NSEIL

National Stock Exchange of India Ltd.

User Manual for NICE Plus

Document Name User Manual : Investor Login

Version 1.0
Release Date December 15, 2018

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TABLE OF CONTENT

1. ABOUT THIS GUIDE

1.1. Purpose of this Guide……………………………………………………………………3
2. GETTING STARTED
 Investor Login Screen …………………………………………………………………………………………4
 Registration Process …………………………………………………………………………………………..4
 Login Process………………………………………………………………………………………………………8
 Forgot Username ……………………………………………………………………………………………….9
 Forgot Password ………………………………………………………………………………………………11
 Change Password …………………………………………………………………………………………….13
3. DASHBOARD
3.1. Dashboard………………………………………………………………………………………………………….……….15
 Filing ISC Complaints …………………………………………………………………………………..16
 Filing Arbitration Matter ……………………………………………………………………………..26
 Filing Appellate Matter ……………………………………………………………………………….29
3.2. New Complaints………………………………………………………………………………………………………….35
3.3. Pending Complaints …………………………………………………………………………………………………...36
3.4. Closed Complaints ………………………………………………………………………………………………………36
3.5. Draft Complaints ………………………………………………………………………………………………………..37
3.6. Rejected Complaints ……………………………………………………………………………………...............37
4. COMMUNICATION BETWEEN PARTIES AND EXCHANGE ……………………………………………………38

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1. About This Guide

 PURPOSE OF THIS GUIDE

This document will guide an investor in filing a complaint / arbitration matter against the
trading member using the enhanced web based portal of NSE viz. NSE Investor Centre (NICE
Plus)

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2. Getting Started

An investor having a complaint against trading member can file the same through NICE Plus.
Investor can also file Arbitration and Appellate arbitration mattes against trading members
using NICE Plus.

STARTING
An investor can access NICE Plus by following the path: http://www.nse-
investorhelpline.com/NICEPLUS

It is best viewed in Google Chrome.

 INVESTOR LOGIN SCREEN -

On clicking the above link, the below screen will be displayed :

First time investor will have to Register itself as “New User” as per the below process:

 REGISTRATION PROCESS:

For New User Registration the following is the link http://www.nse-

investorhelpline.com/NICEPLUS click on New User.

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Click on New User, the following page will be rendered.

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The asterix (*) will guide on the mandatory fields, Enter PAN No., First Name, Last Name,
DOB, Mobile, Email Id, Flat No, Street Name, City . On selecting the City the District, Nearest
Regional office and State will be auto populated, the Pin code needs to be input. Please
enter Email ID and Mobile Number correctly as the OTP and login credentials will be send
on the same.

KYC address also needs to be submitted, it may be noted that the complaint will be handled
from the Nearest Regional Office to the KYC address and all the correspondence will be sent
to this address.

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Failure to add any of the mandatory fields will be indicated by an error sign as shown below:

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On clicking submit, the following page will be shown. One Time Password will be sent to the
Investor registered mobile / email id, the investor needs to enter OTP.

On entering the OTP and clicking on either “Continue to File a Complaint” or “File a
Complaint Later” an email will be sent to the registered email id providing the Login
Credentials and the below screen shall appear:

 LOGIN PROCESS

1. The Login Page has the following three input fields:

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 Username
 Password
 Captcha
2. Both the username as well as passwords can be alpha numeric.
3. Along with this the login page also has the following two buttons:
 Login
 Reset
4. Added to this, the page also has the following links:
 Forgot Username
 Forgot Password
 Change Password
5. In order to login into the NSE Investor Centre (NICE Plus) Interface, an Investor needs to
have a valid Login Id & Password.
6. Upon entering the invalid login, an alert message will be displayed as follows:

 FORGOT USERNAME:

On not being able to recollect the username, please click on Forgot Username link which
will show the following pop-up.

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Out of the 4 input fields, First Name is mandatory. Added to this, the Investor needs to
enter either PAN or Mobile No and Email Id or any combination of two or all three.

On clicking “Get Username”, the following message will appear on the pop-up window,
and an email will be sent to the registered email id with the username.

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 FORGOT PASSWORD

On not being able to recollect the password, please click on “Forgot Password” Link which
will show the following pop-up.

The user needs to enter the valid username or PAN, otherwise the following message will
be encountered.

Upon entering the username, you need to check the radio button corresponding to your
registered mobile no.

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Click on “Get Password” and the One-Time-Password will be sent to email or on your mobile
no. Enter the received OTP and again click on “Get Password”

On Clicking “Get Password”, Change Password link will be sent to your registered email-id.

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Upon clicking on the Change Password link sent on registered e-mail id, following screen will
be opened. User can enter new password and login.

 CHANGE PASSWORD

In order to change the password, enter the password sent on your e-mail id in ‘Old
password’ field and enter / confirm your new password and the click on Change Password.

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In order to successfully change the password, all the fields in the snapshot are mandatory.
The user needs to enter a valid username, old password. Added to this, the user needs to
enter a new password of his/her own choice and confirm the same in the subsequent field.

Note: The New Password should adhere to the pattern: Minimum Length – 8 Characters,
Maximum Length – 15, Alphanumeric, At least 1 upper case character, 1 lower case
character and at least 1 special symbol (@,$,=,!,:,#,%). E.g. Abcd@1234.

Next, click on the change password button and the user will receive the following message.

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3. DASHBOARD

DASHBOARD

Upon successful login into the application (via Valid Username, Password & Captcha) the
following dashboard screen will be displayed.

3.1 SERVICES
New Complaint can be filed through services tab.’

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If a complaint needs to be lodged against the Trading Member, an Investor can go to

Services >> New Complaint >> Complaint against TM or click the button “File Complaint” at
the bottom of the Screen

 FILING ISC COMPLAINT

On clicking “Complaint against TM” the ISC Complaint form with three parts A, B & C will
appear.

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Next, the Investor needs to enter the name of the trading member against whom, the
complaint is to be lodged under the Respondent Details, drop down with possible names
will appear.

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Next, the Investor needs to mention, whether the complaint has been taken up with the
Trading Member. On clicking “Yes”, additional two input fields for Contact Officer Name and
Contact Officer Number will appear which are mandatory.

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Next, the investor needs to select the relevant relationship with the TM and enter the UCC,
both of which are mandatory fields.

A Complainant can have following relationship with the TM.

 Investor: A Complainant can be an investor who holds a trading account with the
Trading Member of NSE.
 Sub Broker: A Complainant can be a Sub Broker of a Trading member.
 Authorized Person: A Complainant can be an Authorized person.

Based on the selected relationship, the complainant needs to add either the Unique Client
Code (UCC), Sub broker code or Authorized Person code.

Next, the investor needs to click on “Save & Continue”.

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In ‘Part B: Complaint Details’ investor needs to enter the details of the complaint.

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Investor will identify and select the nature or type under his/her complaints belongs to. On
selecting the same, separate window will be provided to enter the details.

Investor while entering the details in a particular nature of complaint can either add more
rows pertaining to the same or delete a row or rows by checking the corresponding check
boxes. Thereafter, the investor needs to click on “Save”.

On saving each nature of complaint, investor will get the following alert.

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On clicking “Save & Continue” at the bottom-right of the page, the following alert will
appear.

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The investor needs to click on “yes” after which Part C i.e. Reference/Source details will
appear as follows:

In case, investor’s claim/loss does not match with the Total Claim Amount (auto computed
value) then the investor can put his/her claim value in the field ‘Amount Claimed by
Applicant’ and put comments mentioning about the valuation of amount claimed.

The investor needs to click on “Save & Continue” after which a “Verify” button will appear
as follows:

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On clicking the “Verify” button, the investor will be directed to the Complaint Form
Summary page as follows:

On the complaint form summary page, the investor has 3 options i.e. to “Confirm &
Submit”, “Edit” & “Save for Later”.

 The “Confirm & Submit” button will result in the final submission of the complaint
 The “Edit” button will direct the investor to the complaint form wherein the investor can
edit the details of the complaint.
 The “Save for Later” option will save the complaint in the draft mode that can be
submitted later as per the convenience of the investor.

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On clicking the “Submit & Confirm” button, the following window will appear for uploading
document, the investor needs to upload the documents pertaining to complaint. In
addition, the investor needs to check the declaration statement and click on “Submit”
button.

Upon final submission, a unique reference number will be generated and displayed on the
confirm message alert for the further perusal of the investor. The investor then needs to
click on “OK” button which will direct him/her to dashboard. Additionally, clicking on the
“Save as PDF” button saves the entire complaint summary page in the PDF format.

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On successful submission, a unique reference number will be generated and the complaint
will be taken up for appropriate action by the Exchange, every action taken by the
Exchange, investor and trading member shall be reflected in the dashboard.

 FILING ARBITRATION MATTER

The process to file a complaint with the Arbitration is also the same as described above
except for Arbitration the complaint form has an additional arbitration part which is
explained as follows:

Investor can file an arbitration complaint only for those complaints which have been
resolved or closed in NICE Plus.

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Part A and Part B for filing an arbitration complaint are same as filing an ISC Complaint
except that part B has additional 2 issues i.e. Legal Cost & Mental Harassment.

Legal Cost:

Mental Harassment:

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Part C for Arbitration has mandatory fields i.e. Case From to be selected as “New Case”,
Dispute Date, Amount Claimed by Applicant (in case the amount calculated as per details
provided in is different from the claim amount), and Representation of Case which needs to
be entered by the Investor. Along with this, a choice of Arbitrators is also required which is
mandatory.

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On submission of the complaint page, a summary page will appear which is same as the one
which appears for the ISC Complaint. On the final submission, a Unique Reference Number
will be generated. Arbitration cost is automatically computed. The Arbitration Cost payable
by Investor needs to be remitted by way of Cheque / Demand Draft in favour of “National
Stock Exchange of India Ltd.”

 FILING an APPELLATE ARBITRATION

An Appeal can be filed only on the Arbitration Case that has been closed by Exchange in
NICE Plus. Investor should select the radio button adjacent to the closed Arbitration Case
for which he/she desires to file an Appeal.

An Appeal Application Form will be shown comprising 3 parts: General Information,

Complaint Details & Arbitration Details. Out of the 3 parts, General Information Part is non-
editable.

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The Complaint Details section shall populate data from Arbitration and investor is free to
add “Legal Cost” or “Mental Harassment”. Once all the nature of complaints have been
entered, investor needs to click on Save & Continue.

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Part C: Arbitration Details needs to be filled out by the investor wherein the Representation
of case, Total Amount Claimed by Applicant, Choice of Arbitrators is mandatory has to be
filled out by the investor. Appellate Arbitration cost is automatically computed.

The investor needs to click on “Save & Continue” after which a “Verify” button will appear
as follows:

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The investor needs to click on “Verify” after which, the following complaint summary page
will be rendered.

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On clicking “Confirm & Submit”, user needs to upload documents and check the declaration
and click on “Submit”.

Next, a unique reference number will be generated as follows:

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3.2 NEW COMPLAINTS

The investor dashboard consists of 5 Tabs:

New Complaints: This tab shows all the new complaints which have been filed by the
investor.

Clicking on the Reference Number takes the investor to the summary page of the complaint
that has been filed by the investor

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3.3 PENDING COMPLAINTS

Pending Complaints: This tab shows complaints filed by the investor which have been
registered and are pending to be resolved at the Exchange end. Further this tab will also
show new Arbitration cases filed by investor against the trading member:

3.4 CLOSED COMPLAINTS

Closed Complaints: This tab shows all the complaints which have been closed from the
exchange end. In addition to this, investor can also file an arbitration for the complaint
closed in IGRP or an appeal for the complaint closed in Arbitration.

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3.5 DRAFT COMPLAINTS

Draft Complaints: Draft complaints are those wherein the investor has filled the complaint
form but not submitted the same to the Exchange.

3.6 REJECTED COMPLAINTS

Rejected Complaints: This tab shows all the complaints which have been rejected from the
Exchange end.

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4 COMMUNICATION BETWEEN PARTIES AND EXCHANGE

During the course of complaint, there will be communication between different entities or
stakeholders pertaining to the complaint. For e.g. if the Exchange Officer decides to seek
additional documents from the investor then the same will be communicated to the
investor which will be displayed on the Complaint Summary Page under “Complaint
Resolution”. The Investor shall provide the details sought by the Exchange from the
“Communication between Applicant and Respondent” tab. The parties will be able to
communicate with each other through the “Communication between Applicant and
Respondent” tab as shown below:

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