Grievance Redressal & Escalation Matrix
Objective
We are built on fiduciary duty — our clients come before anything else. We address investor grievances with the highest degree of seriousness, sincerity and efficiency, and invest in preventive, customer-centric processes. This policy establishes the mechanism for receiving complaints and resolving them in a fair, suitable and time-bound manner.
Definitions
- Investor — any person or entity who commits capital with the expectation of receiving financial returns.
- Customer / Client — any investor that has an agreement with Alphaware Advisory Services Private Limited to avail our products and/or services.
- Grievance — an expression of unfairness that a customer makes related to the products and/or services offered by the Company, as distinct from general feedback or suggestions that do not seek resolution.
- Redressal — action taken towards resolving problems or issues faced by customers.
How to register a complaint
- Email — write to hereforyou@paterson.co.in.
- Grievance Redressal Officer — contact the Grievance Redressal Officer directly using the details below.
- SCORES 2.0 — SEBI's web-based centralised grievance redressal system (SCORES — also available as the SEBI SCORES mobile app), which enables investors to lodge, follow up on and track the redressal of complaints online.
- SmartODR — if not satisfied with the resolution, disputes may be referred to the SmartODR platform for online conciliation or arbitration.
- Physical complaints — Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan, Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (E), Mumbai 400051.
Grievance Redressal Officer: Sagar Lele
Address: 22/A Shah Industrial Estate, Off Veera Desai Road, Andheri West, Mumbai 400053
Email: sagar@paterson.co.in
Phone: +91 97697 70046 (Mon–Fri, 9 AM – 5 PM)
Escalation Matrix
| Details of | Contact Person | Address | Contact No. | Email ID | Working hours |
|---|---|---|---|---|---|
| Customer Care | Sagar Lele | 22/A Shah Industrial Estate, Off Veera Desai Road, Andheri West, Mumbai 400053 | +91 97697 70046 | hereforyou@paterson.co.in | Mon–Fri: 9 AM – 5 PM |
| Head of Customer Care | Sagar Lele | 22/A Shah Industrial Estate, Off Veera Desai Road, Andheri West, Mumbai 400053 | +91 97697 70046 | hereforyou@paterson.co.in | Mon–Fri: 9 AM – 5 PM |
| Compliance Officer / CEO / Principal Officer | Sagar Lele | 22/A Shah Industrial Estate, Off Veera Desai Road, Andheri West, Mumbai 400053 | +91 97697 70046 | sagar@paterson.co.in | Mon–Fri: 9 AM – 5 PM |
If a complaint is not redressed by the Company to the investor's satisfaction, the investor may escalate it to SEBI through SCORES (first review by the designated body IAASB; second review by SEBI), and thereafter to SmartODR.
Tracking of complaints
- Registration with SCORES, and regular tracking of complaints registered on the portal.
- Monitoring of the grievance email inbox, with complaints flagged as priority communication.
- Maintenance of a digital register recording each complaint, action taken at each step, responsibility for resolution, and communication with the customer.
Responsibility matrix
- All complaints are the primary responsibility of the Compliance Officer.
- The Compliance Officer resolves the complaint directly where a resolution is clearly visible and viable, liaising with the investments, product and operations functions as needed.
- Where a third party we work with is involved (channel partners, execution partners, technology enablers, business support partners), assistance is sought from them towards resolution.
- Unresolved issues are escalated to senior management.
- A record is kept of every complaint received, action taken at each step, and resolution status.
Turnaround time
Every complaint is acknowledged within 48 hours of receipt and resolved not later than 21 days from the date of receipt, in line with SEBI requirements. If resolution requires longer for reasons beyond the Company's control (for example, dependencies on third parties), the interim status and expected timeline are communicated promptly to the customer.