Monthly reporting by Portfolio Managers


 Notice Date : 08 October 2010

 Monthly reporting by Portfolio Managers

 

Cir. /IMD/DF/14/2010

October 08, 2010

 

 

All Portfolio Managers

 

Dear Sir/ Madam,

 

Sub: Monthly reporting by Portfolio Managers

 

1. Please refer to SEBI circular SEBI/IMD/PMS/CIR-3/2009 dated June 11, 2009 regarding submission of monthly report by portfolio managers.

 

2. The format for the monthly report on portfolio management activity has been revised as per enclosed Annexure. All portfolio managers are advised to upload the report in the revised format on SEBI Portal by the 5th of the following month with effect from the report for the month of October 2010 onwards.

 

3. This circular is issued in exercise of powers conferred by sub-section (1) of section 11 and section 11A of the Securities and Exchange Board of India Act, 1992, to protect the interests of investors in securities and to promote the development of, and to regulate the securities market.

 

4. This circular is available on SEBI website at www.sebi.gov.in under the categories “Legal Framework” and “Portfolio Manager”.

 

Yours faithfully,

Maninder Cheema

Deputy General Manager

maninderc@sebi.gov.in

 

Annexure

 

PM MONTHLY REPORT

 

1. DISCRETIONARY SERVICES

 

 

Sr No

 

Types of Clients

No. of Investors as on month end

Net Assets Under Management as on month end (in Rs. crores)

 

 

 

 

 

Equity

Debt

Equity Derivatives

Mutual Funds

Others

 

Total

 

 

 

 

Listed

Unlisted

Plain Debt

Structured Debt*

 

 

 

 

 

Individual

Resident

 

 

 

 

 

 

 

 

 

 

Non-resident

 

 

 

 

 

 

 

 

 

 

Corporate

Resident

 

 

 

 

 

 

 

 

 

 

Non-resident

 

 

 

 

 

 

 

 

 

 

 

FII

 

 

 

 

 

 

 

 

 

 

 

Grand Total

 

 

 

 

 

 

 

 

 

 

 

 

Sr No.

Particulars

1

Gross Sales in the month (Amount in Rs. crores )

2

Gross Purchases in the month (Amount in Rs. crores)

3

Portfolio Turnover Ratio =(Cumulative Purchases in the Month/Funds under portfolio)

4

Performance of the portfolio manager during the month (on weighted average basis for all clients)

5

Value of Assets Managed under PF/EPFO (Amount in Rs. crores) (if any)

 

*Such as equity linked notes, equity linked debentures etc.

 

 

 

2. NON-DISCRETIONARY SERVICES

 

Sr No

 

Types of Clients

No. of Investors as on month end

Net Assets Under Management as on month end (in Rs. crores)

 

 

 

 

 

Equity

Debt

Equity Derivatives

Mutual Funds

Others

 

Total

 

 

 

 

Listed

Unlisted

Plain Debt

Structured Debt*

 

 

 

 

 

Individual

Resident

 

 

 

 

 

 

 

 

 

 

Non-resident

 

 

 

 

 

 

 

 

 

 

Corporate

Resident

 

 

 

 

 

 

 

 

 

 

Non-resident

 

 

 

 

 

 

 

 

 

 

 

FII

 

 

 

 

 

 

 

 

 

 

 

Grand Total

 

 

 

 

 

 

 

 

 

 

 

 

 

Sr No.

Particulars

1

Gross Sales in the month (Amount in Rs. crores )

2

Gross Purchases in the month (Amount in Rs. crores)

3

Portfolio Turnover Ratio =(Cumulative Purchases in the Month/Funds under portfolio)

4

Performance of the portfolio manager during the month (on weighted average basis for all clients)

5

Value of Assets Managed under PF/EPFO (Amount in Rs. crores) (if any)

 

*Such as equity linked notes, equity linked debenture etc

 

 

 

 

 

3. ADVISORY SERVICES

 

Sr. No.

Particulars

1

Number Individual clients

2

Number of Corporate Clients

3

Total Number of clients

4

Value of the Asset for which Advisory Services are being given (Amount in Rs. crores)

 

 

4. DETAILS OF COMPLAINTS

 

Sr No.

Types of Clients

Total No. of complaints pending at the beginning of the month

No. of complaints received during the month

No. of complaints resolved during the month

Total no of complaints pending at the end of the month

 

Individual

Resident

 

 

 

 

 

Non-resident

 

 

 

 

 

Corporate

Resident

 

 

 

 

 

Non-resident

 

 

 

 

 

 

FII

 

 

 

 

 

 

Grand Total

 

 

 

 

 

 

 

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on 09 October 2010
Published in Corporate Law
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