Portfolio Manager Registration: application, documentation and compliance requirements govern grant, validity, and disclosure obligations process The Schedule prescribes the application and registration regime for portfolio managers under SEBI's 2020 Regulations: Form A compels detailed corporate, personnel, infrastructural, financial and operational disclosures and supporting documents; applicants must submit business plans, IT and disaster recovery arrangements, financial schedules, bankers' and auditor particulars, risk and grievance procedures, draft client agreements and disclosure documents; Form C requires certification of the disclosure document; Form B records the certificate of registration and its conditional validity; multiple regulatory declarations and fit and proper attestations are mandated.
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Portfolio Manager Registration: application, documentation and compliance requirements govern grant, validity, and disclosure obligations process
The Schedule prescribes the application and registration regime for portfolio managers under SEBI's 2020 Regulations: Form A compels detailed corporate, personnel, infrastructural, financial and operational disclosures and supporting documents; applicants must submit business plans, IT and disaster recovery arrangements, financial schedules, bankers' and auditor particulars, risk and grievance procedures, draft client agreements and disclosure documents; Form C requires certification of the disclosure document; Form B records the certificate of registration and its conditional validity; multiple regulatory declarations and fit and proper attestations are mandated.
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