Legal
Grievance redressal.
If something goes wrong, we want to hear it and fix it. This page sets out exactly how to raise a complaint, how we handle it, and how to escalate it to the regulator if we have not resolved it well enough. The route is open, not buried.
Start by telling us. Most concerns are resolved fastest with a direct message to our team.
If you are not satisfied, escalate to our Grievance Officer, and after that to SEBI's SCORES platform and the SMART-ODR portal. Those routes are independent of us, and we are listing them for you on purpose.
Our commitment
Third Rock Wealth is a SEBI-registered Mutual Fund Distributor. We take complaints seriously, we record every one, and we aim to resolve them quickly and fairly. Raising a complaint costs you nothing and does not affect how you are treated as a client.
A complaint can be about anything connected with the service: a transaction, a communication, the website, how your data was handled, or the conduct of a team member. If in doubt, raise it.
Step 1, contact us
Most concerns are resolved fastest by telling our team directly. You can reach us by any of these routes:
- Data or privacy concerns
- privacy@thirdrockwealth.com
- Phone
- [phone number to be confirmed]
- Contact form
- thirdrockwealth.com/contact
- Hours
- Monday to Friday, 10 am to 7 pm IST
We will acknowledge your complaint within 3 working days and work to resolve it. See section 7 for the timelines we hold ourselves to.
Step 2, our Grievance Officer
If your complaint is not resolved at Step 1, or you are not satisfied with the outcome, you can escalate it to our Grievance Officer. The Grievance Officer is the person formally responsible for complaint resolution at Third Rock Wealth.
- Grievance Officer
- [name to be confirmed]
- Designation
- [designation to be confirmed]
- [grievance email to be confirmed]
- Address
- Third Rock Wealth, Pune, Maharashtra, India [full address to be confirmed]
Please mention that this is an escalation, and include any reference number from Step 1, so the Grievance Officer has the full history.
Step 3, SEBI SCORES
If you are still not satisfied after escalating to our Grievance Officer, or if you have not received a response within the timelines below, you can lodge a complaint with the Securities and Exchange Board of India (SEBI) through SCORES, the SEBI Complaints Redress System.
SCORES is SEBI's official online platform for investor complaints against SEBI-registered intermediaries. It is independent of us. You can access it at scores.sebi.gov.in.
We are listing SCORES prominently, and on purpose. A regulator-run complaint channel is a check on us, and you are entitled to use it.
Step 4, online dispute resolution
SEBI also provides an Online Dispute Resolution mechanism for the securities market, known as SMART-ODR. If a dispute connected with your investments is not resolved through the steps above, it can be referred to independent online conciliation and, if needed, arbitration through this portal.
You can access it at smartodr.in. Using SCORES or SMART-ODR does not take away any other right or remedy available to you under law.
AMFI
Third Rock Wealth is registered with the Association of Mutual Funds in India (AMFI) as a Mutual Fund Distributor. Complaints regarding the conduct of a mutual fund distributor may also be raised with AMFI. Our AMFI registration number is shown in the site footer and is currently [ARN to be confirmed, pending].
Timelines at a glance
These are the timelines we hold ourselves to. Where SEBI or AMFI prescribe specific timelines for a regulated intermediary, those prescribed timelines apply and we follow them.
- Acknowledgement
- Within 3 working days of receiving your complaint
- Resolution
- We aim to resolve within 21 calendar days, and will keep you updated if a complaint genuinely needs longer
- Escalation to SCORES
- Available if you are unsatisfied, or if you have not heard from us within the resolution period
These service timelines are a placeholder commitment for this draft. [Confirm against the current SEBI and AMFI prescribed timelines with counsel before publication.]
What to include
To help us resolve your complaint quickly, please include where you can:
- your name and the email or mobile number registered with your account;
- what happened, with dates;
- any reference or transaction number;
- what outcome you are looking for;
- any earlier reference number, if this is an escalation.
You can also read our Terms and Conditions, Privacy Policy and Disclaimer, which explain the service and how it works.