What are the major areas covered by the SEBI guidelines governing Mutual Funds?
Published on Fri, Jan 12, 2001 | Source : Legal Pundits.com
- Contents of the Offer Document
- Norms for empanelment of brokers
- Norms for empanelment of marketing agents
- Degree of concentration of business permitted with an individual broker
- Exposure limits in respect of investments in companies associated with the Sponsor or AMC
- Transactions in securities by key personnel of AMC
- Extent of concentration of investments (as percentage of NAV) permitted
- Periodicity at which the Net Worth of AMC has to be reviewed
- Setting of approval limits for unrated securities
- Inter-scheme transfers
- Valuation and pricing of units
- Time within which redemption proceeds have to be dispatched
- Time limit dispatching dividend warrants
- Appointment of Registrars and Share Transfer Agents
- Internal Control mechanisms
- Disclosure of accounts and performance -- to investors and in the Press
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