DEPUTY GENERAL MANAGER
INVESTMENT MANAGEMENT DEPARTMENT
June 11, 2009
All Registered Portfolio Managers
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.
MONTHLY REPORTING REQUIREMENT
FOR PORTFOLIO MANAGEMENT ACTIVITY
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.