Investment Management Department (IMD)

Division of Funds 1(Portfolio Managers, Venture Capital, Corporate Bonds, etc.) 2 (Mutual Funds: Policy and Inspections) and 3 (Mutual Funds: Registration of Mutual Fund, Operations and Investor complaints)

Division of Funds 1(Portfolio Managers, Venture Capital, Corporate Bonds, etc.) 2 (Mutual Funds: Policy and Inspections) and 3 (Mutual Funds: Registration of Mutual Fund, Operations and Investor complaints):

- Registrations

- Policy related issues

- Inspections

- Investor Complaints

- Regulatory actions.

Investor Complaints Cell:

The cell would receive complaints relating to their respective entities from the OIAE and take follow up action and report back to OIAE. If regulatory action is required, the Cell shall keep the OIAE informed.

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Division of Foreign Portfolio Investors and Custodians

The Division will handle all work related to: - FIIs - Custodians - Regulatory action wherever required. Investor Complaints Cell: The cell would receive complaints relating to FIIs and custodians from the OIAE and take follow up action and report back to OIAE. If regulatory action is required, the cell shall keep the OIAE informed. Go to Division Section

Division of Collective Investment Schemes

This Division administers the SEBI (Collective Investment Schemes) Regulations 1999. It includes work relating to the following:

- Existing CIS entities

- Investigating complaints of purported CIS entities

- Grant of provisional registration to existing CIS entities in terms of regulation 73 of the Regulation

- Taking action against the entities for non compliance with the regulations like, prohibitory orders and launching prosecutions against errant entities and their promoters/ directors and key management personnel.

- Providing evidences in courts pertaining to prosecution proceedings.

- Registration of Collective Investment Management Companies

- CIMC The above activities are also conducted at the regional offices of SEBI, wherever the address of the CIS entity is located.

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Investor Complaints Cell

The cell shall address the complaints of investors relating to CIS or alleged CIS entities from the OIAE. The Division shall take action and report back to OIAE about the same. The Regional Offices of SEBI report the status of complaints to Head Office Division of CIS. In case of regulatory actions, the OIAE shall be informed about the same. Go to Division Section