of Investor Assistance and Education of SEBI at Mumbai or Regional Offices at the following addresses:
  • Office of Investor Assistance and Education, SEBI Bhavan, Plot No.C4-A, ‘G’ Block, Bandra Kurla Complex, Bandra (E), Mumbai 400 021 Tel : 022-26449188 / 26449199 (http://scores.gov.in)
  • SEBI, Northern Regional Office, 5th Floor, Bank of Baroda Building,16, Sansad Marg, New Delhi – 110 001 Tel : 011- 23724001-05 ([email protected])
  • SEBI, Eastern Regional Office, L&T Chambers, 3rd Floor, 16, Camac Street, Kolkata – 700 016 Tel : 033-23023000
  • ([email protected])
  • SEBI, Southern Regional Office, 3rd Floor, D Monte Bldg, No. 32, D’ Monte Colony, TTK Road, Alwarpet, Chennai 600 018 Tel : 044-24995676/5525/7385/7480 ([email protected])
  • SEBI, Ahmedabad Regional, Office Unit No: 002, Ground Floor, SAKAR I, Near Gandhigram Railway Station, Opp. Nehru Bridge Ashram Road, Ahmedabad – 380 009 Tel : 079-26583633-35 ( [email protected])
For more information visit our website – http://scores.gov.in

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