9911796707
TMI BlogPeriodic reporting format for Investment AdvisersX X X X Extracts X X X X X X X X Extracts X X X X ..... pervision of Investment Advisers ("IAs") under regulation 14 of the IA Regulations. At present, the IAASB has been seeking reports from IAs on an ad-hoc basis. It is decided to specify a standardized format for periodic reporting for IAs. Consultative process for development of periodic reporting format 3. Pursuant to formation of Industry Standards Forum ("ISF") for IAs, ISF has discussed the development of a standardized format for periodic reporting for IAs and has provided its recommendations to SEBI in this regard. Based on the recommendations received from ISF, a standardized periodic reporting format for submission of information by IAs pertaining to their activities on periodic basis has been prepared. The periodic reporting forma ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... I website at www.sebi.gov.in under the categories "Legal > Circulars", "Info For > Investment Advisers". Yours faithfully, Aradhana Verma General Manager Tel. No: 022-26449633 E-mail: [email protected] Annexure I Periodic Reporting Format for Investment Advisers General details of Investment Adviser (IA) for the half year ended on ………………(DD/MM/YYYY) Sr. No. Particulars Details 1 Registered Name of IA (as per SEBI registration certificate) 2 Trade Name/ Brand Name as IA 3 Permanent Account Number (PAN) 4 SEBI Registration Number 5 Enlistment/Membership Number of IAASB 6 Logo (if any) Yes/No 7 Date of Birth for individual IA/ Date of ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... irectors) Director-1 Director-2 Director-3 Name PAN Date of Birth (DD/MM/YYYY) DIN 22 Shareholding Pattern (provide details of shareholders having a holding of 10% or more) Sharehold er-1 Shareholde r-2 Sharehol der-3 Name of shareholder Number of shares % of shareholding 23 Total number of Persons Associated with Investment Advice (PAIA) (does not include individual IA or principal officer of non-individual IA) 24 NISM certification details (provide details of all such persons) Please specify for each person whether the person is IA/PAIA/PO Name Person-1 Person-2 Person-3 Email ID Date of Birth (DD/MM/YYYY) PAN Validity of Certific ate NISM -X ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... pending at the end of the period Total number of complaints pending for up to 21 days (a) Number of complaints pending from 22-90 Days (b) Number of complaints pending for more than 90 Days (c) Total number of complaints pending (a+b+c)=d 6 Average Complaint resolution time (Average complaint Resolution time is the sum total of time taken to resolve each complaint in days, in the concerned half year period divided by total number of complaints resolved in the said half year period.) 7 Breakup of type of complai nts received during the period Inappropriateness/ unsuitability of advice Issues related to excess fee charged Under Fixed fee mode Under Assets under Advice (AUA) based fee mode Inadequacy/ issues relate ..... X X X X Extracts X X X X X X X X Extracts X X X X
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