Annexure A
Format for Monthly Report to SEBI
Report for the month of ________ FY _____
Type of Services Offered
Sl. No. |
Type of Service Offered |
Whether the service is offered |
1 |
Discretionary Service |
Yes/No |
2 |
Non-Discretionary Service |
Yes/No |
3 |
Advisory Service |
Yes/No |
I. Data for Discretionary Services
A. Break-up of clients of the Portfolio Manager
Particulars |
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Domestic Clients |
Foreign Clients |
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PF/ EPFO |
Corporates |
Non- Corporates |
Non Residents |
FPI |
Others |
Total |
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No. of unique Clients as on last day of the month |
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Assets under Management (AUM) as on last day of the month |
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B. Break-up of assets under management of the Portfolio Manager
Investment Approach |
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Assets Under Management as on last day of the month (in INR crores) |
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Equity |
Plain Debt |
Structured Debt |
Derivatives |
Mutual Funds |
Others |
Total |
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Listed |
Unlisted |
Listed |
Unlisted |
Listed |
Unlisted |
Equity |
Commodity |
Others |
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Approach 1 |
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Approach 2 |
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— |
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Approach ‘N’ |
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Total |
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C. Funds Inflow/ Outflow
Investment Approach |
Funds Inflow/Outflow in the Approach During the Month |
Funds Inflow/Outflow in the Approach During the FY |
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Inflow during the month (in INR crores) |
Outflow during the month (in INR crores) |
Net Inflow (+ve)/ Outflow (-ve) during the month (in INR crores) |
Inflow during the FY since April 01 to ____ (in INR crores) |
Outflow during the FY since April 01 to ____ (in INR crores) |
Net Inflow (+ve)/ Outflow (-ve) during the FY since April 01 to ____ (in INR crores) |
Approach 1 |
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Approach 2 |
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— |
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Approach ‘N’ |
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Total |
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D. Transaction Data
Sl. No. |
Particulars |
Figures |
1 |
Sales in the month (in INR crores ) |
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2 |
Purchases in the month (in INR crores ) |
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3 |
Portfolio Turnover Ratio = (Higher of Purchases or Sales in the month /Average AUM) |
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Note: Average AUM to be computed based on daily average
E. Performance Data
Investment Approach |
AUM (in INR Cr) |
Returns (%) |
Portfolio Turnover Ratio |
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1 month |
1 year |
1 month |
1 year |
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Investment Approach 1 |
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Benchmark 1 |
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Investment Approach 2 |
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Benchmark 2 |
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Investment Approach ‘N’ |
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Benchmark ‘N’ |
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Total |
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II. Data for Non- Discretionary Services
F. Break-up of clients of the Portfolio Manager
Particulars |
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Domestic Clients |
Foreign Clients |
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PF/ EPFO |
Corporates |
Non- Corporates |
Non Residents |
FPI |
Others |
Total |
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No. of unique Clients as on last day of the month |
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Assets under Management (AUM) as on last day of the month |
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G. Break-up of assets under management of the Portfolio Manager
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Assets Under Management as on last day of the month (in INR crores) |
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Equity |
Plain Debt |
Structured Debt |
Derivatives |
Mutual Funds |
Others |
Total |
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Listed |
Unlisted |
Listed |
Unlisted |
Listed |
Unlisted |
Equity |
Commodity |
Others |
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I. Funds Inflow/ Outflow
Funds Inflow/Outflow During the Month |
Funds Inflow/Outflow During the FY |
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Inflow during the month (in INR crores) |
Outflow during the month (in INR crores) |
Net Inflow (+ve)/ Outflow (-ve) during the month (in INR crores) |
Inflow during the FY since April 01 to ____ (in INR crores) |
Outflow during the FY since April 01 to ____ (in INR crores) |
Net Inflow (+ve)/ Outflow (-ve) during the FY since April 01 to ____ (in INR crores) |
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J. Transaction Data
Sl. No. |
Particulars |
Figures |
1 |
Sales in the month (in INR crores ) |
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2 |
Purchases in the month (in INR crores ) |
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3 |
Portfolio Turnover Ratio = (Higher of Purchases or Sales in the month /Average AUM) |
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Note: Average AUM to be computed based on daily average
K. Performance Data
AUM (in INR Cr) |
Returns (%) |
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Portfolio Turnover Ratio |
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1 month |
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1 year |
1 month |
1 year |
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III. Data for Advisory Services
K. Break-up of client base of the Portfolio Manager
Type of Client |
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Domestic Clients |
Foreign Clients |
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PF/ EPFO |
Corporates |
Non-Corporates |
Non Residents |
FPI |
Others |
Total |
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No. of Clients as on last day of the month |
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Value of the Assets for which Advisory Services are being given (Amount in INR crores) |
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IV. Data on Complaints
Type of Client |
Total No. of complaints |
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Pending at the beginning of the month |
Received during the month |
Resolved during the month |
Pending at the end of the month |
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Domestic – PF/ EPFO |
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Domestic Corporates |
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Domestic Non- Corporates |
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Foreign – NR |
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Foreign – FPI |
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Foreign -Others |
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Total |
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Note: Data on investor complaints registered through SCORES or which are directly received by Portfolio Manager to be provided