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.

• To maintain high standards 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 streamlining processes and harnessing technology.
• To facilitate easy access, communication and interaction with investors so as to resolve their queries and grievances.
• To ensure confidentiality of information shared by investors, unless disclosure is required to fulfil legal obligations or the investor has provided specific consent to share it.

• Providing details of allotment and clarification on allotment.
• Processing changes and updates to KYC details for physical holdings, including address, bank account details, email address, telephone/mobile number, nomination and PAN.
• Processing and updating investor holding and title-change requests, including name deletion, transmission, transposition, issue of duplicate shares, dematerialisation and rematerialisation of securities.
• Processing other requests, including declarations for exemption or lower tax rates for TDS on dividend/interest, and revalidation or reissue of dividend and interest instruments.
• Processing investor service requests within the applicable timelines and communicating document discrepancies to investors in one go.
• Executing and communicating corporate actions, including ESOPs, dividend payments, stock splits, bonus issues, mergers and demergers.
• Communicating rights issue entitlements.
• Communicating buybacks, exit offers and takeover offers made by companies/acquirers, along with the procedures investors need to follow.
• Executing mandatory transfers of shares and dividends to the Investor Education and Protection Fund (IEPF), and transferring undelivered share certificates to the suspense account, as applicable.
• Processing grievances received by email, letters and through the SEBI SCORES platform.

As a customer-centric organisation, we are committed to providing the highest quality of service delivery to investors. Service requests and grievances are addressed within the applicable timelines set out below.

• Right to receive all benefits and material information declared by the company.
• Right to fair and equitable treatment.
• Right to actively participate in the company's AGM/EGM and e-voting events and contribute to decisions on company resolutions.
• Right to approach the RTA, depository, company, stock exchange or SEBI for resolution of grievances within the prescribed timelines.
• Right to request and receive information about statutory and regulatory disclosures.
• Right to sell or transfer securities with minimal documentation.
• Right to access services in a suitable manner, including where the investor is differently abled.
• Right to access educational materials provided by RTAs.
• Right to customised services at fair prices, as applicable.
• Right to access the RTA's escalation matrix.
• Right not to be bound by clauses prescribed by the issuer company or RTA that contravene applicable regulatory provisions.
• Right to receive updates on service requests submitted to the RTA.

Level 1 – Listed Company / Sundae RTA Private Limited

If a grievance or complaint remains unresolved after submission of all required documents within the expected timelines, or if the investor is dissatisfied with the resolution, the matter may be escalated to the Grievance Redressal Division.

Information to Include in a Complaint

When lodging a grievance, investors should provide:

• Nature of the complaint.
• Name of the issuer company.
• Folio number or DP ID / Client ID.
• Full name of the shareholder.
• Email address and mobile number.
• RE Number / Reference Number provided by Sundae RTA Private Limited.
• References to previous correspondence relating to the matter.
• Relevant supporting documents.
• Updated KYC and other details, wherever changes have occurred.

Level 2 – Review of Complaints Against the RTA

Complaints against the Registrar and Transfer Agent may be escalated for review through the following channels:

• First-level review by the relevant stock exchange.
• Further review by SEBI, as applicable.

1. Investors may lodge complaints through the relevant stock exchange's designated online grievance mechanism.
2. The stock exchange forwards the complaint to the concerned company, with a copy to the complainant.
3. If the company does not resolve the complaint within 21 days, the exchange may send a reminder and follow up with the company and its RTA.

If the investor is dissatisfied with the resolution provided by the listed company or Sundae RTA Private Limited, the investor may lodge a complaint through SEBI's SCORES 2.0 portal.

As referenced in the Investor Charter under SEBI Circular No. SEBI/HO/MIRSD-PoD-1/P/CIR/2023/72 dated 8 June 2023, investors may escalate unresolved complaints through the following contacts, allowing a gap of 15 days between successive escalations.

Office Working Hours

Monday to Friday, 10:00 AM to 5:00 PM, except public holidays.

The Securities Market Approach for Resolution Through ODR Portal (SMART ODR) provides an online platform for conciliation and arbitration in eligible disputes arising in the Indian securities market.

If an investor is dissatisfied with the resolution provided by a market participant, the investor may use the SMART ODR platform, subject to the applicable procedures and timelines.

Steps for Review, Conciliation and Arbitration

1. The investor first approaches the relevant market participant to seek redressal of the complaint.
2. If dissatisfied with the response, the investor may escalate the complaint through SEBI SCORES or file a complaint through the SMART ODR portal, subject to the applicable rules.
3. On receiving a complaint through SMART ODR, the relevant Market Infrastructure Institution reviews the matter and endeavours to resolve the dispute between the market participant and the investor within 21 days.
4. If the dispute cannot be resolved amicably, it may be referred for conciliation.
5. During conciliation, the conciliator endeavours to reach an amicable settlement within 21 days. This period may be extended by 10 days with the consent of the parties.
6. If conciliation is unsuccessful, the investor may request that the matter be referred for arbitration.
7. The arbitration process is to be concluded within 30 days, extendable by a further 30 days with the consent of the parties, as applicable.

For detailed procedures and applicable requirements, refer to the official SMART ODR Portal and relevant SEBI circulars.

Investors can refer to the published month-end data on investor complaints to review the grievance statistics disclosed by Sundae RTA Private Limited.