Process of Filling Investor Complaint

When clients encounter issues or concerns with our services, it's important to have a clear and efficient procedure for filing complaints and tracking their progress. Here's a detailed write- up outlining the procedure, along with a flowchart for visual reference:

  • Step 1: Initiating the Complaint

    Clients initiate the complaint resolution process by sending an email to us on our designated email address for complaints. This email address is specifically established to handle and address client grievances.

  • Step 2: Providing Relevant Information

    In the email, clients should provide essential details:

    • Full name, contact information, and UCC code AND/OR DEMAT account details.
    • A clear and concise description of the complaint, including relevant dates and transaction details.
    • Any supporting documents or evidence that can help in understanding the issue.
  • Step 3: Acknowledgment

    Upon receiving the complaint email, we send an acknowledgment email to the client, confirming the receipt of the complaint. This acknowledgment provides the client with a reference number for future communication.

  • Step 4: Initial Review and Assigning

    The complaint is then reviewed by the relevant department within the organization. Based on the nature of the complaint, it is assigned to the appropriate personnel for investigation.

  • Step 5: Investigation and Response

    The assigned team investigates the complaint thoroughly, gathering all necessary information, records, and documents. They analyze the client's concerns in relation to our policies and practices.

  • Step 6: Providing Resolution

    After a comprehensive analysis, they prepares a detailed response addressing the client's complaint. This response is sent to the client's email address.

  • Step 7: Amicable Resolution Attempted

    If the client finds the resolution satisfactory, the complaint is considered resolved. The broker and client work together to ensure that the solution aligns with the client's expectations.

  • Step 8: Unsatisfactory Resolution

    If the client remains unsatisfied with the broker's resolution, or if the issue is not fully addressed, the client may choose to escalate the complaint further.

  • Step 9: Providing Escalation Details

    The client is provided with information about the escalation process. This includes instructions on how to escalate the complaint to a higher authority.

  • Step 10: Further Escalation

    If the client decides to proceed with escalation, they follow the designated process to raise the complaint to a higher level within the organization.

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