Investor Grievance Redressal Mechanism-Guidelines
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Date |
Issuer |
Subject |
Topic |
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03-06-2022 |
NSE |
Investor Grievance Redressal Mechanism-Guidelines |
Investor Grievance |
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Highlights of NSE Circular dated June 03, 2022 Investor Grievance Redressal Mechanism-Guidelines NSE has advised Trading Members to take the following measures in order to strengthen their process of handling Investors Grievances:
a) Multiple modes of communication should be made available to the investors, with a view to ensure seamless process in raising the complaints. b) Strengthen the complaint redressal mechanism by hiring qualified / dedicated trained resource, impart adequate trainings for better handling and suitable closures. c) Investor Grievances escalation matrix to be explicitly displayed on the website and mobile application under the ‘Contact Us’ page. The ‘Contact Us’ link should be placed on the index/homepage of the website. Upon clicking the same, it should display the detail as shared in the Annexure A. This provision shall come into effect from July 01, 2022. d) Escalation matrix should also be a part of the complaint redressal communications between the Trading Members and Investors e) Acknowledgment should be sent to the investor, once the grievance is received / escalated / resolved and should state the Service ticket / Complaint reference number in it f) Members, who are also a Depository Participant, shall provide separate escalation matrix for Demat related queries. In case they have a common grievance handling unit, they may display the common Escalation matrix as stated under point 'C’. g) Enhance Investor education vide educational videos, webinars etc. h) Provide regular updates to investors on changes in rules/regulations through support portals. i) Details of services provided to clients may be displayed on homepage of the website. j) Automate procedural requirements by online submission and acceptance of forms & KYC related matters k) Regular system audits to reduce the occurrence of technical issues and downtimes
NSE Circular no. NSE/ISC/52517 dated June 03, 2022 is enclosed herewith for your ready reference.
In case of any clarification or assistance required in implementation of this circular you may contact Vandana Vania– van...@secmark.in / 9223303460 Kaushik Jethwa – kau...@secmark.in / 9870210171 |
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Contact: 9869265949, 9870210171, in...@secmark.in, kau...@secmark.in
