Investor Services Cell of the Exchange deals with the complaints of investors against the Trading Members of the Exchange or against the listed companies. Investors could lodge their complaints in the format prescribed by the Exchange along with the supporting documents either by registering their complaints in electronic mode through our website www.nseindia.com or may send in their complaints to the nearest investor service centre.

Generally, the complaints of following nature are taken up for resolution by the Exchange.


Complaints against Exchange Members

Capital Markets/ Futures & Options Segment:

1. Non-Issuance of the Documents by the Trading Member
2. Non-receipt of funds / securities
3. Non-receipt of margin/security deposit given to the Trading Member (TM)
4. Non-Receipt of Corporate Benefit (dividend / interest / bonus etc.)
5. Auction value / close out value received or paid
6. Execution of Trades without Consent
7. Excess Brokerage charged by Trading Member / Sub-broker
8. Non-receipt of credit balance as per the statement of account
9. Non-Receipt of Funds / Securities kept as margin
10. Excess Brokerage Charged (other than on Option Premium)

Regional Investor Complaint Resolution Committees (RICRC)
Complaints against trading members which remain unresolved despite Exchange intervention are referred to the RICRC at Mumbai, Delhi, Kolkata and Chennai.

The members on the Committee are as follows:

Region Name Mumbai Mr. K.S.Shah, Mr. Kamal Kumar Jalan or Mr. Nandkishore Gupta Delhi Mr.R.K.Ahooja, Col. G.S.Gujral (Retd.) or Mr. Ajay Bahadur Kolkata Mr. P.K.Bhattacharjee, Mr. Rishi Nathany or Mr. Prashant Khandelwal Chennai Mr. S. Subramanian, Mr. Arunkumar C.N. or Mr. Narendranath

Complaints against Listed Companies :

1. Public / Further offerings: Complaint regarding non-receipt of…
   
   
   1. Allotment Advice, securities allotted, refund order
   2. Interest on delay in Redemption / Refund Amount
   3. Sale Proceeds of Fractional Entitlement
   4. Composite Application Form (CAF) for Rights offer Rights for (CAF) Application
   5. Securities purchased through a Rights Offer
   6. Letter of offer for Buyback
    
2. Corporate Actions:
Complaint regarding non-receipt of…


1. Dividend
2. Interest on Debentures, Bonds or other Debt Instruments
3. Securities on account of a Bonus / De-merger / Merger / Stock Split
4. Redemption Amount
    
3. Transfer of Securities:
Complaint regarding non-receipt of…


1. Securities after Dematerialization
2. Securities after Transfer/Transmission
3. Duplicate Certificate relating to Securities


4. Miscellaneous:
Complaint regarding non-receipt of copy of the Annual Reports



 
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