NOTICE
June 29, 2011
CSE/Notices/SEBI/2011/003
All listed companies are
hereby informed that the Exchange has received a Circular from SEBI vide Ref.
No.CIR/OIAE/2/2011, dated June 03, 2011 regarding processing of investor
complaints against listed companies in SEBI Complaints Redress System. The
contents of the said Circular are reproduced hereunder for information and
perusal of the listed companies.
Quote: -
CIR/OIAE/2/2011 June 3, 2011
All Companies whose
securities are listed on Stock Exchanges
(through Stock
Exchanges)
All recognized Stock
Exchanges
Dear Sir/Madam,
Sub: Processing of investor complaints against listed companies in SEBI
Complaints Redress System (SCORES)
1. SEBI has commenced
processing of investor complaints in a centralized web based complaints redress
system ‘SCORES’. The salient features of this system are:
• Centralised
database of all complaints,
• Online movement of
complaints to the concerned listed companies,
• Online upload of
Action Taken Reports (ATRs) by the concerned companies, and
• Online viewing by
investors of actions taken on the complaint and its current status.
2. All complaints
pertaining to companies will be electronically sent through SCORES at http://scores.gov.in/Admin. The companies are required to view the
complaints pending against them and submit ATRs alongwith supporting documents
electronically in SCORES. Failure on the part of the company to update the ATR
in SCORES will be treated as non redressal of investor complaints by the
company. Submission of physical ATR will not be accepted for complaints lodged
in SCORES. For complaints forwarded to companies on or
before 20/05/2011,
physical ATRs should be submitted.
3. The user id and password for logging into
SCORES at http://scores.gov.in/Admin
are being communicated separately to companies against whom
complaints are lodged in SCORES. Page 2 of 3
4. In case the
complaints are processed by the Registrar to Issue and Share Transfer Agent
(RTI/STA) on behalf of the company, the company should indicate in the enclosed
Annexure whether they require the facility to forward complaints to the
RTI/STA, so that the ATRs can be uploaded by them. In such cases, the name of
the RTI/STA, the name of the Compliance Officer and email id should be
furnished, so that the user id and password can be provided accordingly.
Further, failure on the part of the RTI/STA to update the ATR in SCORES will be
treated as non redressal of investor complaints by the company.
5. This Circular supercedes the Circular
No.OIAE/Cir-1/2009 dated November 25, 2009
so far as it relates to Annexure-C to the said Circular wherein the companies
had to submit physical ATRs on the complaints forwarded by SEBI to them.
6. All companies
whose securities are listed on Stock Exchanges are advised to comply with the
aforesaid Circular.
7. The Stock
Exchanges are accordingly advised to bring the provisions of this Circular to
the notice of all the companies whose securities are listed in the exchange and
also to disseminate the same on the website.
8. This Circular is
issued in exercise of powers conferred under Section 11(1) of the Securities
and Exchange Board of India Act, 1992 to protect the interests of investors in
securities and to promote the development of, and to regulate the securities
market.
9. This Circular is
available on SEBI website at www.sebi.gov.in. Yours faithfully,
G.P.Garg
Chief General Manager
Office of Investor Assistance and Education
Tel No.022-26449400
Email id - gpg@sebi.gov.in
ANNEXURE
AUTHENTICATION FOR SCORES
1. Name of the Company:
2. Whether complaints processed through: □
RTI □ Inhouse
3. If through RTI, please indicate the
following:
Name of the RTI:
Whether complaints can be passed to them
□manually by the company □directly
to RTI
4. The details of the concerned person of the
company to whom User id and password will be sent:
Name :
Email id :
Telephone No. :
Fax No. :
Place: Signature:
Date: Name:
Designation:
Company Seal:
Note: A scanned copy can be sent by email to scores@sebi.gov.in followed by hard copy
Unquote:-
All listed companies are requested to
take note of the above and act accordingly.
MAV Raju
DGM (HR & Admn.)