COMPLIANCE TO
QRTA GUIDELINES OF SEBI

SEBI circular “SEBI/HO/MIRSD/DoP/CIR/P/2018/119’, dated 10th August 2018, brought in “Enhanced monitoring of Qualified Registrars to an Issue and Share Transfer Agents”. KFintech is an Qualified R&T agent as per the given criteria in the said circular. This circular mandates QRTAs to create online tolls for some of the investor service as satisfaction measures. Given under are features for the investors in compliance to the above mentioned circular:

CIRCULARS

INVESTOR SERVICE STANDARD TAT

MF INVESTORS

NUMBER OF SERVICES

TURN AROUND TIME (BUSINESS DAYS)

CHANGE/UPDATION OF BANK DETAILS

T+6

REGISTRATION OF MULTIPLE BANK MANDATE

T+6

CHANGE/UPDATION OF PAN

T+3

CONSOLIDATION OF FOLIOS

T+16

REGISTRATION & CANCELLATION OF SIP/STP/SWP

T+16

REQUEST FOR ACCOUNT STATEMENT

T+3

REQUEST FOR CAPITAL GAIN STATEMENT

T+3

CHANGE OF DIVIDEND OPTION

T+3

CHANGE OF GUARDIAN

T+3

CHANGE OF MODE OF HOLDING

T+3

CHANGE/UPDATION OF BANK DETAILS

T+6

CHANGE OF SIGNATURE

T+6

CHANGE OF TAX STATUS

T+3

CHANGE OF TM STATUS TA CHANGE/CORRECTION OF NAME

T+3

TRANSMISSION

T+10

REGISTRATION OF ONE TIME MANDATE

T+10

REGISTRATION OF POWER OF ATTORNEY

T+6

REGISTRATION/UPDATION/MODIFICATM OF NOMINEE

T+3

REGISTRATION OF DIVIDEND TRANSFER PLAN

T+6

CHANGE OF ADDRESS (NON-KYC INVESTORS)

T+3

UPDATION OF FATCA/CRS INFORMATION

T+3

UPDATION OF KYC STATUS

T+6

UPDATION OF MINOR ATTAINING MAJOR

T+6

UPDATION OF ANY OTHER STATIC DETAILS

T+3

UPDATION OF ULTIMATE BENEFICIARY OWNERSHIP

T+6

REVALIDATION OF DIVIDED/REDEMPTION CHEQUES

T+10

ANY OTHER SERVICE REQUEST NOT COVERED ABOVE

T+6

Investor Service Request

Nature of Service

Expected Timelines (number of days)

Processing of transmission request

21

Processing of issue of duplicate security certificate request

30

Processing of dematerialization request

15

Processing of remat request

30

Processing of Transposition request

15

I. Processing of request for change in I up-dation of

a. Name

30

b. Signature

30

c. Nomination

30

d. Contact details (Address, E-mail address and Mobile number)

15

e. Bank account details

15

II. Processing of request for Up-dation of PAN

15

Processing of Re-validation of dividend I interest I redemption instruments and sending the remittance request files to the bank I Company

15

Grievance Redressal

Providing response to the inquiries of the investors and Redressal of Grievance

30

Other Operational activities

Allotment of securities (IPO)

6

Intimation regarding distribution of corporate benefits (divldend, bonus, stock Split)

a. E-mail communication

15

b. Physical communication

30

KFINTECH ONLINE INVESTOR SURVEY SATISFACTION UPDATE

Online Survey Net Promoter Score as on 7th March 2020 is +32

*TAT as defined by SEBI guidelines

Total Rating 4.2

63%

17%

9%

4%

7%

Excellent

Very Good

Good

Average

Poor

Total Rating 4.5

74%

14%

4%

2%

6%

Excellent

Very Good

Good

Average

Poor

Total Rating 4.2

59%

18%

12%

4%

7%

Excellent

Very Good

Good

Average

Poor

Total Rating 4.4

73%

11%

3%

4%

9%

Excellent

Very Good

Good

Average

Poor