Section 13 in Securities And Exchange Board Of India (Ombudsman) Regulations, 2003
13. Grounds of Complaint.-
A person may lodge a complaint on any one or more of the following grounds either to the Board or to the Ombudsman concerned :-(i)Non-receipt of refund orders, allotment letters in respect of a public issue of securities of companies or units of mutual funds or collective investments schemes;(ii)Non-receipt of share certificates, unit certificates, debenture certificates, bonus shares;(iii)Non-receipt of dividend by shareholders or unit-holders;(iv)Non-receipt of interest on debentures, redemption amount of debentures or interest on delayed payment of interest on debentures ;(v)Non-receipt of interest on delayed refund of application monies;(vi)Non-receipt of annual reports or statements pertaining to the portfolios;(vii)Non-receipt of redemption amount from a mutual fund or returns from collective investment scheme;(viii)Non-transfer of securities by an issuer company, mutual fund, Collective Investment Management Company or depository within the stipulated time;(ix)Non-receipt of letter of offer or consideration in takeover or buy-back offer or delisting;(x)Non-receipt of statement of holding corporate benefits or any grievances in respect of corporate benefits, etc;(xi)Any grievance in respect of public, rights or bonus issue of a listed company ;(xii)Any of the matters covered under section 55A of the Companies Act, 1956;(xiii)Any grievance in respect of issue or dealing in securities against an intermediary or a listed company.
