Regulators

Securities and Exchange Board of India (SEBI)

In 1992, the Securities and Exchange Board of India SEBI was formally established.

Organization Profile

Institutional nature
Government agency, Securities and Exchange Board of India SEBI was established on April 12, 1992 under the Securities and Exchange Board of India Act 1992.
Institutional History
SEBI India was established in 1992.
Regulatory functions
Basic functions: protect the interests of securities investors, promote the development of the securities market, and regulate the securities market and related matters or incidental matters.
Contact
SEBI Bhavan BKC Office
Email: [email protected]
Tel: +91-22-26449000 / 40459000
Tel:+91-22-26449950 / 40459950
Freephone: 1800 22 7575
Address:
Plot No.C4-A, 'G' BlockBandra-Kurla Complex, Bandra (East),Mumbai - 400051, Maharashtra, India
Fax: +91-22-26449019-22 / 40459019-22

Regulatory Inquiries

Step 1 Go to the official website of SEBI in India https://www.sebi.gov.in/ and select Intermediaries / Market Infrastructure Institutions

Step 2 Enter the Recognised Intermediaries page, enter the company name, supervision number to query, or directly view the list

Regulatory complaints

Complaint steps:
Step 1: Complain to a listed company or an intermediary
Investors should first complain to listed companies or intermediaries.
Step 2: Complaint to SEBI India
If the company does not handle the complaint or the investor is not satisfied with the result of the complaint handling, the investor can file a free complaint with SEBI India, and they need to make a complaint through SEBI's special complaint compensation system SCORES, whose website is https://scores.gov.in/ scores/; registration is required before complaints.
Complaint method:
(1) Online complaints
Registration: https://scores.gov.in/scores/userRegistration.html
After successful registration, click "ComplaintRegistration" under "Investor Corner" → select the type of complaint, the company name and the nature of the complaint, briefly describe the details of the complaint (within 1000 characters), and add attachments (no more than 2MB).
After the complaint is successful, the complaint code will appear on the page, and the complainant will receive an email.
(2) Mailing a letter
Address:
Plot No.C4-A, 'G' Block
Bandra-Kurla Complex, Bandra (East),
Mumbai - 400051, Maharashtra, India
or any address at https://www.sebi.gov.in/contact-us.html.
SCORES Helpline: 1800 266 7575/1800 22 7575
Note:
If the complainant is not satisfied with the result of SEBI's complaint handling, he can make another complaint within 15 days of receiving the reply.
Step 3: Complain to the court
If the complainant is not satisfied with the response of the company or SEBI India, the complaint can be brought to court.
Note:
1. The relationship between SEBI and SCORES:
Complaints received by SEBI India: Complaints related to issuance and transfer of securities and non-payment of dividends by listed companies; Complaints related to registered intermediaries.
Complainants can submit their complaints online and check the status of processing through SCORES.
SCORES: SEBI Complaint Compensation System.
2. The complainant may file a complaint with SEBI India within three years after submitting the complaint to the company
3. Other complaint handling agencies: https://scores.gov.in/scores/Docs/FAQ-SCORES.pdf

4. Complaint response time:
Depends on the level of responsibility for the complaint.

Example of punishment

FAQs

1. Can a commodity derivatives brokerage firm be registered as a stock brokerage firm?
Pursuant to Article 8(1)(f) of the SCRR, the same legal entity may not simultaneously deal in securities and commodity derivatives. Therefore, a company cannot be registered as a commodity derivatives brokerage firm and a stock brokerage firm at the same time.
2. Why can't I find the name of the complaining company/intermediary?
The intermediary agency is not registered with SEBI and the company is not listed; the company/intermediary agency has changed its name; the company has been delisted and the SEBI registration has expired.
For more information, please visit: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doFaq=yes

Related Links

Securities and Exchange Board of India: https://www.sebi.gov.in/
Central Depository Services of India Ltd: http://www.cdslindia.com/
National Securities Register of India Limited: https://nsdl.co.in/
Commodity Futures Trading Regulatory Authority of India: http://www.bapepam.go.id/

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