Investors’ Grievances

Investors’ Grievances

Investors’ grievances in the treasury markets can arise from a variety of issues such as:

Non-receipt of dividends or interest payments

Delayed payment or non-receipt of securities after purchase

Incorrect transactions or errors in trading

Non-receipt of information or communication from brokers or depositories

Fraudulent or unauthorized transactions in their account

To address investors’ grievances, the stock exchange or market regulator typically has a grievance redressal mechanism in place. Investors can file complaints with the exchange or regulator, which are then investigated and resolved as per the rules and regulations.

In India, the Securities and Exchange Board of India (SEBI) has a dedicated grievance redressal portal called SCORES (SEBI Complaints Redress System), where investors can file complaints online. The exchange also has an arbitration mechanism in place, where disputes between investors and brokers are resolved through arbitration proceedings.

Investors can also approach the investor protection fund or consumer protection fund in case of losses suffered due to fraudulent or negligent actions of brokers or intermediaries.

It is important for investors to be aware of their rights and to be vigilant about their investments in order to prevent any grievances or losses.

In spite of the Guidelines issued by the SEBI on different matters relating to investor’s protection, there are several areas where the investors usually face a lot of problems and have grievances to be redressed.  Some of the areas of grievances are:

• Disclosure in Prospectus
• Misleading advertisements
• Delay in listing of securities
• Delay of dispatch of Allotment letters / Refund orders
• Non-payment of interest and dividends
• Delay in dispatch of Certificates
• Non-receipt pf Annual Accounts
• Delay in transfer of securities
• Grievance against the brokers

Apply for Treasury Market Professional Certification Now!!

https://www.vskills.in/certification/certified-treasury-market-professional

Back to Tutorial