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According to Regulation 16(5), an independent trustee should not be associated in any manner with the sponsor. It was clarified to all mutual funds vide SEBI Circular no MFD/CIR/11/354/2001 dated December 20, 2001 that certain categories of persons cannot be considered as independent directors of AMCs and trustee companies.
SEBI Circular No. IIMARP/MF/CIR/05/788/97 dated April 28, 1997 which inter-alia prescribed the format for statement of movement in net assets / portfolios, to be submitted by the mutual funds on quarterly basis.
“The arbitral tribunal shall make the arbitral award within 3 months from the date of entering upon the reference. The time taken to make the award may not be extended beyond 3 times, by the Managing Director or Relevant Authority .
One time registration fee of Rs 25,000 by means of demand draft in favour of “Securities and Exchange Board of India” payable at Mumbai, towards availing facility of electronic filing of data. It may be note that this facility can be used for filling of any other document to SEBI.
These guidelines being issued in accordance with the provisions of Regulations 48(1) and 77 of SEBI (Mutual Funds) Regulations, 1996 shall be implemented by August 31, 2002 by all mutual funds in case of existing and new schemes.
It has been decided that the stock exchanges would reiterate to their employees that they are bound by the code of conduct and to ensure that there is confidentiality of deals and that the trade data is not leaked.
If the investors are allotted units at a price higher than Net Asset Value or are given a price lower than Net Asset Value at the time of sale of their units, they shall be paid the difference in amount by the scheme.
It has now been decided to revise and simplify the format of New Scheme Report. A copy of the revised format is enclosed. In accordance with Regulations 58(1) and 77 of SEBI (Mutual Funds) Regulations, 1996, all mutual funds are advised to henceforth submit the new scheme reports to SEBI,
As you are aware, Regulation 49(3) of SEBI (Mutual Funds) Regulations, 1996 lays down parameters for determining sale price and repurchase price of mutual funds units applicable for investors. It has been observed that mutual funds are using two different methods for calculating the sale and repurchase price of mutual fund units.
The custodians of securities are requested to bring the contents of this circular to the notice of their constituents. The circular is also available at the web page ‘Foreign Institutional Investors’ on the SEBI website at www.sebi.gov.in.
