Investor Charter for Depository Participants

Vision

To contribute toward a transparent, efficient, and investor-friendly Indian securities market by offering a secure, reliable, and trusted digital platform for investors to hold and transfer their securities in dematerialized form.

Mission

• To securely maintain investors' securities in demat form and facilitate smooth and timely transfers.

• To protect investors' interests while ensuring the safekeeping of their financial assets.

• To provide accurate and prompt updates to investors regarding their demat holdings and transactions.

• To promote investor awareness, education, and protection through consistent and high-quality service delivery.

Role of Depositories and Depository Participants (DPs)

Depositories are institutions that hold securities in electronic form and provide a variety of services to stakeholders, including stock exchanges, clearing corporations, issuers, investors, and DPs.
Depository Participants (DPs), like Shree Naman Securities, act as intermediaries of the depository to serve investors.
More information about depositories is available at:

• NSDL

• CDSL

Key Services Offered to Investors via DPs

1. Core Services

Service Timeframe

Dematerialization of securities Within 7 days

Rematerialization of securities Within 7 days

Conversion/Determinization of Mutual Fund units Within 5 days

Reconversion/Restatementization of MF units Within 7 days

Transmission of securities Within 7 days

Registering pledge requests Within 15 days

Closure of demat accountWithin 30 days

Settlement Instructions (T+1) Accept till 4 PM (physical), 6 PM (electronic) on T Day

Settlement Instructions (T+0) Accept EPI instructions till 11 AM on T Day

Note: "T" refers to the Trade Date

2. Value-Added and Technology Services

In addition to core offerings, depositories provide various enhanced services through DPs such as:

• Basic Services Demat Account (BSDA)

• Transposition-cum-dematerialization

• Clearing system linkages

• Handling of corporate benefits (e.g., bonus, rights, IPOs)

• Demat services for NSC/KVP certificates and warehouse receipts

3. Consolidated Account Statement (CAS)

• CAS is issued within 10 days from month-end if transactions occurred.

• If no activity, CAS is sent half-yearly.

4. Digitized Facilities for Investors

Depositories offer multiple digital conveniences:

• E-account opening

• Online instruction execution

• e-DIS / Demat Gateway

• e-CAS access

• Online request tracking and support

Grievance Redressal Mechanism

1. Filing Investor Complaints

Investors can raise concerns against Shree Naman Securities or the depository via the following modes:

a. Online Platforms:

• SEBI SCORES Portal: https://scores.sebi.gov.in

  • Two-tier review (first by exchange/designated body, then SEBI)

• Depository Platforms:

  • NSDL: https://investor.nsdl.com/portal/en/home

  • CDSL: https://www.cdslindia.com/footer/grievances.aspx

• Email:

  • NSDL: relations@nsdl.co.in

  • CDSL: complaints@cdslindia.com

b. Offline:

• Complaints filed directly with the depository will be addressed within 21 calendar days.

2. Online Dispute Resolution (ODR) via SMARTODR

If the investor is not satisfied with the resolution provided, they may:

• Escalate the matter to SMARTODR for conciliation or arbitration.

ODR Process Overview

1. Approach the Market Participant (DP) first.

2. If unresolved, escalate to SEBI SCORES or SMARTODR.

3. Concern reviewed by MII (Market Infrastructure Institution) within 21 days.

4. If unresolved, referred to conciliation (resolved within 21 days, extendable by 10 days).

5. Failing conciliation, arbitration proceedings begin and conclude within 30 days (extendable by another 30 days if needed).

Grievance Redressal Contact – Shree Naman Securities

Investor Helpline:

• 📍 Shree Naman Securities
  Naman Plaza, S V Road, Kandivali West, Mumbai – 400097

• ☎ +912249698001 (Mon–Fri, 9:00 AM – 6:00 PM)

• 📧 grievance@namansec.com

Escalation Contacts:

• Customer Care Lead: Mr. Paras Desai
  ✉️ paras.desai@namansec.com | 📞 +912249698001

• Compliance Officer: Mr. Harshkant Suchdev
  ✉️ harsh@namansec.com | 📞 +912249698001

• CEO: Mr. Rajesh Desai
  ✉️ rajeshdesai@namansec.com | 📞 +912249698001

For Cybersecurity Concerns:

• 📧 grievance@namansec.com

• ☎ +912249698001 (Mon–Fri, 9 AM to 6 PM)

In Absence of Resolution

If Shree Naman Securities & Finance fails to resolve the concern to your satisfaction, investors can escalate to:

• SEBI SCORES: https://scores.sebi.gov.in

• SMARTODR Platform: https://smartodr.in
  Please quote your Service Ticket/Complaint Ref. No. for tracking.

Special Circumstances – DP Termination

In cases where a DP is suspended or terminated:

• Investors will be notified via letter/email.

• Clients have 30 days from notification to transfer their holdings without any transfer charges to another DP of their choice.