Mutual_Funds

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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.

Other Varied Services

Application for Import Export Code
Application for License under Shops and Establishments Act
Product Registration
Charge Registrations and search reports for Banks and financial Institutions
Obtaining copies of documents from the Office of Registrar Of Companies
Legal opinions

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