Investor complaints against issuers may, for example, relate to:

(a) Public/Further Offerings: Complaint regarding non-receipt of:
(i) Allotment advice;
(ii) Securities purchased through an Initial Public Offer;
(iii) Refund order;
(iv) Interest on delay redemption/refund amount;
(v) Sales proceeds of fractional entitlement;
(vi) Securities purchased through a rights offer.
(b) Corporate Actions: Complaint regarding non-receipt of:
(i) Dividend;
(ii) Interest on Debentures, Bonds or other debt instruments;
(iii) Securities on account of a bonus, de-merger, merger, stock split;
(iv) Redemption amount.
(c) Transfer of Securities: Complaint regarding non-receipt of:
(i) Securities after dematerialization;
(ii Securities after transfer/transmission;
(iii) Duplicate certificate relating to securities.
(d) Miscellaneous: Complaint regarding non-receipt of copy of the Annual report or AGM/EGM notice.
July 2010