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July 14, 2004

The Managing Director,

National Securities Depository Ltd.,

Trade World, 4th Floor,

Kamala Mills Compound,

Senapati Bapat Marg, Lower Parel,

Mumbai – 400013

The Executive Director,

Central Depository Services(India) Ltd.,

Phiroze Jeejeebhoy Towers,

27-28th Floor, Dalal Street,

Mumbai – 400 023


Dear Sir,

Sub: Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book

 Yours faithfully,


Annexure A

There will be occasions when you have grievances against a listed company/ intermediary registered with SEBI. In the event of such grievance you should first approach the concerned company/ intermediary against whom you have a grievance. However, you may not be satisfied with their response.

Therefore you should know whom you should turn to get your grievance redressed. SEBI takes up grievances related to issue and transfer of securities and non-payment of dividend with listed Companies. In addition, SEBI also takes up grievances against the various intermediaries registered with it and related issues. Given below are types of grievances for which you could approach SEBI.

Nature of grievance – Regarding
Type-I: Refund order/ Allotment Advice Type-II: Non-receipt of dividend.


Type-III: Non-receipt of share certificates after transfer Type-IV: Debentures


Type-V: Non-receipt of letter of offer for rights Type VI: Collective Investment Schemes


Type VII: Mutual Funds/ Venture Capital Funds/ Foreign Venture Capital Investors/ Foreign Institutional Investors/ Portfolio Managers, Custodians Type VIII: Brokers/Debenture Trustees /Depository Participants/ Merchant Bankers /Registrars and Transfer Agents / Bankers to Issue/ Underwriters/ Credit Rating Agencies/ Securities lending Intermediaries


Type IX: Exchanges/ Clearing and Settlement Organizations/ Depositories Type X: Derivative Trading


Type XI: Buyback /Delisting /Substantial Acquisition /Takeovers /Corporate Governance /Corporate Restructuring /Compliance with Listing Conditions
For faster action send Type I to Type XI complaints, to the OIAE Division of SEBI at Mumbai or Regional Offices at the following addresses:
Address of SEBI Offices
SEBI, Head Office, Mittal Court, A Wing, Ist Floor 224 Nariman Point, Mumbai – 400 021. ‘ 022-22880962-70, 22850451-56 (
SEBI, OIAE, 4th floor, Exchange Plaza, “G” Block, Bandra Kurla Complex, Bandra (E), Mumbai – 400 051 ‘ 022-26598510-13, 26598509


SEBI, Northern Regional Office, Block No. 1, Rajendra Bhawan, Rajendra Place Dist. Centre, New Delhi- 110 008 ‘ 011-25788658/7538, 25768991 (
SEBI, Eastern Regional Office, L&T Chambers, 3rd Floor , 16, Camac Street, Kolkata – 700 016 ‘ 033- 22801219/1220/1614, 22402435/ 22816768 (
SEBI, Southern Regional Office, 3rd Floor, D Monte Bldg, No. 32, D’ Monte Colony, TTK Road, Alwarpet, Chennai 600 018 ‘ 044-24995676/5525/7385/7480 (
The following types of grievances should be taken up with:
With the Stock Exchange: At the Investor Information Centre of all the recognised Stock Exchanges
  • Related to securities traded/listed with the exchanges
  • Trades effected on the exchange w.r.t the companies listed on it or by the members of exchange


With the Department Of Company Affairs (DCA/ concerned Registrar of Companies (ROC)
  • Against unlisted companies
  • For non-receipt of annual report, AGM Notice
  • Fixed deposit in manufacturing companies
  • Forfeiture of shares



With the Reserve Bank of India
  • Fixed deposits in Banks
  • Fixed deposits in Non Banking Finance Companies
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