Disclosure Document requirements for portfolio managers mandate comprehensive client-facing and regulator-filed disclosures of services, risks, and conflicts. Schedule V prescribes a model Disclosure Document for portfolio managers under the SEBI (Portfolio Managers) Regulations, 2020, requiring provision to prospective clients and filing with the Board; it mandates disclosures of background, services, investment objectives and policies, conflicts of interest, regulatory actions, risks, financial and performance information, fees and taxation, accounting policies, investor services, and a standardized account opening form capturing client identity, investment profile, objectives and risk tolerance.
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.
Disclosure Document requirements for portfolio managers mandate comprehensive client-facing and regulator-filed disclosures of services, risks, and conflicts.
Schedule V prescribes a model Disclosure Document for portfolio managers under the SEBI (Portfolio Managers) Regulations, 2020, requiring provision to prospective clients and filing with the Board; it mandates disclosures of background, services, investment objectives and policies, conflicts of interest, regulatory actions, risks, financial and performance information, fees and taxation, accounting policies, investor services, and a standardized account opening form capturing client identity, investment profile, objectives and risk tolerance.
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