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.
SEBI Hub › Workflows › Investor Grievances, SCORES and ODR › Root-cause, reporting and recurrence prevention
Finin2min Summary — in 2 Minutes
Decision: Use complaint and ODR outcomes to repair product, disclosure, asset, supervision and system controls.
Legal owner and source control
Practical workflow
- Identify the exact post-resolution governance and transaction date.
- Assign the legal, business and system owner for post-resolution governance.
- Reconcile approvals, filing evidence and post-event monitoring for post-resolution governance.
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
- root-cause analysis
- control remediation
- board/regulatory trend reporting
- Applicable legal version, circular and event date.
- Maker-checker, exception, escalation and post-event reconciliation evidence.
Common failure
Avoid: Closing individual cases without correcting the repeated control or disclosure failure.
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 — Root-cause, reporting and recurrence prevention, 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.