HARMILAP SHARE TRANSFER AGENTS

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Grievance Redressal & Escalation MechanismIf you are not satisfied with the response received to your queries or complaints, you may escalate the matter to the higher authorities of Harmilap Share Transfer Agents through the following channels:Level 1 – Grievance Redressal Team📧 E-mail: harmilapsta@gmail.com☎️ Landline: 011-35586362If the grievance remains unresolved or you are not satisfied with the response received from our office, you may further escalate the matter to:Level 2 – Compliance Officer / Principal OfficerMr. Sanjeev SabharwalDirector / Compliance Officer / Principal Officer📧 E-mail: harmilaprta@gmail.com📱 Mobile: 9205234407*******************************************************************************************************************************************************************************SEBI SCORESInvestor can lodge complaint/ grievance against the Depository/DP/ RTA in the following ways:(a) Electronic mode -(i) SCORES 2.0 (a web based centralized grievance redressal system of SEBI)[https://scores.sebi.gov.in/]Two Level Review for complaint/grievance against DP:First review done by Designated BodySecond review done by SEBIRespective Depository’s web portal dedicated for the filing of compliantNSDL-[https://www.epass.nsdl.com/complaints/websitecomplaints.aspx] &CDSL-[https://www.cdslindia.com/Footer/grievances.aspx]Emails to designated email IDs of Depositoryrelations@nsdl.co.in & complaints@cdslindia.comHarmilap Share Transfer Agents [harmilapsta@gmail.com](b) Offline mode [details of link to the form to be provided by Depositories]The complaints/ grievances lodged directly with the Depository shall be resolved within 21 days.******************************************************************************************************************************************************************************Online Dispute Resolution (ODR) platform for online Conciliation and ArbitrationIf the Investor is not satisfied with the resolution provided by DP or other Market Participants, then the Investor has the optionto file the complaint/ grievance on SMARTODR platform for its resolution through by online conciliation or arbitration.https://smartodr.in/login*******************************************************************************************************************************************************************************What is Investor Charter?An Investor Charter is a formal document that clearly defines the rights, responsibilities, and expectations of investors,along with the services and grievance-redressal mechanisms available to them.Key Purpose of an Investor Charter✅ Clearly explain grievance-redressal procedures✅ Protect investors’ interests✅ Promote transparency and fair practices✅ Improve trust in the financial system.Contents of an Investor CharterOur Vision:To be a trusted and leading Share Transfer Agent by delivering transparent, reliable, and investor-centric services whileupholding the highest standards of compliance, integrity, and operational excellence. Our Mission:To provide accurate, timely, and efficient share registry and investor services in line with SEBI, NSDL, and CDSL regulations.To safeguard investor interests through transparent processes, data confidentiality, and prompt grievance redressal.To support corporate clients with end-to-end RTA solutions by leveraging technology and best practices.To continuously enhance service quality through process improvement, staff training, and regulatory compliance.Rights of InvestorsAsk for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.Receive complete information about the risks, obligations, and costs of any investment before investing.Receive recommendations consistent with your financial needs and investment objectives.Receive a copy of all completed account forms and agreements.Receive account statements that are accurate and understandable.Understand the terms and conditions of transactions you undertake.Access your funds in a timely manner and receive information about any restrictions or limitations on access.Receive complete information about maintenance or service charges, transaction or redemption fees, and penalties.Discuss your grievances with compliance officer of the firm and receive prompt attention to and fair consideration of your concerns.DOs and DON’Ts for Investors:DOs:Read all documents and conditions being agreed before signing the account opening form.Receive a copy of KYC, copy of account opening documents and Unique Client Code.Read the product / operational framework / timelines related to various Trading and Clearing & Settlement processes.Receive all information about brokerage, fees and other charges levied.Register your mobile number and email ID in your trading, demat and bank accounts to get regular alerts on your transactions.If executed, receive a copy of Power of Attorney. However, Power of Attorney is not a mandatory requirement as per SEBI / Stock Exchanges. Before granting Power of Attorney, carefully examine the scope and implications of powers being granted.Receive contract notes for trades executed, showing transaction price, brokerage, GST and STT etc. as applicable, separately, within 24 hours of execution of trades.Receive funds and securities / commodities on time within 24 hours from pay-out.Verify details of trades, contract notes and statement of account and approach relevant authority for any discrepancies. Verify trade details on the Exchange websites from the trade verification facility provided by the Exchanges.Receive statement of accounts periodically. If opted for running account settlement, account has to be settled by the stock broker as per the option given by the client (30 or 90 days).In case of any grievances, approach stock broker or Stock Exchange or SEBI for getting the same resolved within prescribed timelines.DON’TsDo not deal with unregistered stock broker.Do not forget to strike off blanks in your account opening and KYC.Do not submit an incomplete account opening and KYC form.Do not forget to inform any change in information linked to trading account and obtain confirmation of updating in the system.Do not transfer funds, for the purposes of trading to anyone other than a stock broker. No payment should be made in name of employee of stock broker.Do not ignore any emails / SMSs received with regards to trades done, from the Stock Exchange and raise a concern, if discrepancy is observed.Do not opt for digital contracts, if not familiar with computers.Do not share trading password.Do not fall prey to fixed / guaranteed returns schemes.Do not fall prey to fraudsters sending emails and SMSs luring to trade in stocks / securities promising huge profits.Do not follow herd mentality for investments. Seek expert and professional advice for your investments.

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