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Submission of Monthly Report - SEBI - SEBI/IMD/PMS/CIR-3/2009Extract 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 5 th of every month b) Data shall be given strictly in above format only. Any additional information desired, may be filed by a separate annexure.
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