FAQs
- Complaint not pertaining to investment in securities market
- Anonymous Complaints
- Incomplete or un-specific complaints
- Allegations without supporting documents
- Suggestions or seeking guidance/explanation
- Not satisfied with trading price of the shares of the companies
- Non-listing of shares of private offer
- Disputes arising out of private agreement with companies/intermediaries
- Matter involving fake/forged documents
- Complaints on matters not in SEBI purview
- Complaints about any unregistered/ un-regulated activity
- Complaints relating to cases pending in a court or subject matter of quasi-judicial proceedings, disputes pending with Online Dispute Resolution mechanism under the aegis of Market Infrastructure Institutions [as per SEBI master circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145 dated July 31, 2023] etc.
- Complaints which are in the nature of market intelligence i.e., information given to SEBI regarding violation of any of the provisions of the securities laws. Such complaints can be lodged on (mi.sebi.gov.in).
- Complaints against the companies which are unlisted/delisted, placed on the Dissemination Board of Stock Exchange.
- Complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings / companies under liquidation.
- Complaints against the companies where the name of company is struck off from Registrar of Companies (RoC) or a Vanishing Company as per list published by Ministry of Corporate Affairs (MCA).
- Complaints relating to cases pending in a court or subject matter of quasi-judicial proceedings, disputes pending with Online Dispute Resolution mechanism under the aegis of Market Infrastructure Institutions [as per SEBI master circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145 dated July 31, 2023] etc.
- Complaints against companies, falling under the purview of other regulatory bodies viz. The Reserve Bank of India (RBI), The Insurance Regulatory and Development Authority of India (IRDAI), the Pension Funds Regulatory and Development Authority (PFRDA), Competition Commission of India (CCI), etc., or under the purview of other ministries viz., MCA, etc.
- As per the Section 125 of Companies Act, 2013 unclaimed dividends, shares in respect of which dividend has not been paid or claimed, matured debentures, sale proceeds of fractional shares arising out of issuance of bonus shares, merger and amalgamation, redemption amount of preference shares, which are remaining unpaid or unclaimed for seven or more years are transferred to Investor Education and Protection Fund (IEPF) under Ministry of Corporate Affairs. Complainants can claim the above from IEPF Authority directly as the same is outside the purview of SEBI.
Therefore, complaints pertaining to the claim of shares, unclaimed dividends, matured debentures, sale proceeds of fractional shares arising out of issuance of bonus shares, merger and amalgamation, unpaid or unclaimed redemption amount of preference shares, etc., that are transferred to IEPF cannot be dealt on SCORES.
The relevant Regulators/Authorities for some of the grievances which are not dealt by SEBI are given below:
Grievances pertaining to | Regulators/Authorities | Website |
1. Banks deposits and banking 2. Fixed Deposits with Non-Banking Financial Companies (NBFCs) and other matters pertaining to NBFCs 3. Primary Dealers
| Reserve Bank of India (RBI)/ Banking Ombudsman | |
1. Deposits u/s 73 & 74 of Companies Act, 2013 2. Unlisted companies 3. Mismanagement of companies, financial performance of the company, Annual General Meeting, etc. 4. Nidhi Companies 5. Companies struck off from RoC 6. Vanishing Company. 7. All matters as delegated under overriding powers under Companies Act 2013 8. Sick companies or a company where a moratorium order is passed in winding up 9. Companies under liquidation | Ministry of Corporate Affairs(MCA)
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Insurance Companies /Brokers/ Agents/products and Service | Insurance Regulatory and Development Authority of India (IRDAI) |
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Pension funds | Pension Fund Regulatory and Development Authority (PFRDA) | |
Monopoly and anti-competitive Practices | Competition Commission of India (CCI) | http://www.cci.gov.in |
Housing Finance Companies | National Housing Bank (NHB) | |
Companies where insolvency proceedings has started | Insolvency And Bankruptcy Board Of India | |
Complaints against suspended companies | Respective Stock Exchange |
If any complaint filed on SCORES beyond the limitation period specified above, SEBI may reject such complaint.
- Name
- Address
- E-mail Address
- PAN
- Mobile Number
- Date of Birth
- Fetching Registration Details from the KYC Registration Agency (KRA) database. (or)
- Filling the registration form
b. In such cases, KRAs issue PAN exempted KYC Registration Number (PEKRN) to the following PAN exempted investors in order to align with the uniform KYC process in securities market and provide a unique identifier to such investors:
- Transactions carried out on behalf of Central Government
- Transactions carried out on behalf of State Government
- Court appointed officials
- Court receiver
- UN Entity/Multilateral Agency Exempt from Paying Tax in India
- Official liquidator
- Sikkim residents
- Investment in Mutual Funds upto Rs 50,000 per annum.
However, in order to ease the registration process, it is not mandatory for NRIs/OCI to enter Indian Mobile Number and getting it verified while filling the registration form. The e-mail ID of the complainant however, shall be verified using OTP.
- By entering User ID set by complainant while registering on SCORES
- By entering registered Mobile Number.
- By entering registered E-mail ID.
ii. Complainant have to enter the OTP sent to the Mobile Number/ E-mail ID as well as password to access the ‘Investor Dashboard’
Complainant can upload up to 10 files cumulatively up to a maximum size of 20 MB. In case, complainant selects multiple sub-categories, the cumulative size of documents acceptable would also be 20 MB.
- The Complaints lodged on SCORES against any Entity will be automatically forwarded to the concerned Entity through SCORES for resolution and submission of Action Taken Report. Entities shall resolve the Complaint and upload the ATR on SCORES within 21 calendar days of receipt of the Complaint. The ATR of the entity will be automatically routed to the complainant.
- The Complaint will also be simultaneously forwarded through SCORES to the relevant Designated Body. The Designated Body will have to ensure that the concerned Entity submits the ATRs within the stipulated time of 21 calendar days.
- If the complainant is not satisfied with the ATR submitted by the entity, the complainant can request for a review of the resolution provided by the entity within 15 calendar days from the date of the ATR. The complaint will be kept pending for 15 calendar days’ post submission of ATR awaiting review from the complainant.
- In case the complainant has requested for a review of the resolution provided by the entity or the entity has not submitted the ATR within the stipulated time of 21 calendar days, the Designated Body will take up the first review with the concerned Entity, wherever required and submit the ATR to the complainant within 10 Calendar days
- If the complainant is not satisfied with the resolution provided during first level review by the Designated Body, the complainant can request for a review of the resolution provided by the Designated Body within 15 calendar days from the date of the ATR. The complaint will be kept pending for 15 calendar days awaiting review from the complainant.
- In case the complainant has requested for a review of the resolution provided by the Designated Body or the concerned Designated Body has not submitted the ATR within 10 calendar days, SEBI will take up the second review with the Designated Body or/and the concerned entity.
Kindly note that complainant will also receive e-mail, SMS and WhatsApp notifications on the registered e-mail ID and registered Mobile Number, whenever Entity/ Designated Bodies/SEBI seeks clarification, submits ATR, etc.
Complainant can click on the complaint registration number and view the entire action history. Click of the ‘Provide Clarification’ button below to provide the clarification. Complainant shall provide the clarification within the stipulated time so as to ensure that all the timelines are adhered to strictly.
Complainant will also receive e-mail, SMS and WhatsApp notifications on the registered e-mail ID and registered Mobile Number, whenever Entity/ Designated Bodies/SEBI seeks clarification.
- Complainant is satisfied with the resolution provided by the concerned Entity or the Designated Body (at first level review) and does not choose to review the complaint within the 15 calendar days’ period from the date of receipt of ATR from the concerned Entity or the Designated Body in case of first level review.
- SEBI Dealing Officer disposes the complaint post second level review on receipt of satisfactory ATR from concerned entity or/and Designated body (or) in cases where complainant raises issues, which require adjudication on any third party rights, on questions of law or fact or which is in the nature of a lis between parties
- Complainants opts to withdraw their complaint by opting for Online Dispute Resolution mechanism on smartodr.in.
Complainant will also receive e-mail, SMS and WhatsApp notifications on the registered e-mail ID and registered Mobile Number upon disposal of the complaint on SCORES.
- Substantiate their allegations with documentary proofs
- Avail Online Dispute Resolution mechanism
- Accept SEBI’s lack of jurisdiction in contractual disputes, sub-judice matter etc.
SCORES’ credential of the complainant including PAN and e-mail shall also be blocked by SEBI. The chronic complainant will not be able to login into SCORES, file any fresh complaint or check the status of previously filed complaint.
Complainant can also visit their nearest Investor Service Centres (ISCs) of Stock Exchanges, in case you need any assistance for availing the ODR mechanism. The details of ISCs of NSE and BSE are available on their respective websites at https://www.bseindia.com/static/about/contact_us.aspx?expandable=5 and https://www.nseindia.com/contact/complainant-services-centre . The same is also available on SEBI investor website at https://investor.sebi.gov.in/iscs_contacts.html.
The toll free helpline service will answer to queries on
- Lodging of complaints on SCORES
- Knowing the status of complaint(s)
- Other matters related to complaints
- The toll free helpline service is available to investors from all over India and is in 8 languages viz. English, Hindi, Marathi, Gujarati, Tamil, Bengali, Telugu, Kannada. The toll free helpline service is available on all days from 9:00 a.m to 6:00 p.m (excluding declared holidays).
http://www.sebi.gov.in/cms/sebi_data/attachdocs/1315458767512.pdf
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doFaq=yes
https://investor.sebi.gov.in/
Information given to SEBI regarding violation of any of the provisions of the securities laws are in nature of Market Intelligence. The information provided on such matters will be treated as confidential market intelligence and not as a complaint on SCORES. This information will be analysed and if found necessary, further action will be taken. The status of information cannot be disclosed as SEBI conducts the examinations confidentially in a holistic manner. SEBI will neither confirm nor deny the existence of any examinations as the same may be a price sensitive information. Any regulatory actions taken by SEBI are published at SEBI website at www.sebi.gov.in.
Complainant can give their Market Intelligence input only on Market Intelligence portal (mi.sebi.gov.in).
However, Company name, State and Primary e-mail address cannot be updated by the entities themselves. To update these fields, the entities may send an e-mail to scores@sebi.gov.in with a request to change the same.
- Click on Sign in/ Sign up. Entities should sign in by entering the user ID.
- The user ID will be verified through OTP verification of the registered e-mail ID of the entity.
- Enter the password
- Entities can access their ‘Entity Dashboard’ in which all the complaints lodged against the entity can be accessed.
Label | Meaning |
Pending Auto Assigned Complaints | The complaints lodged on SCORES are automatically assigned to the concerned Entities. All such complaints are available in this bucket. Entities are required to submit Action Taken Report (ATR) to the complainant within 21 Calendar days |
Pending First level Review complaints | First Level review complaints forwarded by the Designated Bodies to resubmit the ATR. First level review complaints here include: a. In case complainant is not satisfied with the ATR submitted by the entity and sought for first level review (or) b. Entity fails to submit the ATR within 21 calendar days. |
Pending SEBI Review complaints | Second Level review complaints forwarded by SEBI to resubmit the ATR. Second level review complaints here include: a. In case complainant is not satisfied with the ATR submitted by the Designated Body for first level review and sought for second level review (or) b. Designated Body fails to submit the ATR within 10 calendar days for first level review. |
CPGRAMS complaints | Complaints received through Centralized Public Grievance Redress and Monitoring System (CPGRAMS) of Department of Administrative Reforms and Public Grievances. The Action Taken Report submitted in these complaints will be routed to SEBI. |
CPGRAMS Appeals | Appeals against the closure of the complaints received through CPGRAMS by SEBI and forwarded by SEBI/ Designated Body for providing revised Action Taken Report. |
Reports | Entities can generate their customized reports. |
My Profile | Registration details of the Entity. |
- Complainant is satisfied with the resolution provided by the concerned Entity or the Designated Body (at first level review) and does not choose to review the complaint within the 15 calendar days’ period from the date of receipt of ATR from the concerned Entity or the Designated Body in case of first level review
- SEBI Dealing Officer disposes the complaint post second level review on receipt of satisfactory ATR from concerned entity or/and Designated body (or) in cases where complainant raises issues, which require adjudication on any third party rights, on questions of law or fact or which is in the nature of a lis between parties
- Complainants opts to withdraw their complaint by opting for Online Dispute Resolution mechanism on smartodr.co.in.
Therefore, Designated Bodies may provide generic e-mail ID for taking SCORES authentication
- Click on Sign in/ Sign up. Designated Bodies should sign in by entering the user ID
- The user ID will be verified through OTP verification of the registered e-mail ID of the entity
- Enter the password
- Designated Bodies can access their ‘Designated Body Dashboard’ in which all the complaints can be accessed.
Label | Meaning |
Total Pending Complaints | All the complaints can be viewed in this dashboard. |
Pending Complaints for Monitoring | Complaints that are auto assigned to the concerned entities. The role of Designated Body is to monitor timely submission of ATR by the concerned Entity. |
Pending First Level Review complaints | First level review complaints include: a. In case complainant is not satisfied with the ATR submitted by the entity and sought for first level review (or) b. Entity fails to submit the ATR within 21 calendar days. |
Pending SEBI Review Complaints | Second Level review complaints forwarded by SEBI to resubmit the ATR through SCORES. Second level review complaints here include: a. In case complainant is not satisfied with the ATR submitted by the Designated Body for first level review and sought for second level review (or) b. Designated Body fails to submit the ATR within 10 calendar days for first level review. |
CPGRAMS complaints | Complaints received through Centralized Public Grievance Redress and Monitoring System (CPGRAMS) of Department of Administrative Reforms and Public Grievances
The complaints are automatically routed to the concerned entity. Designated Bodies to ensure that the entities submit ATR within 21 calendar days. The Action Taken Report submitted by entity in these complaints will be routed to SEBI.
In case the entity fails to submit the ATR within 21 Calendar Days, the complaint will be auto-escalated to the Designated Bodies. The Action Taken Report submitted by Designated Body in these complaints will be routed to SEBI. |
CPGRAMS appeals | Appeals against the closure of the complaints received through CPGRAMS by SEBI and forwarded by SEBI for providing revised Action Taken Report. |
Reports | Designated Body can generate their customized reports. |
My profile | Registration details of the Designated Body. |
Kindly note that complainant will also receive e-mail, SMS notifications on the registered e-mail ID and registered Mobile Number, whenever Designated Body seeks clarification.
- Complainant is satisfied with the resolution provided by the concerned Entity or the Designated Body (at first level review).
- Complainant does not choose to review the complaint within the 15 calendar days’ period from the date of receipt of ATR from the concerned Entity or the Designated Body in case of first level review.
- SEBI Dealing Officer disposes the complaint post second level review on receipt of satisfactory ATR from concerned entity or/and Designated body (or) in cases where complainant raises issues, which require adjudication on any third party rights, on questions of law or fact or which is in the nature of a lis between parties.
- Complainant opts to withdraw their complaint by opting for Online Dispute Resolution mechanism on smartodr.co.in.