Mode of filing the complaint with Listed Company/RTA:

Investor can approach the Listed Company/RTA at the designated Investor Grievance e-mail ID of the Listed Company/RTA. The Listed Company/RTA will strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance

Mode of filing the complaint with stock exchanges

i. SCORES 2.0 (a web based centralized grievance redressal system of SEBI) (https://scores.sebi.gov.in)

Two level review for complaint/grievance against RTA:

• First review done by Designated body/Exchange
• Second review done by SEBI

ii. Emails to designated email IDs of Exchange

https://smartodr.in/intermediary/login

2. If investor is not satisfied with response of Market Participant, he/she has either of the following 2 options:

i. May escalate the complaint on SEBI SCORES portal.
ii. May file a complaint on SMARTODR portal for its resolution through online conciliation and arbitration.

3. Upon receipt of complaint on SMARTODR portal, the relevant MII will review the matter and endeavor to resolve the matter between the Market Participant and investor within 21 days.

4. If the matter could not be amicably resolved, then the matter shall be referred for conciliation.

5. During the conciliation process, the conciliator will endeavor for amicable settlement of the dispute within 21 days, which may be extended with 10 days by the conciliator with consent of the parties to dispute.

6. If the conciliation is unsuccessful, the investor may request to refer the matter for arbitration.

7. The arbitration process to be concluded by arbitrator(s) within 30 days, which is extendable by 30 days with consent of the parties to dispute.