Services Provided to Mutual Funds

 

  • Drafting and maintaining the secretarial registers and records including agenda, minutes of the board as well as committee meeting.
  • Drafting and updating various departmental code e.g. Advertisement code/advising processes for ensuring the implementation
  • Liaison with SEBI and AMFI
  • Assistance in the Compliance functions of the company
  • Checking the validity of legal documentation with regards to the corporate clients
  • Checking the legal validity of security created in favor of the companies in case of secured debentures (in the case of secured debt investments)
  • To review the services of Registrars and custodians on the basis of reports submitted by them and audit by random checking
  • To perform Secretarial audit at regular interval.
  • To carry on orientation programmers for various department.
  • To co-ordinate with distributors for proper legal compliance
  • To carry out inspection and audit of distributors and its various collection centers.
  • Drafting, updating and vetting the offer documents / Addendum / Compliance Manuals in view of the risk management guidelines
  • Preparing common offer documents/ SIDs
  • Checking the AMFI certification of all the participants of MFs
  • Confirming that all the reports are based on facts and are in compliance with the regulations
  • Periodic due diligence and compliance audit for Mutual Funds
  • To help to set up Mutual Fund including documentation and correspondence with SEBI
  • Preparing KYC Forms for Compliance purpose as per SEBI and AMFI Regulations
  • Verification of clients (KYC checking)
  • Preparing the Code of Conduct for Employees and Directors of Mutual Funds
  • Other Functions like Marketing / Investor Services/ Compliance documentation