For treating a complaint as resolved/closed, the company should furnish particulars of the

action taken along with details as per the Table below:

• Wherever the company has made payment or sent physical instruments

(payment/securities) then the ATR should contain details as mentioned in I and II.

• In case the complaint cannot be resolved since additional documents/information has

been sought from the complainant then, the ATR should contain III and II B.

• Wherever a matter is sub-judice, it has to be indicated in the ATR and Copy of the
stay/Injunction obtained should be enclosed with the ATR.

I. Instrument details for:

A. Refund/Dividend/Interest/ If through Physical mode If through Electronic mode

Redemption
1. Amount payable 1. Payment instrument no. 1. Bank account No.
2. Amount paid 2. MICR No 2. RBI sequence No.
3. Reason for the 3. Advice by banker reg 3. Date of credit.
difference, if any. credit 4. Advice by banker reg
/ encashment in case the credit / encashment in case
instruments has been the instruments has been
dispatched more than 6 dispatched more than 30
months ago. days ago.
B. Securities If Physical instrument sent If credited Electronically
1. No of units entitled 1. Certificate No 1. DPID, Client ID.
2. No of units allotted 2. Distinctive No 2. Date of credit
3. Reason for difference, 3. Folio No
if any.

II. Dispatch details:

A. Securities / Payment If Physical instrument sent If credited Electronically

instrument
1.Due date for dispatch 1. Due date for instruction.
2. Date of dispatch 2. Date instruction given.
3. Mode of dispatch
4. Dispatch No.
B. Correspondences to complainant
1. Mode of dispatch
2. Dispatch No.
3. Date of dispatch

III. Documents/Information sought from the complainant:

1. Copy of letter sent to the investor seeking documents/information.
2. Two reminders sent over a period of two months.

For all types of complaints, the action taken should be intimated to the complainant
and details of such correspondence should be mentioned in the ATR as in II B.