Client Relation Officer for Queries and Complaints

Client Relation Officer for Queries and Complaints:

Name:	Mrs. Monika Kumawat
Designation:	Compliance Officer
Address:	RBSA Investment Manager LLP, 912, Venus Atlantis Corporate Park, Anand Nagar Main Road, Prahlad Nagar, Ahmedabad - 380015.
Telephone No.	079-40506037
Email Id:	compliance@rbsainvest.in

The aforesaid personnel of the Portfolio Manager shall attend and address any Client query/concern/grievance at the earliest. The Compliance Officer shall redress the complaint within a reasonable time period (i.e. 21 calendar days). If the investor/client is satisfied with the redressal, the complaint stands disposed of. If the Client is not satisfied with the redressal, can escalate the same with the SEBI through SCORES (SEBI Complaints Redress System) platform.

SEBI Complaints Redress System (Scores)

Grievance Redressal through SCORES Portal

Client/Investor can approach SEBI through SCORES at https://scores.sebi.gov.in, if not satisfied with the redressal as mentioned above. Complaints shall be lodged on SCORES within one year from the date of cause of action. On receipt of complaints through SCORES, SEBI takes up the matter with the concerned market intermediary. The Portfolio Manager is required to submit the Action Taken Report (ATR) within 21 calendar days in SCORES. If the Client is satisfied with the redressal and/or has not reverted on Scores within 15 days, then the complaint stands disposed of and shall be treated as closed at the respective stage in SCORES. If the Client is not satisfied with the redressal, SEBI shall seek clarification from the Portfolio Manager. Once the SEBI receives clarification from the Portfolio Manager, they shall review the same. If satisfied, SEBI shall dispose of the complaint. If not satisfied, SEBI shall advise the client to opt for the ODR (Online Dispute Resolution) platform.

Scores Portal Link: https://scores.sebi.gov.in

Online Dispute Resolution (ODR)

Grievance Redressal through ODR (Online Dispute Resolution) Platform

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SEBI has established a common Online Dispute Resolution Portal (“ODR Portal”) which harnesses online conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market.

Dispute initiation on the ODR Portal by the client in two cases:

If the grievance is not resolved by the Portfolio Manager (Stage 1) or during subsequent escalations (Stage 2 -SCORES) OR
Directly, if the grievance lodged with the concerned Portfolio Manager is not satisfactorily resolved (Stage 1) or at any stage of the subsequent escalations (Stage 2-SCORES) without waiting for the outcome on SCORES.

The client may initiate the dispute on the ODR Portal (Registration of the client on the ODR Portal is necessary). The Dispute will be then referred to an ODR Institution empaneled by Market Infrastructure Institution. Conciliation– The ODR Institution that receives the reference of complaint/ dispute shall appoint a sole independent and neutral Conciliator from its panel of conciliators. If the client is satisfied with the conciliation, the dispute stands disposed of. If the client is not satisfied with the conciliation, the client and/or Portfolio Manager may pursue online Arbitration Arbitration – The ODR Institution shall appoint a sole independent and neutral Arbitrator from its panel of arbitrators within 5 calendar days of reference and receipt of fees, costs, and charges as applicable. SMART ODR Portal can be accessed via the following link – https://smartodr.in/login

SEBI vide circular No. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145 dated July 31, 2023 (updated as on August 11, 2023), has issued a “Master Circular for Online Resolution of Disputes in the Indian Securities Market.” The said master circular is attached for reference and is also available on link – https://www.sebi.gov.in/legal/master-circulars/aug-2023/online-resolution-of-disputes-in-the-indian-securities-market_75220.html