Is investor grievance handling a compliance responsibility?

Yes. Listed SME companies are required to handle investor grievances as part of their compliance obligations. Under Regulation 13(3) of SEBI (LODR), they must submit a quarterly statement detailing the number of investor complaints received, resolved, and pending.

Beyond reporting, companies must also maintain an effective internal grievance redressal mechanism. This includes appointing a compliance officer, coordinating with the Registrar and Transfer Agent (RTA), and ensuring timely resolution of complaints to uphold investor trust and meet regulatory expectations.

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