New Scheme Report
Summary
This document is a SEBI circular dated February 29, 2008, instructing mutual funds to submit the New Scheme Report in a revised format. The revision accounts for policy developments regarding the waiver of load for direct applicants and the removal of initial issue expenses. The circular mandates the use of this new format for future submissions to protect investor interests.
Text
format of the New Scheme Report has been revised... Accordingly, in future, New Scheme Report may be submitted in this revised format.
1. Scheme Name : 2. Scheme Type ( ) : Open Ended/Close Ended/Interval 3. Date of Opening : 4. Date of Closing of Scheme/ Initial Subscription Period/ Transaction Period : 5. Maximum Subscription Amount acceptable as per Offer Document : 6. Minimum Target Amount to be raised (Rs) :
1. No. of applicants : Direct - Broker - 2. No. of applicants rejected & their total value (Rs): 3. NFO expenses incurred (Rs) : 4. Entry Load incurred (Rs) : 5. Subscription Received (Rs) : Direct - Broker - 6. Allotment Date : 7. Listing (Names of stock exchanges) :
(If subscription received is less than minimum target amount to be raised).
Sr.No Unit holding pattern No. of Unitholders Direct Broker No. of units held Direct Broker Holding as % of net asset Direct Broker 1 Individuals 2 NRIs/OCBs 3 FIIs 4 Corporates/Institutions/Others TOTAL
Please confirm whether the number of investors holding more than 25% of the net assets of the scheme and total holdings by such investors in percentage terms have been communicated to all unit holders through allotment letters/ account statements : Yes/ No
If any unit holder is holding more than 25% of the net assets of the scheme, please give the following details. Sr.No Name of the unit holder Classification Address No. of units held Holding as % of net asset
1.Please list state wise geographical dispersion of unit holders in the following format: Sr.No Name of the State Mode of Entry No. of unit holders Amount mobilised as % of total assets mobilised 2. Total number of cities from which subscriptions have been received :
Please list names of top ten agents/distributors in the descending order of commission paid in the following format: Sr.No Name of Agent/Distributors Amount mobilized in Rs. Cr. Commission paid Rs. Cr.
Source: SecMarx — New Scheme Report. Verbatim text is public record; SecMarx structuring (linkage to applying orders) is cited to us.