System route
entity grievance channel; SCORES; SMART ODR; exchange/depository systems
Acknowledgement confirms submission or processing; it does not cure wrong applicability, authority, content or timing.
Finin2min Summary — in 2 Minutes
Decision: File complete facts on SCORES and test the ATR against actual correction, not only response text.
Legal owner and source control
Practical workflow
- Identify the exact SCORES complaint and transaction date.
- Assign the legal, business and system owner for SCORES complaint.
- Reconcile approvals, filing evidence and post-event monitoring for SCORES complaint.
Who should sign off
investor; listed entity/intermediary; compliance officer; designated body; conciliator/arbitrator; exchange/depository
The responsible-person map must match the actual transaction, delegation, committee and system access—not only job titles.
Evidence checklist
- SCORES record
- ATR
- account/register/asset proof
- Applicable legal version, circular and event date.
- Maker-checker, exception, escalation and post-event reconciliation evidence.
Common failure
Avoid: Accepting an ATR that does not repair the asset, money, record or disclosure problem.
Portal and cross-law boundary
Other legal owners
SEBI Act; applicable Regulation; limitation and arbitration law; contract and consumer remedies
Complete each approval and filing under its own legal regime.
Finin2min Q&A
What is the first document to prepare?
For Investor Grievances, SCORES and ODR — SCORES filing and Action Taken Report, prepare a dated decision memorandum identifying the entity, transaction or service, legal owner, applicable provision, current circulars, responsible persons and unresolved conditions.
Can the official portal decide legal eligibility?
No. The portal applies configured validations. Legal eligibility, facts, approvals, exceptions and evidence remain the responsibility of the regulated persons.
What changes after a later SEBI instrument?
For Investor Grievances, SCORES and ODR, recheck the effective date, saved actions, open transactions, policies, agreements, forms, system rules, disclosures and client or investor communications affected by this control.