Investor Support Hub

Helping investors with high-end solutions through our wide spectrum of investor support services.

Documents for Investor Request

Survey Result

Alankit, entitled as a Qualified RTA by SEBI, conducted an Investor Feedback Survey, involving walk-in investors and email responses. The survey's results were collected as per SEBI Circular No. SEBI/HO/MIRSD/DoP/CIR/P/2018/119 dated August 10, 2018. Further details of the survey outcomes are as follows:

Investor Charter & Disclosure

Mission

  • To maintain high standard of integrity in the conduct of business by fulfilling obligations in a prompt, ethical and professional manner.
  • To comply with all regulatory requirements in a time bound manner.
  • To facilitate prompt service to investors by and through streamlining the process and harnessing technology.
  • To facilitate easy approach, communication and interface with investors so as to resolve their queries / grievances.
  • To ensure confidentiality of information shared by investors unless such information is required to be provided in furtherance of discharging legal obligations or investors have provided specific consent to share such information.

Vision

To be a trusted, transparent and prompt service provider to the investors, conforming to the highest standards of compliance, confidentiality and professionalism in conduct, to meet the obligation towards investors in Indian capital markets.

Services Provided

  • Providing details of allotment and clarification on allotment.
  • Processing change in /updation of the KYC details of the investors for physical holdings like change of address/bank account details/ e-mail address /telephone/mobile/nomination and PAN.
  • Processing and updating investor holding/title change requests viz., name deletion, transmission, transposition, issue of duplicate shares, dematerialization and rematerialisation of securities.
  • Processing of other requests, viz., recording of declaration with regard to exemption/lower tax rates for TDS on dividend/interest, revalidation and reissue of dividend andinterest instruments.
  • Processing investor service requests in a timely manner and providing details of discrepancies observed in the documents to the investors in one go.
  • Execution and intimation of other corporate actions viz., ESOPs, Dividend payment, Stock split, Bonus issue and Merger/Demerger activities.
  • Communication of Rights issue entitlements.
  • Communication of Buyback, exit offer, takeover made by the company/ acquirer, and the procedure to be followed by investor in respect of these issues.
  • Mandatory execution of transfer of shares and dividends to IEPF and transfer of undelivered share certificates to Suspense account.
  • Process grievance received through e-mails, Letters and SCORES.

Right of Investor

  • Right to receive all the benefits/ material information declared by the Company.
  • Right to fair and equitable treatment.
  • Right to actively participate in the AGM / EGM of the company & E-voting events so as to be a part of the decision making of the Company's business resolutions.
  • Right to approach RTA, Depository, Company, Stock Exchange or SEBI for resolution within prescribed timelines, in case of any grievances.
  • Right to ask for and receive information about all the statutory and regulatory disclosures.
  • Right to sell/transfer securities with minimal documentation.
  • Right to get access to services in a suitable manner even if differently abled.
  • Right to get access to educational materials of RTAs.
  • Right to get customised services as per requirement at fair price.
  • Right to have access to the escalation matrix for communication with the RTA.
  • Right to not be bound by any clause prescribed by the Issuer Company/RTA which are contravening to the Regulatory provisions.
  • Right to get updates with respect to various service requests filed with the RTA.

Do's

  • Encash dividend/Interest regularly to avoid transfer of unclaimed amount/underlying securities to IEPF.
  • Follow up diligently and promptly if you have not receive allotment intimation/ certificate / dividend / interest etc.
  • Ensure that your PAN is registered with the RTA for all your folios.
  • Ensure nomination is registered for all your securities to smoothen the transmission.
  • Ensure that all KYC details viz full postal address with PIN, mobile number, e-mail address etc. are updated to facilitate the RTA for sending communication.
  • Ensure that correct and complete Bank details are recorded with RTA to facilitate prompt electronic credit of dividend / interest / redemption amounts and eliminate possibility of unclaimed amounts / underlying securities being transferred to IEPF.
  • Promptly inform the RTA in writing and complete required formalities in case of loss of securities.
  • Ensure that the documents provided for availing any investor service request are complete in all respects and keep copies of documents sent to the RTA.
  • Monitor all corporate announcements pertaining to investments made.

Dont's

  • Do not keep your folios without PAN.
  • Do not keep your folios without nomination
  • Do not deal with unauthorized persons for any investor service requests such as change in / up-dation of address, e-mail address, mobile number and bank details.
  • Do not share security details, viz. folio number, certificate number, distinctive number(s), bank details, specimen signature, KYC documents, etc. with unknown person(s).

Timelines

INVESTOR SERVICE REQUEST
Nature of Service Expected Timelines (Number of days)
Processing of Transmission Request (SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/65) 21
Processing of Issue of Duplicate Security Certificate Request (Letter of Confirmation) 30
Processing of Dematerialization Request 15
Processing of Remat Request 30
Processing of Transposition Request 15
I. PROCESSING of REQUEST FOR CHANGE IN UPDATION OF
A. Name 30
B. Signature 30
C. Nomination 30
D. Contact Details (Address, E-Mail Address and Mobile Number) 15
E. Bank Account Details 15
II. PROCESSING of REQUEST FOR UPDATION of PAN 15
Processing of Re-Validation of Dividend I Interest I Redemption Instruments And Sending The Remittance Request Files To The Bank I Company 15
GRIEVANCE REDRESSAL
Providing Response To The Inquiries of The Investors And Redressal of Grievance 21
OTHER OPERATIONAL ACTIVITIES
Allotment of Securities (IPO) 6
INTIMATION REGARDING DISTRIBUTION of CORPORATE BENEFITS (DIVLDEND, BONUS, STOCK SPLIT)
A. E-Mail Communication 15
B. Physical Communication 30

SEBI Circular

SEBI Circular 03 Nov 2021 Common Simplified Norms for Processing Investor Requests

Circular- Duplicate and other serices in
demat Jan 25 2022

Sebi Investor Charter 26.11.2021

Sebi Circular 16.03.23

Simplification of procedure and standardization of formats of documents for transmission of securities 18.05.22

Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates 25.05.22

Clarifications with respect to Circular dated November 03, 2021 on Common and simplified norms for processing investors service request by RTAs 14.12.21

Amendment to Master Circular dated 17-05-2023 issued by SEBI - Circular dated 17-11-2023

Complaints

SN Received From Carried forward from
previous month 		Received during
the Month 		Total Pending Resolved Pending at the end of month Average Resolution
time (in days)
Pending for less than
3 months 		Pending for more than
3 months
1 Directly From Investor 0 24 0 24 0 0 7
2 SEBI(SCORES) 13 29 0 42 0 0 7
3 Stock Exchange(if any) 3 4 0 7 0 0 2
4 Other sources(if any) 0 0 0 0 0 0 0
5 Grand Total 16 57 0 73 0 0 0

Grievance Redressal

Stage-1 - To Listed Company/Alankit Assignments Limited:

If the grievance/complaint is not resolved after submitting all required documents within the timelines specified in the Investor Charter, or the investor is dissatisfied with the resolution, they may escalate the grievance/complaint to the Grievance Redressal Division via email to our dedicated id: rta@alankit.com, or via a letter (hard copy) to:

Grievance Redressal Division,
Alankit Assignments Limited
4E/2 Jhandewalan Extension
New Delhi -110055

While lodging the grievance/complaint it is necessary for the investor to mention the following:

  • To maintain high standard of integrity in the conduct of business by fulfilling obligations in a prompt, ethical and professional manner.
  • To comply with all regulatory requirements in a time bound manner
  • To facilitate prompt service to investors by and through streamlining the process and harnessing technology
  • To facilitate easy approach, communication and interface with investors so as to resolve their queries / grievances

Within 30 days of receiving the grievance/complaint, we will send notification of redressal/resolution via e-mail or physical letter, as applicable.

Stage-2 - To Stock Exchanges - Online registration of complaint/grievance on stock exchanges:

  1. The nature of the complaint that can be lodged against the listed company is detailed on the Stock Exchange's websites. The stock exchange shall forward the complaint to the concerned company with a copy to the complainant upon receipt.
  2. If the company fails to address the issue within 30 days, the exchange sends the company a reminder and follows up with the company along with its respective RTA.

Stage-3 -To SEBI - Online registration of complaint / grievance on SCORES

If the investor is dissatisfied with the listed company's/Alankit Assignments Limited's redressal/resolution of the complaint, the investor may file a complaint with SEBI on SCORES.

Grievance Redressal Mechanism at SEBI:

Complaints can be lodged with SEBI electronically through the SEBI Complaints Redress System - SCORES (a web-based centralised grievance redressal system of SEBI)

https://scores.gov.in/scores/Welcome.html

Stage-4 -To SMART ODR - Online registration of complaint / grievance on SMART ODR

If the investor/complainant is dissatisfied with the listed company's/Alankit Assignments Limited's or SEBI SCORES and Stock Exchange complaint portal redressal/resolution of the complaint, the investor may file a dispute against the Intermediary/Listed Company on SMART ODR Portal.

Grievance Redressal Mechanism at SMART ODR:

Disputes can be filed with SMART ODR electronically through the online portal - The Securities Market Approach for Resolution Through ODR Portal (SMART ODR Portal)

https://smartodr.in/login

Download

ISR-1

ISR-2

ISR-3

ISR-4

SH-13

SH-14

SEBI Circular 16 March 2023

SEBI-Circular 25.05.2023

SEBI Circular For Extension Of Date For Kyc Updation Dated 26.09.2023