Monthly reporting by Portfolio Managers - SEBI - Cir. /IMD/DF/14/2010

CIRCULAR 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 [email protected] 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