SEBI Circular for Investors

ARBITRATION

Sr.No. Particulars Date 1 Beware about unregulated platforms offering algorithmic strategies for trading 02.09.2022 2 SEBI CIRCULAR on Amendment pursuant to comprehensive review of Investor Grievance Redressal Mechanism 23.02.2017 3 SEBI circular on Arbitration Mechanism in Stock Exchanges (Circulars upto this incorporated at Chapter 6 (IV) in SEBI Master Circular dated 20.05.2014) 26.09.2013 4 SEBI circular on Arbitration Mechanism in Stock Exchanges (2) 05.07.2013 5 SEBI circular on Arbitration Mechanism in Stock Exchanges(1). 05.07.2013 6 SEBI circular on Arbitration Mechanism through Stock Exchanges - Introduction of Automatic Process and Common Pool of arbitrators. 18.03.2013 7 SEBI circular on Arbitration Mechanism in Stock Exchanges 07.11.2012 8 SEBI circular on Composition of arbitration committee 20.01.2012 9 SEBI circular on Arbitration Mechanism of Stock Exchanges - Applicability of the provisions of the Limitation Act, 1963 09.02.2011 10 SEBI circular on Arbitration Mechanism in Stock Exchanges 31.08.2010 11 SEBI circular on Arbitration Mechanism in Stock Exchanges 11.08.2010 12 SEBI Circular on Disclosure of Regulatory Orders and Arbitration Awards 01.04.2010 13 Limitation period for filing of Arbitration reference 02.12.2009

COMPLAINTS/IGRC

Sr.No. Particulars Date 1 SEBI circular on Disclosure of Investor Complaints on websites of Stock Exchanges (Circulars upto this incorporated at Chapter 6 (IV) in SEBI Master Circular dated 20.05.2014) 28.10.2013 2 SEBI circular on Investor Grievance Redressal Mechanism 26.09.2013 3 SEBI circular on Redressal of investor grievances against listed companies in SEBI Complaints Redress System (SCORES) 13.08.2012 4 SEBI circular on Redressal of complaints against Stock Exchanges (SEs) and Depositories through SEBI Complaints Redress System (SCORES) 15.06.2012. 5 SEBI circular on Investor Grievance Redressal Mechanism at Stock Exchanges. 15.02.2012 6 SEBI circular on Investor Grievance Redressal Mechanism at Stock Exchanges 20.01.2012 7 SEBI circular on Redressal of investor grievances against stock brokers and subbrokers in SEBI Complaints Redress System (SCORES) 25.08.2011 8 SEBI circular on Processing of Investor Complaints in SEBI Complaints Redress System (SCORES) 24.08.2011 9 SEBI circular on Processing of Investor Complaints in SEBI Complaints Redress System (SCORES) 02.08.2011 10 SEBI circular on SMS and E-mail alerts to investors by stock exchanges 02.08.2011

OTHERS

Sr.No. Particulars Date 1 Common and Simplified norms for processing Investors' Service requests by RTAs and norms for furnishing PAN, KYC details and Nominations 03.11.2021 2 SARAL Account Opening Form for resident individuals 04.03.2015 3 SEBI Circular on Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker/ Stock Broker & Depository Participant 23.04.2010 4 Circular on PAN Requirement 27.04.2007 5 SEBI circular on PAN to be sole identification number 26.09.2006