INVESTOR GRIEVANCES

DP Investor Complaints

Investor Complaints Data by Depository Participants (DP)

Reference: SEBI Circular No. SEBI/HO/MIRSD/DOP/OW/P/2021/31347/1 dated December 15, 2021

Investor Complaints Data for month ending March 2025

SNo	Recieved from	Carried forward from previous month	Received during the month	Total Pending	Resolved*	Pending at the end of the month**		Average Resolution on time^ (in days)
SNo	Recieved from	Carried forward from previous month	Received during the month	Total Pending	Resolved*	Pending for less than 3 Months	Pending for more than 3 Months	Average Resolution on time^ (in days)
1	2	3	4	5	6	7		8
1	Directly from Investors	0	0	0	0	0	0	N.A
2	SEBI (SCORES)	0	0	0	0	0	0	N.A
3	DEPOSITORY	0	0	0	0	0	0	0
4	Other Sources (if any)	0	0	0	0	0	0	N.A
	Grand Total	0	0	0	0	0	0	0

^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.

Trend of monthly disposal of Complaints

SNo	Month	Carried forward from previous month	Received	Resolved*	Pending#
1	April 2024	0	0	0	0
2	May 2024	0	0	0	0
3	June 2024	0	1	1	0
4	July 2024	0	4	4	0
5	August 2024	0	1	1	0
6	September 2024	0	1	1	0
7	October 2024	0	3	3	0
8	November 2024	0	0	0	0
9	December 2024	0	0	0	0
10	January 2025	0	1	1	0
11	February 2025	0	0	0	0
12	March 2025	0	0	0	0

Trend of annual disposal of complaints

SNo	Year	Carried forward from previous year	Received during the year	Resolved during the year	Pending at the end of the year
1	2017-2018	0	10	10	0
2	2018-2019	0	9	9	0
3	2019-2020	0	6	6	0
4	2020-2021	0	6	6	0
5	2021-2022	0	10	10	0
6	2022-2023	0	20	20	0
7	2023-2024	0	11	11	0
8	2024-2025	0	11	11	0
	Grand Total	0	83	83	0

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• Precautions for clients dealing in options • || • Investor Charter : Annexure A – Stock Broker | Annexure A – Research Analyst (RA) | Annexure A – DP | Annexure B - DP • || • Advisory for KYC updation • || • Advisory for Investors • || • Investor Awareness regarding the revised guidelines on Margin Collection • || • Link your Aadhar number with us here. • || • IPO Subscription: " UPI Mechanism is Compulsory for Retail Investors. No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account." • || • Prevent Unauthorized Transactions in your Demat Account remains in investor's account." • || • Prevent Unauthorized Transactions in your Demat Account- Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile number for all debit and other important transactions in your demat account directly from CDSL on the same day. “ISSUED IN THE INTEREST OF INVESTORS” "Prevent unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day . Issued in the interest of Investors."

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KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary. Receive alerts on your Registered Mobile number for all debit and other important transactions in your demat account directly from CDSL on the same day. Prevent unauthorised transactions in your account Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day.

Sushil Financial Services Private Limited - CIN No. U67120MH1991PTC063438- Member : BSE/ NSE. SEBI Registration No. - INZ000165135.. Depository Participant (CDSL) SEBI Registration No.- IN-DP-504-2020. Research Analyst SEBI Registration No.- INH000000867. BSE Enlistment no for RA : 5051. IPO Distributor. AMFI Registered Mutual Fund Distributor ARN No. 77875 Registered Since : 04-Jan-2010 Valid till : 03-Jan-2027

Compliance Officer Details: Name: Mr. Suresh Nemani, Email id: suresh.nemani@sushilfinance.com, Contact No: 022-40935000. In case of any grievances, please write to us on compliance@sushilfinance.com

Disclaimer :
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