Investor Grievances

Complaints against Trading Members / Companies

No. No. of Complaints Trading Members Companies Aug 2006 Sep 2006 Oct 2006 Aug 2006 Sep 2006 Oct 2006 1 Received during the month 172 123 152 58 54 43 2 Carried forward from earlier month 331 334 322 192 183 192 3 Resolved 169 135 156 67 45 42 4 Pending at the end of the month 334 322 318 183 192 193

Trading Members / Companies with more than 5 complaints pending for more than 2 months

S. No. Name of the Trading Member / Company No. of Complaints as on October 31, 2006 Remarks 1 Kotak Securities Ltd. 17 - 2 Karvy Stock Broking Ltd. 10 - 3 India Infoline Securities Pvt. Ltd. 9 - 4 Indiabulls Securities Ltd. 8 - 5 Religare Securities Ltd. 7 - 6 Apollo Sindhoori Capital Investments Ltd. 6 - 7 Madan & Co Ltd. 6 - COMPANIES 1 Oil & Natural Gas Corporation Ltd. 15 Traded

Arbitration

STATUS REPORT OF ARBITRATION MATTERS : October  2006

Year-wise statistics of cases pending

Calendar Year Total No. of Cases Withdrawn Awards Pending 1999 CM 153 5 147 1 1999 WDM 2 0 1 1 2001 CM 342 19 322 1 2004 CM 119 6 112 1 2006 CM 156 2 88 66 2006 F&O 122 4 49 69 2006 CO 1 0 0 1

Details of arbitration matters as on October 31, 2006

Opening Balance Received Award passed Pending 131 44 35 140

Centrewise break-up : October 31, 2006

Regions Opening Balance Received Award passed Pending Mumbai 49 13 20 42 Delhi 31 12 3 40 Kolkata 17 3 5 15 Chennai 34 16 7 43 Total 131 44 35 140

Segmentwise break-up : October 31, 2006

Segment Opening Balance Received Award passed Pending CM 66 24 21 69 F&O 63 20 14 69 WDM 1 0 0 1 CO 1 0 0 1 Total 131 44 35 140

Segmentwise/Centrewise pending status as on October 31, 2006

Segment/ Centre Mumbai Delhi Kolkata Chennai Total CM 14 18 9 28 69 F&O 26 22 6 15 69 CO 1 0 0 0 1 WDM 1 0 0 0 1 Total 42 40 15 43 140