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CAPITAL MARKETS (COMPLAINTS) REGULATIONS
1. NAME OF THE COMPLAINANT
2. FULL ADDRESS OF THE COMPLAINANT
3. COMPLAINT AGAINST (NAME AND FULL ADDRESS OF THE PARTY AGAINST WHOM COMPLAINT IS MADE)
4. (a) DATE OF REPRESENTATION / COMPLAINT BY THE COMPLAINANT TO PARTY AGAINST WHOM THE COMPLAINT IS MADE
(b) Whether any reminder was sent by the complainant?
5. SUBJECT MATTER/GROUNDS OF THE COMPLAINT (Please refer to article 11 of the Regulations)
6. DETAILS OF THE COMPLAINT
7. (a) Whether any reply to a statement of representation as per article 11 (3) (a) has been received within a period of one month from the party against whom a complaint is being made?
(If yes, please enclose a copy of the reply
(b) Whether the representation has been rejected?
If yes, please enclose a copy’ of the letter of rejection
(c) Whether the complainant has received any other final decision of the in respect of the complaint?
If yes, please enclose a copy of the decision
8. NATURE OF RELIEF SOUGHT FROM THE COMPLAINTS COMMITTEE
(Please enclose copies of documentary proof, if any, in support of your claim)
9. LIST OF DOCUMENTS ENCLOSED
1. I/ We , the complainant/s herein declare that: (a) the information furnished herein above is true and correct; and (b) I/ We have not concealed or misrepresented any fact stated in aforesaid columns and the documents submitted herewith. 2. The complaint is filed before expiry of period of one month reckoned in accordance with the provisions of the Regulations. 3. (a) The subject matter of the present complaint has never been brought before any other dispute resolution forum by me/ or by any one of us or by any of the parties concerned with the subject matter to the best of my/ our knowledge b) The subject matter of the present complaint is not in respect of the same which was settled through the complaints committee in any previous proceedings. c) The subject matter of the present complaint has not been decided by any forum/court/arbitrator. 4. I/We authorize the party against whom the complaint is made to disclose any such information/ documents furnished by us to the complaints committee and disclosure whereof in the opinion of the Authority is necessary and is required to redress any other complaint or our complaint. 5. I/We have carefully read through the provisions of the Capital Markets (Complaints) Regulations, 2012. Yours faithfully
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