Periodic reporting format for Investment Advisers

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....Body ("IAASB") for the purpose of administration and supervision of Investment Advisers ("IAs") under regulation 14 of the IA Regulations. At present, the IAASB has been seeking reports from IAs on an ad-hoc basis. It is decided to specify a standardized format for periodic reporting for IAs. Consultative process for development of periodic reporting format 3. Pursuant to formation of Industry Standards Forum ("ISF") for IAs, ISF has discussed the development of a standardized format for periodic reporting for IAs and has provided its recommendations to SEBI in this regard. Based on the recommendations received from ISF, a standardized periodic reporting format for submission of information by IAs pertaining to their activities on per....

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....f, and to regulate the securities market. 9. This circular is available on SEBI website at www.sebi.gov.in under the categories "Legal > Circulars", "Info For > Investment Advisers". Yours faithfully, Aradhana Verma General Manager Tel. No: 022-26449633 E-mail: [email protected]   Annexure I Periodic Reporting Format for Investment Advisers General details of Investment Adviser (IA) for the half year ended on ..................(DD/MM/YYYY) Sr. No. Particulars Details 1 Registered Name of IA (as per SEBI registration certificate)   2 Trade Name/ Brand Name as IA    3 Permanent Account Number (PAN)   4 ....

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....   IFSC Code       Bank Name       Bank Branch Name       17 Details of Contact Person Name   Date of Birth (DD/MM/YYYY)   Mobile   Email id   18 Details of Compliance Officer Name   Date of Birth (DD/MM/YYYY)   Mobile   Email id   19 Details of Principal Officer (PO) Name   Date of Birth (DD/MM/YYYY)   PAN   Mobile ....

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....e specify for each person whether the person is IA/PAIA/PO    Name Person-1 Person-2 Person-3 Email ID       Date of Birth (DD/MM/YYYY)       PAN       Validity of Certific ate NISM -X A From (DD/MM/Y YYY)       To (DD/MM/Y YYY)       NISM - X B From (DD/MM/Y YYY)       To (DD/MM/Y YYY)         25 Details of last inspection Insp....

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....       4 Total number of complaints pending at the end of the period (a+b-c) = (d)       5 Ageing details of complaints pending at the end of the period Total number of complaints pending for up to 21 days (a)       Number of complaints pending from 22-90 Days (b)       Number of complaints pending for more than 90 Days (c)        Total number of complaints pending (a+b+c)=d       6 Average Complaint resolution time   (Average complaint Resolution time is the sum total of time taken to resolve each complaint in days, in the concerned hal....

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....             3 Number of client agreements expired/terminated during the period (iii)               4 Number of clients at the end of the period (iv = i + ii - iii)               5 Maximum number of client agreements in force on a single day during the period               6 Fees charged during the period (in Rs.) Total Fees under fixed fee mode (a)         &n....