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DETAILS OF COMPLAINT DETAILS OF TM STATUS OF COMPLAINT
SN DATE OF RECEIPT NAME OF CLIENT TYPE OF COMPLAINT* NAME OF TM MARKET SEGMENT IF DEFAULTER DATE OF ITS DECLARATION STATUS** STATUS DATE## DATE OF FILING ARBITRATION NAME OF ARBITRATOR(S) DATE OF ARBITRATION AWARD
*Type of Complaints
Type Description
** Status
Type Description
SN NAME OF THE TM DEFAULTER (YES/NO) NO. OF UCCs AT THE BEGINNING OF THE YEAR NO OF COMPLAINTS RECEIVED AGAINST THE TM* NO. OF COMPLAINTS
RESOLVED THROUGH THE EXCHANGE/IGRC NON ACTIONABLE** ADVISED / OPTED FOR ARBITRATION PENDING FOR REDRESSAL WITH EXCHANGE NO. OF ARBITRATION FILED BY CLIENTS DECIDED BY THE ARBITRATORS DECIDED BY ARBITRATORS IN FAVOUR OF THE CLIENTS PENDING FOR REDRESSAL WITH ARBITRATORS
NO. OF AWARDS IN FAVOUR OF CLIENTS NO. OF AWARDS IMPLEMENTED NO. OF AWARDS APPEALED NO. OF CASES PENDING FOR REDRESSAL AT THE END OF PERIOD
SN NAME OF THE ARBITRATOR NO. OF AWARDS PASSED FILED BY TM* FILED BY CLIENTS* PENDING FOR MORE THAN 6 MONTHS FOR MORE THAN 3 MONTHS BUT LESS THAN 6 MONTHS
NO. OF AWARDS IN FAVOUR OF CLIENTS NO. OF AWARDS IMPLEMENTED NO. OF AWARDS APPEALED NO. OF CASES PENDING FOR REDRESSAL AT THE END OF PERIOD
SN NAME OF THE ARBITRATOR NO. OF AWARDS PASSED TM CLIENTS * DISMISSED PENDING FOR MORE THAN 6 MONTHS FOR MORE THAN 3 MONTHS BUT LESS THAN 6 MONTHS
NO. OF AWARDS IN FAVOUR OF CLIENTS NO. OF AWARDS IMPLEMENTED NO. OF AWARDS APPEALED NO. OF CASES PENDING FOR REDRESSAL AT THE END OF PERIOD
SN NAME OF THE ARBITRATOR NO. OF AWARDS PASSED FILED BY TM* FILED BY CLIENTS* PENDING FOR MORE THAN 6 MONTHS FOR MORE THAN 3 MONTHS BUT LESS THAN 6 MONTHS
NO. OF AWARDS IN FAVOUR OF CLIENTS NO. OF AWARDS IMPLEMENTED NO. OF AWARDS APPEALED NO. OF CASES PENDING FOR REDRESSAL AT THE END OF PERIOD
SN NAME OF THE ARBITRATOR NO. OF AWARDS PASSED FILED BY TM* FILED BY CLIENTS* PENDING FOR MORE THAN 6 MONTHS FOR MORE THAN 3 MONTHS BUT LESS THAN 6 MONTHS
NO. OF AWARDS IN FAVOUR OF CLIENTS NO. OF AWARDS IMPLEMENTED NO. OF AWARDS APPEALED NO. OF CASES PENDING FOR REDRESSAL AT THE END OF PERIOD
SN NAME OF THE ARBITRATOR NO. OF AWARDS PASSED TM CLIENTS * DISMISSED PENDING FOR MORE THAN 6 MONTHS FOR MORE THAN 3 MONTHS BUT LESS THAN 6 MONTHS
SN NAME OF THE TRADING MEMBER REGISTRATION NO. NO. OF  COMPLAINTS RECEIVED ACTION AGAINST TM, ITS SUB-BROKERS/AUTHORIZED PERSON AND EMPLOYEES TOGETHER
NO. OF PENAL ORDERS ISSUED## MONETARY PENALTIES LEVIED (RS. LAKHS)## NO. OF ARBITRATION  AWARDS ISSUED AGAINST
FOR COMPLAINTS FOR OTHERS FOR COMPLAINTS FOR OTHERS
SN NAME OF THE TRADING MEMBER REGISTRATION NO. NO. OF  COMPLAINTS RECEIVED ACTION AGAINST TM, ITS SUB-BROKERS/AUTHORIZED PERSON AND EMPLOYEES TOGETHER
NO. OF PENAL ORDERS ISSUED## MONETARY PENALTIES LEVIED (RS. LAKHS)## NO. OF ARBITRATION  AWARDS ISSUED AGAINST
FOR COMPLAINTS FOR OTHERS FOR COMPLAINTS FOR OTHERS
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DETAILS OF COMPLAINT STATUS OF COMPLAINT
SN DATE OF RECEIPT NAME OF CLIENT NAME OF THE COMPANY TYPE OF COMPLAINT* STATUS** STATUS DATE# DATE OF FILING ARBITRATION NAME OF ARBITRATOR(S) DATE OF ARBITRATION AWARD
*Type of Complaints
Type Description
** Status
Type Description
SN NAME OF THE COMPANY IF SUSPENDED, DATE OF SUSPENSION NO. OF SHAREHOLDERS NO OF COMPLAINTS
RECEIVED REDRESSED THROUGH EXCHANGE NON-ACTIONABLE ADVISED / OPTED FOR ARBITRATION PENDING FOR REDRESSAL WITH EXCHANGE
SN NAME OF THE COMPANY IF SUSPENDED, DATE OF SUSPENSION NO. OF SHAREHOLDERS NO OF COMPLAINTS
RECEIVED REDRESSED THROUGH EXCHANGE NON-ACTIONABLE ADVISED / OPTED FOR ARBITRATION PENDING FOR REDRESSAL WITH EXCHANGE
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