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Basic details of DP

Registration No - IN-DP-641-2021

Registered address of Head Office - 27BKC, C 27, G Block, Bandra Kurla Complex, Bandra (East), Mumbai 400054

NAMES AND CONTACT DETAILS OF KEY MANAGERIAL PERSONNEL- (KMPs)

Name	Designation	Email ID & Customer care no
Mr. Ashok Vaswani	Managing Director & CEO	Click here 022-61660000
Ms. Shanti Ekambaram	Deputy Managing Director
Ms. Avan Doomasia	Company Secretary
Mr. Devang Gheewala	Chief Financial Officer
Mr. Jaideep Hansraj	Executive Director

As per Annexure A (NSDL Circular - NSDL/POLICY/2022/122)

Escalation Matrix:

Details of	Contact Person	Address	Contact No.	Write to us	Working Hours
Customer care	Archana Shukla	Kotak Infinity, 4th floor, Zone IV, Bldg No. 21, Infinity Park, General AK Vaidya Marg, Malad (E), Mumbai - 400097	022-62042110	Click here	Monday to Friday 10.00 AM-6.00 PM
Head of Customer care	Mr. Amit Shah	Kotak Infinity, 4^th floor, Zone I, Bldg No. 21, Infinity Park, General AK Vaidya Marg, Malad (E), Mumbai – 400097	022-62042120	Click here	Monday to Friday 10.00 AM-6.00 PM
Compliance Officer	Mr. Ashish Mishra	6^th Floor, Compliance Department, 27 BKC, G-Block, Bandra-Kurla Complex, Bandra (East), Mumbai-400 051	022-61661673	Click here	Monday to Friday 9.30 AM-6.00PM
CEO	Mr. Ashok Vaswani	Kotak Mahindra Bank 27 BKC, 9^th Floor, Plot No. C 27, G Block, Bandra Kurla Complex, Bandra East, Mumbai 400051	022-61660000	Click here	Monday to Friday 9.30 AM-6.00 PM

As per Annexure A (CDSL Circular - CDSL/POLICY/2022/122)

Escalation Matrix:

Details of	Contact Person	Address	Contact No.	Write to us	Working Hours
Customer care	Archana Shukla	Kotak Infiniti, 4^th Floor, Zone 4, Bldg No.21, Infinity Park, Off Western express Highway, General AK Vaidya Marg, Malad (E), Mumbai – 400097	022-62042110	Click here	Monday to Friday 10.00 am to 6.00 pm
Head of Customer care	Mr. Amit Shah	Kotak Infinity, 4^th floor, Zone I, Bldg No. 21, Infinity Park, General AK Vaidya Marg, Malad (E), Mumbai - 400097	022-62042120	Click here	Monday to Friday 10.00 am to 6.00 pm
Compliance Officer	Mr. Ashish Mishra	6^th Floor, Compliance Department, 27 BKC, G-Block, Bandra-Kurla Complex, Bandra (East), Mumbai-400 051	022-61661673	Click here	Monday to Friday 09.30 am to 6.00 pm
CEO	Mr. Ashok Vaswani	Kotak Infinity, 4^th floor, Zone I, Bldg No. 21, Infinity Park, General AK Vaidya Marg, Malad (E), Mumbai - 400097	022-61660000	Click here	Monday to Friday 10.00 am to 6.00 pm

In absence of response/ complaint not addressed to your satisfaction, you may lodge a complaint with CDSL at https://www.cdslindia.com/Footer/grievances.aspx or SEBI at https://scores.gov.in/scores/Welcome.html. Please quote your Complaint Ref No. while raising your complaint at Depository/ SEBI SCORES portal.

“After exhausting all the options for resolution of the grievance, if you are still not satisfied with the outcome, you may avail the services of a common “Online Dispute Resolution Portal (“ODR Portal”) established under the aegis of the stock exchanges and depositories. ODR Portal harnesses online conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market.

Note - The dispute resolution through the ODR Portal can be initiated when the complaint/dispute is not under consideration in terms of the paragraph 11 above or SCOREs guidelines as applicable or not pending before any arbitral process, court, tribunal or consumer forum or are non-arbitrable in terms of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to the insolvency process or if liquidation or winding up process has been commenced against the Market Participant) or is against the Government of India / President of India or a State Government / Governor of a State.

It is clarified that Listed companies (and their registrars and transfer agents), specified intermediaries and regulated entities specified in Schedules A and B as well as institutional or corporate clients shall initiate claims or disputes in accordance with paragraph 3(a) and/or 3(b) of the Master Circular on ODR dated 28th December 2023 , as applicable, unless the matter is non-arbitrable in terms of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to the insolvency process or if liquidation or winding up process has been commenced) or is against the Government of India / President of India or a State Government / Governor of a State”.

DETAILS OF AUTHORISED PERSONS

Name	Designation	Contact
Cletus Dsilva	Vice President	022 69410602 - Extn: 10700
Sumit Jayakar	Senior Vice President	022 69410602 - Extn: 10844
Sanjay Mehta	Senior Vice President	022 69410602 - Extn: 10774
Vickram Valecha	Senior Vice President	022 69410602 - Extn: 10696

PROCEDURE FOR ACCOUNT OPENING

Client to approach the business team on E-mail ID - [email protected]

Relationship Manager (RM) will connect with the client to understand the requirements and explain the detailed features and fee structure for Custody DP services.

iii. If the client wishes to go ahead with the Account opening, RM will introduce the client with Custody DPs onboarding team and share Due Diligence Questionnaire (DDQ) to understand the structure, background and other requirements of the client in detail

Client will have to provide filled DDQ, basis which list of documents for account opening will be shared by the Custody DPs onboarding team.
Documents shall be reviewed for their completeness and Custody DP Services will then be provided to the client subject to complete set of required documents as requested are provided to the Onboarding team to grant registration (incase of FPI’s) and account opening.

Steps to file a complaint.

Please refer to the escalation matrix to register any grievance. The time for resolution of complaints is 7 working days. To check the status on the grievance you may write to the email ids provided below in the escalation matrix.

The email ID [email protected] caters only to Custody Services related queries/grievances/complaints. Queries/grievances/complaints relating to other services of the Bank received on this email, will not be responded to.

For queries/grievances/complaints relating to other services of the Bank, please write to [email protected] or connect with the helpline numbers available on website - https://www.kotak.com/en/help-center.html

Escalation Matrix: As per Annexure A (NSDL Circular - NSDL/POLICY/2022/122)

Details of	Contact Person	Address	Contact No.	Email Id	Working Hours
Customer care	Archana Shukla	A Wing, 5th Floor Intellion Square Infinity IT Park , General Arun Kumar Vaidya Marg Malad East, Mumbai, 400097	022-62042110	[email protected] [email protected]	Monday to Friday 10.00 AM-6.00 PM
Head of Customer care	Amit Shah	Kotak Infinity, 4th floor, Zone I, Bldg No. 21, Infinity Park, General AK Vaidya Marg, Malad (E), Mumbai – 400097	022- 62042120	[email protected]	Monday to Friday 10.00 AM-6.00PM
Compliance Officer	Ashish Mishra	6^th Floor, Compliance Department, 27 BKC, G-Block, Bandra-Kurla Complex, Bandra (East), Mumbai-400 051	022 - 61661673	[email protected]	Monday to Friday 10.00 AM-6.00PM
CEO	Ashok Vaswani	Kotak Mahindra Bank, 27 BKC, 9^th Floor, Plot No. C 27, G Block, Bandra Kurla Complex, Bandra East, Mumbai 400051	022-61660000	[email protected]	Monday to Friday 9.30 AM-6.00PM

In absence of response/complaint not addressed to your satisfaction, you may lodge a complaint with NSDL at https://www.epass.nsdl.com/complaints or SEBI at https://scores.sebi.gov.in/. Please quote your Complaint Ref No. while raising your complaint at Depository/ SEBI SCORES portal.

After exhausting all the options for resolution of the grievance, if you are still not satisfied with the outcome, you may avail the services of a common “Online Dispute Resolution Portal (“ODR Portal”) established under the aegis of the stock exchanges and depositories. ODR Portal harnesses online conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market.

Note - The dispute resolution through the ODR Portal can be initiated when the complaint/dispute is not under consideration in terms of the paragraph 11 above or SCOREs guidelines as applicable or not pending before any arbitral process, court, tribunal or consumer forum or are non-arbitrable in terms of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to the insolvency process or if liquidation or winding up process has been commenced against the Market Participant) or is against the Government of India / President of India or a State Government / Governor of a State.

It is clarified that Listed companies (and their registrars and transfer agents), specified intermediaries and regulated entities specified in Schedules A and B as well as institutional or corporate clients shall initiate claims or disputes in accordance with paragraph 3(a) and/or 3(b) of the Master Circular on ODR dated 28th December 2023 , as applicable, unless the matter is non-arbitrable in terms of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to the insolvency process or if liquidation or winding up process has been commenced) or is against the Government of India / President of India or a State Government / Governor of a State.