Securities and Exchange Broad of India

Circular

CIR/MIRSD/13/2011 ,

August 02, 2011

To

All Bankers to an Issue (BTI) and Debenture Trustees (DT) registered with SEBI

Sir/ Madam

Sub: Processing of Investor Complaints in SEBI Complaints Redress System (SCORES)

1. SEBI has commenced processing of investor complaints in a centralized web based complaints redress system ‘SCORES’. The salient features of this system are:

  • Centralized database of all complaints.
  • Online movement of complaints to the concerned intermediaries
  • Online upload of Action Taken Reports (ATRs) by the concerned entities, and
  • Online viewing by investors of action on the complaints and its current status.

2. Accordingly, henceforth all complaints shall be forwarded electronically through SCORES only. You are hereby directed to view the pending complaints at http://scores.gov.in/admin and submit the ATR along with supporting documents electronically in SCORES. Please note that updation of action taken would not be possible with physical ATRs. Hence, submission of physical ATR will not be accepted for complaints lodged in SCORES.

3. A daily alert on pending complaints will be forwarded to your Compliance Officer. Therefore, please send the current details of the Compliance Officer i.e. name and email ID to SEBI by August 20, 2011.

4. The said details shall be forwarded to SEBI to [email protected](BTI) and [email protected] (DT) with subject “SCORES”. On receipt of the same, the user ID and password for logging into SCORES shall be communicated to you.

5. 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.

6. This circular is available on SEBI website (www.sebi.gov.in) under the categories “Legal Framework” and “Circulars”.

Yours faithfully,

Ruchi Chojer
Deputy General Manager
Phone No. 022-26449310
Email id: [email protected]

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