Portfolio Management Service

Annexure 7A: Format of Complaint data to be displayed by the Portfolio Managers

 

Format for investor complaints data to be disclosed by Portfolio Managers on their website on monthly basis:

 

Data for the month ending –              

Sr. No.

Received from

Pending at the end of the last month

Received

Resolved*

Total Pending#

Pending complaints  >3 month

Average Resolution time^     (in days)

1

 Directly from Investors

      

2

SEBI (SCORES)

      

3

Other Sources (if any)

      
 

Grand Total

      

^ Average Resolution time is the sum total of time taken to resolve each complaint in days,in the current month divided by total number of complaints resolved in the current month.

 

Trend of monthly disposal of complaints

Sr. No.

Month

Carried forward from previous month

Received

Resolved*

Pending#

1

April, YYYY

    

2

May, YYYY

    

3

June, YYYY

    

4

…………

    

5

March, YYYY

    
 

Grand Total

    

*Inclusive of complaints of previous months resolved in the current month.

#Inclusive of complaints pending as on the last day of the month.

 

Trend of annual disposal of complaint

Sr.No.

Year

Carried forward from previous year

Received

Resolved**

Pending##

1

2018-19

    

2

2019-20

    

3

2020-21

    
 

Grand Total

    

** Inclusive of complaints of previous years resolved in the current year.

##Inclusive of complaints pending as on the last day of the year.

 

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