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