Portfolio managers must upload revised monthly portfolio reports with client, asset and complaints data by the 5th of each following month. Portfolio managers must upload the revised standardized monthly report on portfolio management activity by the 5th of the following month, using the prescribed format that covers discretionary, non-discretionary and advisory services with client and asset breakdowns, monthly quantitative indicators (gross sales, gross purchases, portfolio turnover, weighted average performance, assets managed for specified funds) and a separate monthly complaints schedule tracking opening, received, resolved and closing complaints by client category.
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Portfolio managers must upload revised monthly portfolio reports with client, asset and complaints data by the 5th of each following month.
Portfolio managers must upload the revised standardized monthly report on portfolio management activity by the 5th of the following month, using the prescribed format that covers discretionary, non-discretionary and advisory services with client and asset breakdowns, monthly quantitative indicators (gross sales, gross purchases, portfolio turnover, weighted average performance, assets managed for specified funds) and a separate monthly complaints schedule tracking opening, received, resolved and closing complaints by client category.
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