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        SEBI

        Regulation 30 - Accounts and audit

        Securities And Exchange Board of India (Portfolio Managers) Regulations, 2020
        Chapter IV
        GENERAL OBLIGATIONS AND RESPONSIBILITIES

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        Client account and audit obligations: portfolio managers must maintain client-wise accounts and ensure annual independent audits. Portfolio managers must maintain separate client-wise accounts, account for all client funds, investments, credits, debits and tax deducted at source, and have books audited annually by a qualified auditor with a certificate submitted to the Board if specified. Portfolio accounts must be audited annually by an independent chartered accountant with the certificate provided to the client; clients may appoint their own chartered accountant to audit their transactions and the portfolio manager must cooperate.
                  Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
                    Provisions expressly mentioned in the judgment/order text.

                        Client account and audit obligations: portfolio managers must maintain client-wise accounts and ensure annual independent audits.

                        Portfolio managers must maintain separate client-wise accounts, account for all client funds, investments, credits, debits and tax deducted at source, and have books audited annually by a qualified auditor with a certificate submitted to the Board if specified. Portfolio accounts must be audited annually by an independent chartered accountant with the certificate provided to the client; clients may appoint their own chartered accountant to audit their transactions and the portfolio manager must cooperate.


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