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NISM Certifications · NISM-Series-X-A: Investment Adviser (Level 1) · Grievance Redress Mechanism

A client of a SEBI-registered investment adviser is unhappy with the adviser's response to a written complaint. Which online platform, set up under SEBI's framework, can the client use to lodge the complaint for further redressal?

The client can use SEBI's SCORES platform. It is the centralised web-based grievance redress system on which investors lodge complaints against SEBI-registered intermediaries, including investment advisers. Tax, company law and GST portals serve different purposes and do not handle securities market complaints.

  1. ASEBI Complaints Redress System (SCORES)Correct
  2. BIncome Tax e-filing portal
  3. CMCA21 portal
  4. DGST common portal

Explanation

SCORES is SEBI's web-based centralised grievance redress platform where investors can lodge complaints against registered intermediaries, including investment advisers. The other portals relate to tax and company filings and do not handle securities market grievances.

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