To: Principal Officers & Compliance Officers of all APMI Members +
Non-Members + Portfolio Managers Not Registered with APMI
Subject: Generic Mail IDs of SEBI
Date: 8th December 2023
Dear All,For efficient monitoring and tracking compliance, SEBI has created the following generic email ids for all registered PMS where they can file/send different types of documents/information to SEBI.
Request, please refer to the table below for details:
Sr. No. | Email ID | Types of the Document sent by PMS to SEBI through this email id | Timeline for filing before SEBI |
1 | Disclosure Document | At the time of granting fresh registration and In case there is any Material Change (as per the format enclosed) | |
2 | (i) Correspondence with SEBI with regard to applications filed in SEBI for PMS related activities only (ii) Monthly Report submission pertaining to Coinvestment, since the provision of uploading the data is not enabled in SI Portal. (iii) Intimation with respect to revision, if any, of Monthly Report Submission on SI Portal (iv) Email Acknowledgement from PMS on receipt of original certificate/letters from SEBI | Ongoing basis |
Please note:
- Henceforth all the aforesaid documents are to be sent on these email ids only and not on the email id of any SEBI Official.
- No physical correspondence in this regard shall be entertained by SEBI.
- Non-Submission of the same within the timelines mentioned shall be construed non-compliance by the PMS.
- Physical copies of the Disclosure Documents and any other documents sent to SEBI on these email ids are required to be retained by the PMS as part of record keeping in terms of SEBI (Portfolio Managers) Regulations, 2020 or as informed by SEBI from time to time.
Warm Regards
Association of Portfolio Managers in India
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