Sebi regulations for mutual funds pdfs

Investor Education Reading Material. Booklet on Securities Market: Securities Market- Understanding from Investor's Perspective. Presentations. Primary Market. Secondary Markets. Mutual Funds. Investment Advisor. Corporate Restructuring. Share & Debenture Holders. 10. An Overview of SeBi (issue of Sweat equity) regulations, 2002. 11. SeBi (Prohibition of insider Trading) regulations, 2015 : unpublished price sensitive information (uPSi); disclosures; Codes of fair disclosure and conduct; Penalties and appeals. 12. Mutual Funds : types of Mutual Funds and Schemes; Key players in Mutual Funds: Sponsor, asset regulated by SEBI. All schemesfloated by Mutual Funds are to be registered with SEBI. 1.3 SEBI Regulation on Mutual Funds: Securities & Exchange Board of India had issued a set of regulations and code of conduct as SEBI(Mutual Fund) Regulations, 1996 on 9th December 1996 for the smooth conduct and regulation ofmutual funds. The following are the major highlights of the regulator's guidelines regarding mutual funds: Mutual funds have been categorised into 5 groups - equity, debt, balanced, solution-oriented, and others. Definitions of small, mid, and large cap have been made clearer to facilitate uniformity. Solution-oriented funds come with a lock-in period. Check registration status of the Mutual Fund on SEBI website before transacting with them. 2. Read all Scheme related documents and understand the scheme features and the risks the SEBI Mutual Funds Regulations, or to receive such statements on request. 3. Right to receive Consolidated Account Statement (CAS) at a periodic frequency as As per the SEBI (Mutual Fund) Regulations, 1996, sponsor makes an application for registration of the mutual fund and contributes atleast 40% of the net worth of the asset management company. The sponsor must comply with the eligibility criteria without which the Board may reject the application. Eligibility criteria for grant of SEBI (Alternative Investment Funds) Regulations 2012 PMS Regulations and the Mutual Funds Regulations in respect of segregation of assets as vehicles that propose pooling of assets of investors could fall under the AIF Regulations. For any further information please contact Mr. Rajesh Begur, Mr. Avik Karmarkar or Ms. Kavita Pancholi Certain important changes have been notified by SEBI related to the mutual fund industry. Additionally, SEBI has also provided relaxations for compliances due to the second COVID-19 wave. To deal with evolving questions, SEBI has issued FAQs on insider trading laws, while ICSI has issued FAQs on CSR. 1. Skin in the game for AMCs and its key Every mutual fund must be registered with SEBI and must be constituted in the form of a trust in accordance with the provisions of the Indian Trusts Act, 1882. The instrument of trust must be in the form of a deed between the sponsor and the trustees of the mutual fund duly registered under the provisions of the Indian Registration Act, 1908. Mutual Funds Mutual Fund and Protection Fund (IEPF) under SEBI Regulations and Companies Act, 2013, Financial Education, Investor Grievance Redressal Mechanism at SEBI etc. vii LIST OF RECOMMENDED BOOKS PAPER 6 : CAPITAL MARKETS AND SECURITIES LAWS READINGS 1. E. Gordon & : Capital Market in India; Himalaya Publishing House, Ramdoot, SEBI guidelines say that mutual funds can invest a maximum of 25 per cent of resources mobilised into money-market instrumen