VISION & MISSION

Vision

To create the best value for our clients through technology and personalized services.

Mission

To be a trusted investment partner with a client centric approach enabling wealth creation for the society.

Services

Equity & Equity Derivatives

Currency Derivative

Mobile trading Services

Commodity Derivative

Depository Participants

Initial Public Offerings [IPO]

Mutual Fund distributors

New Pension System(NPS)

e-Insurance

Corporate Fixed Deposits, Bonds & Debentures

Securities Lending and Borrowings(SLB)

Grievance Redressal Mechanism of our Company

• Grievance, if any that may arise shall be resolved in a proper and time bound manner with detailed advice to the client/investor. In case the resolution needs time, an interim response acknowledging the grievance/complaint shall be issued.
• Our Company has created a dedicated e-mail ID [email protected], in pursuance of SEBI / Exchanges guidelines, for effective and timely redressal of client complaints. The said e-mail Id is monitored by the Compliance Officer.
• The aforesaid Id is communicated to each and every client using various modes like Know Your Client Form, Welcome Letters, Contract Notes, SPA’s official website
• A client can forward his / her complaint or grievance by any of the following ways:
  • By sending an e-mail to the aforesaid Id
  • By sending a letter to any of the offices / branches of our company
  • By sending fax to any of the offices / branches of our company
  • By verbal communication on personal visit or over phone.
• If any complaint or grievance is received by any branch of our company and the same is recorded in the branch Complaint Register and a copy of the complaint is forwarded to the HO within one working day from the date of receipt of the complaint. HO then forwards the same complaint to the Compliance Department within one working day from the date of receipt of the complaint at HO.
• If the Compliant can be resolved at branch level, the same is resolved and recorded in the branch Complaint Register and intimation to that effect is sent to the HO within one working day from the date of resolving the complaint. HO then forwards the said intimation to the Compliance Department, which in turn inscribes the same in the Master Complaint Register and marks the complaint as Closed.
• If any complaint or grievance is received at HO, the same if forwarded to the Compliance Department within one working day from the date of receipt of the complaint.
• The Compliance Department records the details of the complaint in the Master Complaint Register.
• The Compliance Department then collects the necessary details / information for the complaints which have or could not be resolved at branch / HO level. And after thorough investigation in the matter, the necessary instructions are given to the HO or concerned branch for resolution of the matter. Once the complaint is replied / resolved, the details there of are inscribed in the Master Complaint Register.
• Each and every complaint complaints are recorded and resolved within 21 days from the date of its receipts.

Escalation Matrix

Grievance Redressal Mechanism of Exchange

1. Investor can make compliant with Stock Exchange through SCORES 2.0 (a web based centralized grievance redressal system of SEBI) (https://scores.sebi.gov.in)

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

2. Emails to designated email IDs of Exchange

Online Dispute Resolution (ODR) platform for online Conciliation and Arbitration:

If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

Steps to be followed in ODR for Review, Conciliation and Arbitration

• Investor to approach Market Participant for redressal of complaint
• If investor is not satisfied with response of Market Participant, he/she has either of the following 2 options:
  • May escalate the complaint on SEBI SCORES portal
  • May also file a complaint on SMARTODR portal for its resolution through online conciliation and arbitration.
• 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.
• If the matter could not be amicably resolved, then the matter shall be referred for conciliation.
• 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.
• If the conciliation is unsuccessful, then the investor may request to refer the matter for arbitration.
• 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.

Please quote your Service Ticket/Complaint Ref No. while raising your complaint at SEBI SCORES/Exchange portal.