1. Vision:

Towards making Indian Securities Market – Transparent, Efficient, & Investor-friendly by providing a safe, reliable, transparent, and trusted record-keeping platform for investors to hold and transfer securities in dematerialized form.

2. Mission

• To hold securities of investors in dematerialised form and facilitate its transfer while ensuring safekeeping of securities and protecting the interest of investors.
• To provide timely and accurate information to investors with regard to their holding and transfer of securities held by them.
• To provide the highest standards of investor education, investor awareness, and timely services to enhance Investor Protection and create awareness about Investor Rights.

3. Details of business transacted by the Depository and Depository Participant (DP)

A Depository is an organization that holds securities of investors in electronic form. Depositories provide services to various market participants – Exchanges, Clearing Corporations, Depository Participants (DPs), Issuers, and Investors in both primary and secondary markets. The depository carries out its activities through its agents, known as Depository Participants (DP). Details are available on the link CDSL https://www.cdslindia.com/DP/dplist.aspx

4. Description of services provided by the Depository through Depository Participants (DP) to investors

Basic Services

Depositories provide special services like pledge, hypothecation, internet-based services, etc., in addition to their core services and these include:

Details of Grievance Redressal Mechanism

The Process of investor grievance redressal

Guidance pertaining to special circumstances related to market activities: Termination of the Depository Participant

Dos and Don’ts for Investors

For Do’s and Don’ts please refer to the link.

Rights of investors

For rights, please refer to the link.

Responsibilities of Investors

For responsibilities, please refer to the link.

Code of Conduct for Participants

For responsibilities, please refer to the link.

Step-by-Step Procedure for Filing a Complaint via Designated Email ID

If you are facing any issue related to your account, services, or transactions, you can lodge your complaint directly by sending an email to the designated grievance redressal officer at: asnani@asnanionline.com

Step 1: Drafting the Complaint Email
In your complaint email, clearly mention the following mandatory details to help the grievance redressal team process your request efficiently:

Mandatory Details to be Included:

1. Full Name (as registered)
2. Client Code / Demat Account Number
3. PAN Number
4. Registered Email ID
5. Mobile Number
6. Detailed description of the issue or complaint
7. Relevant documents (e.g., contract note, ledger, transaction screenshot) – attach as PDF or JPEG (max size: 2 MB per file)

Step 2: Send the Complaint
• Once the email is drafted with all necessary information and attachments, send it to: asnani@asnanionline.com
• You will receive an auto-acknowledgement (if configured) or a manual acknowledgement confirming that your complaint has been received.

Step 3: Complaint Tracking & Acknowledgement
• The grievance team will review your complaint and provide a Complaint Reference Number (CRN) for tracking purposes.
• This reference number should be quoted in all future communications.

Step 4: Resolution Timeline
• As per regulatory norms, complaints will be acknowledged within 1–2 working days.
• A resolution should be provided within 7 working days, depending on the nature and complexity of the issue.
• If further time is needed, an interim update will be shared with you.

Step 5: Escalation (if required)
If your complaint is not resolved to your satisfaction within the stipulated time, or if you do not receive a timely response, you may escalate the matter:
• To a higher authority within the organization, typically the Compliance Officer (details may be available on the company website).
• Or, file a formal complaint on the SEBI SCORES Portal: https://scores.gov.in

How to Check the Status of Your Complaint

You can check the progress of your complaint using any of the following methods:

1. Email Follow-up
   Reply to the same email thread quoting your Complaint Reference Number and request an update.
2. Telephonic Follow-up
   Contact the customer support or grievance redressal officer by calling on contact number 9680360602 or other numbers provided on the official website.
3. SEBI SCORES Portal (if escalated)
   If the complaint is escalated to SEBI:
   • Log in to https://scores.sebi.gov.in/
   • Use your complaint reference number to check status under “View Complaint Status”.

Important Notes:
• Ensure your contact details are updated with the intermediary.
• Retain all email communications for future reference.
• Attach only non-editable formats (PDF/JPEG) to prevent document tampering.

How to File Complaints on SCORES (SEBI Complaints Redress System)

Investors facing issues or grievances related to securities markets (such as problems with brokers, listed companies, mutual funds, etc.) can seek redressal by lodging a complaint on SCORES — an online platform developed by SEBI.
The process of filing complaints on SCORES is designed to be easy, transparent, and time-bound.

A. Easy & Quick Process
a. Register on SCORES Portal

1. Visit the official SCORES website: https://scores.sebi.gov.in/
2. Click on the ‘Register Here’ link for new users.
3. Fill in the required registration details including your personal information and valid contact credentials.
4. Create a login ID and password.
5. An activation link will be sent to your registered email address. Activate your account to complete the registration.
6. After activation, you can log in and submit your complaint using the “Complaint Registration” option.

Note: Before approaching SCORES, investors are required to first lodge their complaint directly with the concerned entity (e.g., broker, company, RTA). If no resolution is received within 30 days, the investor may escalate the matter to SCORES.

B. Mandatory Details for Filing Complaints on SCORES
When filing a complaint, the following mandatory details must be provided for effective processing:

1. Name
2. Permanent Account Number (PAN)
3. Address
4. Mobile Number
5. Email ID

These details are required to ensure proper identification, communication, and tracking of the complaint.
Additionally, investors should provide:
• Details of the grievance
• Name of the entity against whom the complaint is being lodged
• Supporting documents in PDF/JPEG format (max size 2 MB per file)

C. Benefits of Filing Complaints on SCORES

i. Effective Communication
• The SCORES platform provides a centralized communication channel between investors and market intermediaries/regulators.
• Investors can track the status of their complaint online using the complaint reference number.
• All updates are communicated via registered email ID.

ii. Speedy Redressal of Grievances
• SCORES mandates that entities respond to investor complaints in a time-bound manner.
• If the response is unsatisfactory, SEBI may initiate further regulatory action against the concerned entity.
• This mechanism promotes investor confidence and ensures accountability across market participants.

SCORES is administered by SEBI, under its mandate to protect the interests of investors and to promote fair practices in the securities market, in accordance with the SEBI Act, 1992 and related regulations.

Important Links
• SCORES Portal: https://scores.sebi.gov.in/
• SEBI Investor Charter: https://www.sebi.gov.in
• CDSL Website: https://www.cdslindia.com/

Investor Complaints Data

Data for every month ending

Trend of monthly disposal of complaints

Trend of annual disposal of complaints