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DEPUTY GENERAL MANAGER

INVESTMENT MANAGEMENT DEPARTMENT

 

SEBI/IMD/PMS/CIR-3/2009

June 11, 2009

 

All Registered Portfolio Managers

 

Dear Sirs,

 

Sub: Submission of Monthly Report

 

1.      All Registered Portfolio Managers are required to submit a monthly report regarding their portfolio management activity every month as per format enclosed in Annexure.

 

2.      In this regard, it is advised that the report shall be uploaded on SEBI Portal by the 5th of the following month. Hard copy of the said report shall not be sent to SEBI.

 

3.      In the said report data pertaining to Assets under Management (AUM) of the portfolio manager as on the last calendar day of each month shall be indicated in Rupees in crores.

 

4.      Procedure to upload monthly report on portal is as follows:

a.      Log on to SEBI Portal at https://portal.sebi.gov.in. using the Username and Password provided at the time of Registration/ Renewal as a portfolio manager.

b.      Select the portfolio manager tab

c.      Select the link: PM Monthly Report

d.      Fill the data in the format provided

e.      Save the data and then Submit

 

5.      In terms of Regulation 23(A) of SEBI (Portfolio Managers) Regulations, 1993 Compliance Officer of the portfolio managers shall be responsible for ensuring compliance with this circular.

 

6.      This circular is issued in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992, read with regulation 39 of SEBI (Portfolio Managers) Regulations, 1993 to protect the interests of investors in securities and to promote the development of, and to regulate the securities market.

 

Yours faithfully,

 

 

Maninder Cheema

Annexure

 

MONTHLY REPORTING REQUIREMENT

FOR PORTFOLIO MANAGEMENT ACTIVITY

___________________________________________________________________

 

DISCRETIONARY SERVICES

 

Sr. No.

Types of clients

No. of Investors as on (month end)

Net Asset Under Management as on (month end)

 

 

 

 

Equity

Debt

Others

Total

 

 

 

 

(in Rs. Crores)

i

Individual

Resident

 

 

 

 

 

ii

Non-Resident

 

 

 

 

 

iii

Corporate

Resident

 

 

 

 

 

iv

Non-Resident

 

 

 

 

 

v

 

FII

 

 

 

 

 

 

 

Grand Total

 

 

 

 

 

 

No

Particulars

Amount (in Rs. Crores)

1

Gross Sales (Amount in Rs. in crs of top ten scrips)

 

2

Gross Purchases (amount in Rs. in crs of top ten scrips)

 

3

Portfolio Turnover Ratio = (Cumulative Purchases/ fund under portfolio)

 

 

NON-DISCRETIONARY SERVICES

 

Sr. No.

Types of clients

No. of Investors as on (month end)

Net Asset Under Management as on (month end)

 

 

 

 

Equity

Debt

Others

Total

 

 

 

 

(in Rs. Crores)

i

Individual

Resident

 

 

 

 

 

ii

Non-Resident

 

 

 

 

 

iii

Corporate

Resident

 

 

 

 

 

iv

Non-Resident

 

 

 

 

 

v

 

FII

 

 

 

 

 

 

 

Grand Total

 

 

 

 

 

 

No

Particulars

Amount (in Rs. Crores)

1

Gross Sales (Amount in Rs. in crs of top ten scrips)

 

2

Gross Purchases (amount in Rs. in crs of top ten scrips)

 

3

Portfolio Turnover Ratio = (Cumulative Purchases/ fund under portfolio)

 

 

ADVISORY SERVICES

 

Sr. No.

Advisory Business

Total

1

Total Number of Individual clients

 

2

Total number of Corporates

 

 

Grand Total

 

 

COMPLAINTS

 

Sr. No.

Types of Clients

No. of complaints received

No. of complaints resolved

No. of complaints pending

Total No. of complaints

i

Individual

Resident

 

 

 

 

ii

Non –resident

 

 

 

 

iii

Corporate

Resident

 

 

 

 

iv

Non-resident

 

 

 

 

v

 

FII

 

 

 

 

 

 

Total

 

 

 

 

 

 

Footnotes : a) Data shall reach SEBI by 5th of every month

b) Data shall be given strictly in above format only. Any additional information    desired, may be filed by a separate annexure.