Monthly Reporting Requirement for Portfolio Management Activity
Summary
This annexure mandates monthly reporting for Portfolio Management and Advisory services, requiring specific data on client types and asset under management. It outlines detailed tables for Discretionary Services, Non-Discretionary Services, and Advisory Business to track investor counts and financial metrics. The document further requires the disclosure of complaint statistics categorized by client type and establishes a submission deadline of the 5th of every month.
Text
MONTHLY REPORTING REQUIREMENT FOR PORTFOLIO MANAGEMENT ACTIVITY
Tables for No. of Investors and Net Asset Under Management (Equity, Debt, Others, Total) for Resident Individual, Non-Resident, Resident Corporate, Non-Resident, and FII clients.
Reporting of Gross Sales, Gross Purchases (top ten scrips), and Portfolio Turnover Ratio in Rs. Crores.
Tables for No. of Investors and Net Asset Under Management (Equity, Debt, Others, Total) for Resident Individual, Non-Resident, Resident Corporate, Non-Resident, and FII clients.
Reporting of Gross Sales, Gross Purchases (top ten scrips), and Portfolio Turnover Ratio in Rs. Crores.
Reporting of Total Number of Individual clients and Total number of Corporates with Grand Total.
Reporting of complaints received, resolved, pending, and total for Resident Individual, Non-resident Individual, Resident Corporate, Non-resident Corporate, and FII.
Data shall reach SEBI by 5th of every month
Data shall be given strictly in above format only. Any additional information desired, may be filed by a separate annexure.
Source: SecMarx — Monthly Reporting Requirement for Portfolio Management Activity. Verbatim text is public record; SecMarx structuring (linkage to applying orders) is cited to us.