Reply to a SCORES complaint against a SEBI adviser
How do I reply to a SCORES complaint against me as a SEBI investment adviser or research analyst?
The action taken report ready to upload, and a sheet of the review dates that follow.
- SCORES action taken report
- Complaint dates
₹999₹1,499
Launch price until 30 November. ₹1,499 after that.
- See the first page of your own document before you pay
- Pay through Cashfree by UPI, card or netbanking
- Word to edit and PDF to print, the moment the payment clears
- Full refund if the documents are not delivered
- Refund policy
Regulation 21(1) of the IA Regulations and regulation 26B(1) of the RA Regulations require you to redress a complaint within 21 calendar days of receiving it. SEBI circular SEBI/HO/OIAE/IGRD/CIR/P/2023/156 of 20 September 2023 (Annexure I, para 1.3) says the action taken report (ATR) goes up on SCORES within the same 21 days, and SCORES routes it to the complainant.
What follows depends on the complainant. They have 15 calendar days from the date of the ATR to ask for a review. The designated body, IAASB for investment advisers and RAASB for research analysts, takes the first review, also when no ATR was filed in time, and files its own ATR within 10 calendar days. A second review by SEBI can be sought within 15 calendar days of that. A complainant can also go to ODR at any time.
The pack drafts the ATR from the facts you type: what the complaint says, what happened with dates, your answer to each point and what you did about it, whether a refund, a corrected service or an explanation of your position. It takes no view on who is right. A second sheet lists each date that follows.
Fill in your own
₹999₹1,499
Launch price until 30 November. ₹1,499 after that.
You
The complaint
Your side
Event 1
We keep your answers and number so we can help if you ask. Ask us at any time and we delete them.
BuildWright does documentation, filing and compliance facilitation. This tool works from the rules cited on this page and does not give legal advice. We prepare the documents from your answers; you check, sign and send or file them.
Common questions
How long do I have to reply on SCORES?
21 calendar days from receipt of the complaint. That is the period in regulation 21(1) of the IA Regulations, regulation 26B(1) of the RA Regulations and para 1.3 of Annexure I to the SEBI circular of 20 September 2023.
What if the complainant is not satisfied?
They may ask for a review within 15 calendar days of the ATR. The designated body takes the first review, and SEBI takes a second one if it is sought within 15 calendar days of the designated body's ATR.
Which body takes the first review?
IAASB for an investment adviser and RAASB for a research analyst, as the current investor charters name them.
Does the reply include a refund?
Only if you choose that. The pack records the amount, the date and the bank reference when you refunded, or the steps and dates when you corrected the service, or your explanation when you stand by your position.
Can I see the document before I pay?
Yes. Fill in your details and the page shows the first page of each document with your own answers in it. You pay only if it is what you need.
Can I change the document after I download it?
Yes. Each document comes as a Word file you can edit and a PDF you can print. You can also change your answers and prepare it again before you pay.
What if the payment goes through and the documents do not open?
The page checks the payment again and opens the documents on the same payment, so you are never charged twice. If they still do not arrive, write to us within 7 days and we refund the full amount.
Can you send or file it for me?
Yes. After you download, ask us to take the next step and we handle the sending or filing for you.
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