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“Further, the issue raised by the Appellant regarding the ……is a matter of grievance which cannot be adjudicated as far as mandate of RTI Act is concerned.”: SEBI, Part 2.

Continuation to the queries raised by the appellant, Mr Mayank Kumar Agarwal (Appeal no. 4363 of 2021):

  1. How many complaints has been filed with SCORE against the said TM during the last 6 months?
  2. How many complaints have been closed by the SEBI/NSE by their own without the consent of the respective complainant filed with SCORE against the said TM during the last 6 months?
  3. What is the procedure of referring the matter to the IGRP by the client?
  4. If the NSE closed my complainant as one sided, what remedies is available with the complainant to take the matter with the IGRP?
  5. What action will SEBI take against the NSE if it is found that the NSE has repeatedly closed the complaints intentionally and unilaterally without the consent of the complainant against a particular TM?
  6. Does The NSE close my complaint just because the TM has filed a civil suit for a different matter.
  7. Why my complaint has been closed when the TM’s suit filed in the civil court is nothing to do with my complaint as the nature of my complaint is within the preview of the ISC of NSE and the Civil suites file by the TM is not with in the preview of the NSE?
  8. As per KYC any dispute between the client and the TM should be reported to the ISC of NSE and/or SCORE of SEBI which the client has done. Why this was not considered?
  9. Why the NSE/ SEBI has not consider that the TM has filed the suit on 16.03.2021 i.e. after filing of my first complaint on 05.03.2021 which itself proves that it is an afterthought.
  10. Why the NSE/ SEBI has not consider that my complaint with the TM is for the unauthorised trades/ square off of the position without any intimations and the excess brokerage charged than that of the agreed rate and as mentioned in KYC. Whereas the TM’s suit is for enhanced exposure charges?.

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