All the Investment Advisers (IA) and Research Analysts (RA) are advised to prominently display on their websites the following ‘Grievance Redressal / Escalation Matrix’ and bring it to the notice of their clients:
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Details of designation
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Contact Person Name
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Address where the physical address location
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Contact No.
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Email-ID
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Working hours when complainant can call
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Customer Care
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Head of Customer Care
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Compliance Officer
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CEO
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Principal Officer
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The abovementioned details would facilitate the complainants to approach the concerned IA/RA before filing complaint to SEBI. It is noticed that due to insufficient/incorrect information on IA/RA website, the complainants are not able to approach the concerned IA/RA before filing complaint to SEBI.
Further, in the absence of the website, such IA/RA shall display the matrix in all their offices and send emails containing the matrix to their clients.
In the absence of website:
a) For new clients onboarded, enlisted IAs and RAs shall send an email containing the above matrix within seven days of on-boarding.
b) For existing clients, enlisted IAs and RAs shall send the above matrix through email by January 03, 2025.
All the IAs and RAs are advised to take a note of the same and ensure compliance.
For any clarifications, email on iara.compliance@bseindia.com
For & on behalf of BSE Ltd.
Meghana Kulkarni Praveenkumar Acharya
Deputy General Manager Asst General Manager
Membership Operations and Membership Operations and
Membership Compliance Membership Compliance
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