Matrix
| Notice No | 20241209-41 | Notice Date | 09 Dec 2024 |
|---|---|---|---|
| Category | Others | Segment | IA/RA |
| Subject | Grievance Redressal/ Escalation Matrix to be displayed by Investment Advisers and Research Analysts |
All the Investment Advisers (IA) and Research Analysts (RA) are advised to prominently display on their websites the following ‘Grievance Redressal / Escalation Matrix’ and bring it to the notice of their clients:
| Details of designation | Contact Person Name | Address where the physical address location | Contact No. | Email-ID | Working hours when complainant can call |
|---|---|---|---|---|---|
| Customer Care | Suhani More | 701A, Ramee Emeralds, Linking Road Street 29, Santacruz West, Mumbai-400054. | 9136909479 | suhani@marathontrends.com | 9.00AM to 5.00PM |
| Head of Customer Care | Suhani More | 701A, Ramee Emeralds, Linking Road Street 29, Santacruz West, Mumbai-400054. | 9136909479 | suhani@marathontrends.com | 9.00AM to 5.00PM |
| Compliance Officer | Vidhi Gulabani | 701A, Ramee Emeralds, Linking Road Street 29, Santacruz West, Mumbai-400054. | 8169871990 | vidhi@marathontrends.com | 9.00AM to 5.00PM |
| CEO | Atul Suri | 701A, Ramee Emeralds, Linking Road Street 29, Santacruz West, Mumbai-400054. | 8169871990 | atul@marathontrends.com | 9.00AM to 5.00PM |
| Principal Officer | Vineet Singh | 701A, Ramee Emeralds, Linking Road Street 29, Santacruz West, Mumbai-400054. | 8169871990 | vineet.ia@marathontrends.com | 9.00AM to 5.00PM |
The abovementioned details would facilitate the complainants to approach the concerned IA/RA before filing complaint to SEBI. It is noticed that due to insufficient/incorrect information on IA/RA website, the complainants are not able to approach the concerned IA/RA before filing complaint to SEBI. Further, in the absence of the website, such IA/RA shall display the matrix in all their offices and send emails containing the matrix to their clients. In the absence of website: ) For new clients onboarded, enlisted IAs and RAs shall send an email containing the above matrix within seven days of on-boarding. ) For existing clients, enlisted IAs and RAs shall send the above matrix through email by January 03, 2025. All the IAs and RAs are advised to take a note of the same and ensure compliance. For any clarifications, email on iara.compliance@bseindia.com For & on behalf of BSE Ltd.
- Meghana Kulkarni
- Praveenkumar Acharya
- Asst General Manager Membership Operations and
- Membership
- Operations and Membership Compliance
- Membership Compliance
- Deputy General Manager
