LexiBox

SEBI XML Template Definition v5.3

Securities and Exchange Board of India (SEBI)

XML Template Definition

Offsite Inspection cum Surveillance of PMS (Portfolio Managers) – PMS Reports

Version 5.2.2

“[Kindly ensure to read the Introduction and follow all the IMPORTANT NOTES carefully]”

1.    Introduction

1.1 This document outlines the XML Template Definition for the Monthly Report of Portfolio Management Services (PMS). All PMs will be provided with a facility to upload Monthly Report using their respective SI Portal login credentials.

1.2 For better representation of data and user convenience, the Monthly Report is divided into 10 different reports, with each report seeking a different set of data as explained in this document. It is mandatory to upload all the 10 files for each month in a particular order.

Note: The submission is to be done Quarterly but the reports are to be maintained on monthly basis. So, for each quarter, user has to upload a total of 30 files pertaining to the 3 months of the quarter and 10 files for each month as described.

1.3 Further, for the ease of user convenience, for these 10 XML files, one XLS (Excel) document with 10 sheets corresponding to the 10 XMLs is also being shared. The XLS document has in-built most of the XSD validations and other checks. The same can be used to easily enter the data and export it into XML from the Excel’s in-built Export to XML Data feature and XSD validation can also be done there itself while exporting to XML. For each sheet of Excel, one XML document can be generated once it’s validated by Excel (XSD is already auto included in the Excel for validation).

1.4 On SI Portal, user has to upload the XML files (either prepared directly or via the XLS). The XML file shall first be validated against the XSD (shared on SI Portal) and if passed, it shall be processed on server to check for any further errors.

1.5 User has to ensure that uploaded XML file is as per the XSD format and follows all the validations (as explained in this document and mostly included in the XLS also).

IMPORTANT NOTE:

 

USER has to upload the reports in the following Sequence ONLY:

 

  1. PM_MASTER
  2. PM_POOL_ACC_MASTER
  3. CLIENT_MASTER
  4. CLIENT_FOLIO_MASTER
  5. All the Other Reports in ANY order

2.    XML Files Conventions 

2.1 The uploaded files should have ‘.xml’ extension.

2.2 The File name can not contain any of the following special Characters – <, > , ” ,*, ; ,#, but within the file it is allowed subject to other validations.

2.3 Only the XML Tags defined in the template should be present in the file.

2.4 No XML Tag where-in data is input should appear more than once in the same parent tag.

2.5 There is a restriction on the number of same child tags to be only one in some cases and the same is mentioned in this document.

2.6 The XML tags should be in proper order and should form a hierarchy.

2.7 ‘<PMSReport>’ will be the first tag of all the XML Files indicating start of the report.

2.8 The last line of the files will be ‘</PMSReport >’ indicating end of the report.

2.9 The values should be placed properly between the relevant opening and closing XML tag.

2.10 For Non-Mandatory Fields if no values are applicable, kindly do not provide the tag.

2.11 Kindly ensure to upload the correct XML File with all the valid entries, else it will be rejected at the backend.

3.    XML Template Definitions

3.1. PMS_Inspection_Client_Cap_Transactions.xml

3.1.1. Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.1.2.          Client_Cap_Transactions [<Client_Cap_Transactions></Client_Cap_Transactions>] – None or more occurrences allowed

Important Note: Kindly ensure that each of the UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO combination entered in this report should exactly match with some entry of UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO present in the CLIENT_FOLIO_MASTER report

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique client code

2

<CLIENT_FOLIO_NO></CLIENT_FOLIO_NO>

STRING

Y

Maximum length allowed: 20

Folio no. of the client. Provide Unique Client Code, if folio no. not maintained.

3

<TRANSACTION_TYPE></TRANSACTION_TYPE>

STRING

Y

Initial Inflow
Top Up
Partial Redemption
Full Redemption

 

4

<TRANSACTION_DATE></TRANSACTION_DATE>

DATE

Y

YYYY-MM-DD

Date on which transaction processed

5

<TRANSACTION_AMOUNT></TRANSACTION_AMOUNT>

FLOAT

Y

DECIMAL(24,4)

Value of transaction in INR

6

<TRANSACTION_UNITS></TRANSACTION_UNITS>

FLOAT

N

DECIMAL(24,4)

Number of units, if units are maintained by the PMS

7

<EXIT_LOAD></EXIT_LOAD>

FLOAT

N

DECIMAL(20,4)

Exit load charged by the PMS in percentage (Mandatory in case of Full Redemption/Partial Redemption)

* For the period October 2023 to March 2024, Portfolio Managers have the discretion to report transactions in the original 4 categories i.e. Initial Inflow, Top Up, Partial Redemption and Full Redemption or including the new categories on best effort basis. However, April 2024 onwards, mis-tagging of transactions would be treated as incorrect data submission.

3.2.     PMS_Inspection_Client_Expense_Master.xml

3.2.1. Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.2.2.          Client_Expense <Client_Expense></Client_Expense>] – None or more occurrences allowed

Important Note:

(1) Kindly ensure that each of the UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO combination entered in this report should exactly match with some entry of UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO present in the CLIENT_FOLIO_MASTER Report.

(2) For the ease reporting, a single entry for each expense sub-type per client per month may be reported with ACCRUAL_DATE as the last date of the month for which the report is being submitted.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<ACCRUAL_DATE></ ACCRUAL _DATE>

DATE

Y

YYYY-MM-DD

Date of the expense charged

2

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique client code

3

<CLIENT_FOLIO_NO></CLIENT_FOLIO_NO>

STRING

Y

Maximum length allowed: 20

Folio Number of the client. Provide Unique Client Code, if folio no. not maintained.

4

<EXPENSE_TYPE></EXPENSE_TYPE>

STRING

Y

PMS Fees
Operating Fees

 

5

<EXPENSE_SUB_TYPE></EXPENSE_SUB_TYPE>

STRING

Y

Management Fees (fixed)

Performance Fees (variable)

Exit Load

Account Opening Charges (including stamp duty)

Audit Fee

Bank Charges

Fund Accounting Charges

Custody Fee

Demat Charges

Broking Fees

Other Miscellaneous Expense

In case of PMS Fees, either Management Fees (fixed) or Performance Fees (variable) or Exit Load.

 

 

In case of Operating Expenses: (Account Opening charges including stamp duty / Audit Fee / Bank charges / Fund Accounting charges / Custody Fee / Demat charges / Broking Fees or other miscellaneous expense)

6

<EXPENSE_VALUE></EXPENSE_VALUE>

FLOAT

Y

DECIMAL(20,4)

Amount of the expense charged in INR

 

3.3.     PMS_Inspection_Client_Folio_AUM.xml

3.3.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.3.2.          Client_Folio_AUM [<Client_Folio_AUM></Client_Folio_AUM>] – None or more occurrences allowed

Important Note: Kindly ensure that each of the UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO combination entered in this report should exactly match with some entry of UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO present in the CLIENT_FOLIO_MASTER Report.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<AUM_DATE></AUM_DATE>

DATE

Y

YYYY-MM-DD

 

2

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique client code

3

<CLIENT_FOLIO_NO></CLIENT_FOLIO_NO>

STRING

Y

Maximum length allowed: 20

Folio no. of the client for which AUM is provided. Provide Unique Client Code, if folio no. not maintained.

4

<CLIENT_FOLIO_UNITS></CLIENT_FOLIO_UNITS>

FLOAT

N

DECIMAL(24,4)

No. of units under the folio if units are maintained by PMS

5

<CLIENT_FOLIO_AUM></CLIENT_FOLIO_AUM>

FLOAT

Y

DECIMAL(24,4)

AUM of the folio in INR. For holidays and weekends, provide AUM of preceding working day.

3.4.     PMS_Inspection_Client_Folio_Master.xml

3.4.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.4.2 Client_Folio [<Client_Folio></Client_Folio>] – None or more occurrences allowed

Important Note:

  • Kindly ensure that each of the UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination enetered in this report should exactly match with some entry of UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination present in the CLIENT_MASTER report.
  • Also, ensure that each of the UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination should be uniquely identified in this report.
  • No two entries for same UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination should be present.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique code for each investor based on agreement and holding nature (i.e. single/joint/etc.)

2

<CLIENT_FOLIO_NO></CLIENT_FOLIO_NO>

STRING

Y

Maximum length allowed: 20

Folio no. of the client. Provide Unique Client Code, if folio no. not maintained.

3

<AGREEMENT_DATE></AGREEMENT_DATE>

DATE

Y

YYYY-MM-DD

Date of agreement

4

<INVESTMENT_APPROACH></INVESTMENT_APPROACH>

STRING

N

Maximum length allowed: 50

Name of Investment Approach

5

<INVESTMENT_STRATEGY></INVESTMENT_STRATEGY>

STRING

Y

Equity

Debt

Hybrid

Multi

 

6

<BENCHMARK></BENCHMARK>

STRING

Y

Maximum length allowed: 50

BENCHMARK INDEX selected by PM for the strategy. Benchmark Index names to be given exactly as provided by the index provider.

7

<CLIENT_BOID></CLIENT_BOID>

STRING

N

Maximum length allowed: 20

BOID of the client. For investors having investments only in MF Units in SOA format, BOID may not be provided.

8

<CUSTODIAN_REG_NO></CUSTODIAN_REG_NO>

STRING

Y

Maximum length allowed: 20

SEBI Registration Number of Custodian 

9

<CUSTODIAN_NAME></CUSTODIAN_NAME>

STRING

Y

Maximum length allowed: 100

Name of Custodian

10

<IS_POWER_OF_ATTORNEY_EXECUTED></IS_POWER_OF_ATTORNEY_EXECUTED>

BOOL

Y

TRUE

FALSE

Power of Attorney executed in favour of PM

11

<IS_PERMISSION_INVST_IN_ASSOCIATES></IS_PERMISSION_INVST_IN_ASSOCIATES>

BOOL

Y

TRUE

FALSE

Whether client has given permission for investments in associates/related parties

12

<PERCENTAGE_INDIVIDUAL_EQUITY_CONSENT></PERCENTAGE_INDIVIDUAL_EQUITY_CONSENT>

FLOAT

N

DECIMAL(4,2)

Percent of AUM which can be invested by PM in the equity shares of one associate/related party. Only required if value is true in #11.

13

<PERCENTAGE_TOTAL_EQUITY_CONSENT></PERCENTAGE_TOTAL_EQUITY_CONSENT>

FLOAT

N

DECIMAL(4,2)

Percent of AUM which can be invested by PM in the equity shares of all its associate/related party. Only required if value is true in #11.

14

<PERCENTAGE_INDIVIDUAL_DEBT_CONSENT></PERCENTAGE_INDIVIDUAL_DEBT_CONSENT>

FLOAT

N

DECIMAL(4,2)

Percent of AUM which can be invested by PM in the debt and hybrid securities of one associate/related party. Only required if value is true in #11.

15

<PERCENTAGE_TOTAL_DEBT_CONSENT></PERCENTAGE_TOTAL_DEBT_CONSENT>

FLOAT

N

DECIMAL(4,2)

Percent of AUM which can be invested by PM in the debt and hybrid securities of all its associate/related party. Only required if value is true in #11.

16

<PERCENTAGE_TOTAL_LIMIT_CONSENT></PERCENTAGE_TOTAL_LIMIT_CONSENT>

FLOAT

N

DECIMAL(4,2)

Percent of AUM which can be invested by PM in the equity, debt and hybrid securities  of all its associate/related party. Only required if value is true in #11.

17

<IS_CONSENT_REBALANCE_PASSIVE></IS_CONSENT_REBALANCE_PASSIVE>

BOOL

Y

TRUE

FALSE

Consent: need not rebalance the portfolio on passive breach – true

Need to rebalance the portfolio on passive breach – false

Only required if value is true in #11.

18

<IS_CONSENT_INVST_IN_EQUITY_DERIVATIVE> </IS_CONSENT_INVST_IN_EQUITY_DERIVATIVE>

BOOL

Y

TRUE

FALSE

Consent for investment in Equity Derivatives

19

<IS_CONSENT_INVST_IN_COMMODITY_DERIVATIVE> </IS_CONSENT_INVST_IN_COMMODITY_DERIVATIVE>

BOOL

Y

TRUE

FALSE

Consent for investment in Commodity Derivatives

20

<PERCENTAGE_DERIVATIVE_CONSENT></PERCENTAGE_DERIVATIVE_CONSENT>

FLOAT

Y

DECIMAL(4,2)

Percent of AUM which can be invested in derivatives

21

<CLIENT_CUSTODIAN_CODE></CLIENT_CUSTODIAN_CODE>

STRING

Y

Maximum length allowed: 20

Custodian code of the client

22

<PM_DISTRIBUTOR_NAME></PM_DISTRIBUTOR_NAME>

STRING

Y

Maximum length allowed: 100

Name of the Distributor

23

<PM_DISTRIBUTOR_PAN>

      <Is_Valid_PAN></Is_Valid_PAN>

    </PM_DISTRIBUTOR_PAN>

STRING

Y

Length allowed: 10

PAN of the Distributor

24

<PERFORMANCE_FEE_DESCRIPTION></PERFORMANCE_FEE_DESCRIPTION>

STRING

Y

Maximum length allowed: 100

Mode of charging performance fees in description

25

<PERCENTAGE_PERFORMANCE_FEE></PERCENTAGE_PERFORMANCE_FEE>

FLOAT

Y

DECIMAL(4,2)

Performance fees percentage

 

3.5.     PMS_Inspection_Client_Holding_Master.xml

3.5.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.5.2 Client_Holding [<Client_Holding></Client_Holding>] – None or more occurrences allowed

Important Note

(1) Kindly ensure that each of the UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO combination entered in this report should exactly match with some entry of UNIQUE_CLIENT_CODE and CLIENT_FOLIO_NO present in the CLIENT_FOLIO_MASTER report.

(2) All holding/positions except listed equity is required to be reported.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<HOLDING_DATE></HOLDING_DATE>

DATE

Y

YYYY-MM-DD

Holding date.

For holidays and weekends, provide holdings of preceding working day.

2

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique code for each investor based on agreement and holding nature

3

<CLIENT_FOLIO_NO></CLIENT_FOLIO_NO>

STRING

Y

Maximum length allowed: 20

Folio no. of the client.

Provide Unique Client Code, if folio no. not maintained.

4

<INVESTMENT_TYPE></INVESTMENT_TYPE>

STRING

Y

Equity

Debt

Derivatives

Mutual Fund

Other

 

5

<ASSET_TYPE></ASSET_TYPE>

STRING

Y

Equity Shares

Plain Debt

 Structured Debt

Futures

Options

MF Units

Overseas Units

REIT

InVIT

Cash

Other

Asset Type

(For Equity – Equity Shares

For Debt – Plain Debt, Structured Debt

For Derivatives – Futures, Options

For Mutual Funds – MF Units, Overseas Units

For Other – Cash, REIT, INVIT, Other)

6

<ISSUER_NAME></ISSUER_NAME>

STRING

N

Maximum length allowed: 100

Issuer name

7

<SECURITY_NAME></SECURITY_NAME>

STRING

N

Maximum length allowed: 100

Name of the security

8

<SECURITY_ISIN></SECURITY_ISIN>

STRING

N

Length allowed: 12

ISIN of security.

For derivatives, provide ISIN of underlying security.

9

<SECURITY_CODE></SECURITY_CODE>

STRING

N

Maximum length allowed: 20

Internal code of the security for which there is no ISIN.

10

<IS_SECURITY_ASSOCIATED></IS_SECURITY_ASSOCIATED>

BOOL

Y

TRUE

FALSE

If security is of associate/ related party

11

<IS_SECURITY_LISTED></IS_SECURITY_LISTED>

BOOL

Y

TRUE

FALSE

If security is listed

12

<SECURITY_RATING>    </SECURITY_RATING>

STRING

N

REFER ANNEXURE-A

Security rating mandatory in case of Debt/ Hybrid securities 

13

<RATING_AGENCY>    </RATING_AGENCY>

STRING

N

REFER ANNEXURE-B

Rating agency mandatory for debt / hybrid securities

14

<QUANTITY></QUANTITY>

FLOAT

N

DECIMAL(30,6)

Quantity

15

<UNIT_PRICE></UNIT_PRICE>

FLOAT

N

DECIMAL(30,6)

Market Price or valuation price of the security in INR

16

<MARKET_VALUE></MARKET_VALUE>

FLOAT

N

DECIMAL(30,6)

Market Value of securities in INR

17

<MATURITY_DATE></MATURITY_DATE>

DATE

N

YYYY-MM-DD

Maturity Date (in case of debt instrument)

18

<OPTION_TYPE></OPTION_TYPE>

STRING

N

Put

Call

Option Type (Call or Put)

3.6.     PMS_Inspection_Client_Master.xml

3.6.1. Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.6.2.          Client_Master [<Client_Master></Client_Master>] – None or more occurrences allowed

Important Note:

  • Kindly ensure that each of the UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination should be uniquely identified in this report.
  • No two entries for same UNIQUE_CLIENT_CODE, CLIENT_FOLIO_NO and CLIENT_BOID combination should be present (except when both are kept as empty).
  • 2 entries of UNIQUE_CLIENT_CODE + CLIENT_FOLIO_NO + CLIENT_BOID , i.e., – one entry with BOID NULL and another with valid BOID, shall not be considered as Valid.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<UNIQUE_CLIENT_CODE></UNIQUE_CLIENT_CODE>

STRING

Y

Maximum length allowed: 20

Unique code for each investor based on agreement and holding nature. Mandatory if account is active.

2

<CLIENT_FOLIO_NO>
</CLIENT_FOLIO_NO>

STRING

N

Maximum length allowed: 20

Folio no. of the client. Provide Unique Client Code, if folio no. not maintained. This value cannot be NULL, if CLIENT_BOID is not NULL.

3

<CLIENT_PAN>
</CLIENT_PAN>

STRING

Y

Length allowed: 10

Client PAN

4

<CLIENT_BOID></CLIENT_BOID>

STRING

N

Length allowed: 16

BOID of the client. For investors having investments only in MF Units in SOA format, BOID may not be provided.

5

<CLIENT_CATEGORY></CLIENT_CATEGORY>

STRING

Y

Individual Resident
Individual Non Resident
HUF
Corporate Resident
Corporate Non-Resident
Association of Persons
Body of Individuals
Partnership Firm
Limited Liability Partnership
Trust
FPI
Other

 

5

<CLIENT_SUB_CATEGORY></CLIENT_SUB_CATEGORY>

STRING

Y

General
Accredited
Large Value Accredited
Co-investment
Not Applicable

 

7

<SERVICE_CATEGORY> </SERVICE_CATEGORY>

STRING

Y

Discretionary
Non-Discretionary
Advisory

 

8

<CLIENT_FIRST_NAME></CLIENT_FIRST_NAME>

STRING

Y

Maximum length allowed: 100

 

9

<CLIENT_MIDDLE_NAME></CLIENT_MIDDLE_NAME>

STRING

N

Maximum length allowed: 35

 

10

<CLIENT_LAST_NAME></CLIENT_LAST_NAME>

STRING

N

Maximum length allowed: 35

 

11

<CLIENT_ADDRESS></CLIENT_ADDRESS>

STRING

Y

Maximum length allowed: 300

 

12

<CLIENT_CITY></CLIENT_CITY>

STRING

N

Maximum length allowed: 100

 

13

<CLIENT_STATE></CLIENT_STATE>

STRING

N

Maximum length allowed: 35

 

14

<CLIENT_PINCODE></CLIENT_PINCODE>

INT

N

Length allowed: 4 to 6

 

15

<CLIENT_COUNTRY></CLIENT_COUNTRY>

STRING

N

Maximum length allowed: 35

 

16

<CLIENT_PRIMARY_MOBILE_NO></CLIENT_PRIMARY_MOBILE_NO>

STRING

N

Length allowed: 7 to 15

Please specify STD/ISD Codes. Acceptable pattern is as follows:

1st char (optional)-> + or 0

2nd char -> 1 – 9

3rd char onwards -> 0 – 9

Acceptable values are:

+123456

1234567

0123456789

Not acceptable:

00123456

+012345678

17

<CLIENT_EMAIL>

</CLIENT_EMAIL>

STRING

N

Maximum length allowed: 100

 

18

<JOINT_HOLDER_1_NAME></JOINT_HOLDER_1_NAME>

STRING

N

Maximum length allowed: 150

Second Holder name (Joint holder 1), mandatory if mode of holding is joint

19

<JOINT_HOLDER_1_PAN></JOINT_HOLDER_1_PAN>

STRING

N

Length allowed: 10

Joint Holder 1 PAN, mandatory if mode of holding is joint

20

<JOINT_HOLDER_2_NAME></JOINT_HOLDER_2_NAME>

STRING

N

Maximum length allowed: 150

Third Holder name (Joint Holder 2), mandatory if mode of holding is joint and 2 holders are there

21

<JOINT_HOLDER_2_PAN>
</JOINT_HOLDER_2_PAN>

STRING

N

Length allowed: 10

Joint Holder 2 PAN, mandatory if mode of holding is joint and 2 holders are there

22

<HOLDING_NATURE></HOLDING_NATURE>

STRING

Y

Single
Anyone or Survior
Joint
First or Survior
Not Applicable

SINGLE

ANYONE OR SURVIOR

JOINT

FIRST OR SURVIOR

NOT APPLICABLE (FOR NON INDIVIDUALS)

23

<NOMINEE_1_NAME></NOMINEE_1_NAME>

STRING

N

Maximum length allowed: 100

 

24

<NOMINEE_1_PAN_NO>    </NOMINEE_1_PAN_NO>

STRING

N

Length allowed: 10

 

25

<NOMINEE_2_NAME></NOMINEE_2_NAME>

STRING

N

Maximum length allowed: 100

 

26

<NOMINEE_2_PAN_NO>    </NOMINEE_2_PAN_NO>

STRING

N

Length allowed: 10

 

27

<NOMINEE_3_NAME></NOMINEE_3_NAME>

STRING

N

Maximum length allowed: 100

 

28

<NOMINEE_3_PAN_NO>    </NOMINEE_3_PAN_NO>

STRING

N

Length allowed: 10

 

29

<FIRST_HOLDER_GENDER></FIRST_HOLDER_GENDER>

STRING

N

Male
Female
Other
NA

 

30

<FIRST_HOLDER_DOB>/FIRST_HOLDER_DOB>

DATE

N

YYYY-MM-DD

Date of Birth of First holder

For non-individuals, date of incorporation will be captured wherever available

31

<FIRST_HOLDER_NATIONALITY></FIRST_HOLDER_NATIONALITY>

STRING

N

Maximum length allowed: 40

Nationality of First holder

32

<FIRST_HOLDER_OCCUPATION></FIRST_HOLDER_OCCUPATION>

STRING

N

Maximum length allowed: 100

Occupation of First Holder

33

<DATE_OF_PMS_ACCOUNT_ACTIVATION></DATE_OF_PMS_ACCOUNT_ACTIVATION>

DATE

N

YYYY-MM-DD

PMS Account Activation date

34

<IS_ACCOUNT_ACTIVE></IS_ACCOUNT_ACTIVE>

BOOL

Y

true

false

Active Account – True

Inactive Account – False

Examples of inactive accounts:

·        UCC created but funds not received.

·        Full Redemption request received, but full and final settlement is pending.

·        Insufficient funds and client not reachable

35

<INACTIVE_SINCE></INACTIVE_SINCE>

DATE

N

YYYY-MM-DD

Mandatory for inactive accounts. If account inactive on account of complete withdrawal of funds, the date as mentioned written request has to be mentioned.

36

<ACCOUNT_INACTIVITY_DESC> </ACCOUNT_INACTIVITY_DESC>

STRING

N

Maximum length allowed: 200

Reason for tagging account as inactive.

Reasons may be one of the below:

1.     Insufficient funds and client not reachable

2.     Demat account opened but no initial fund transfer.

3.     Written instruction received for complete redemption of funds.

4.     Others – please specify

37

<DATE_OF_PMS_ACCOUNT_CLOSURE></DATE_OF_PMS_ACCOUNT_CLOSURE>

DATE

N

YYYY-MM-DD

The date of full and final settlement shall be reported as Account Closure Date.

 

 

3.7.     PMS_Inspection_PM_Level_Expense.xml

3.7.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.7.2. PMS_Expense [<PMS_Expense></PMS_Expense>] – None or more occurrences allowed

Important Note: For ease of reporting, for each nature of service, a single entry with aggregate amount per vendor per month may be reported with ACCRUAL_DATE as the last date of the month for which the report is being submitted.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1.      

<ACCRUAL_DATE></ACCRUAL_DATE>

DATE

Y

YYYY-MM-DD

Date of booking the expense

2.      

<VENDOR_PAN>

      <Is_Valid_PAN></Is_Valid_PAN>

</VENDOR_PAN>

STRING

Y

Length allowed: 10

PAN of the vendor from whom the service taken

3.      

<VENDOR_NAME></VENDOR_NAME>

STRING

Y

Maximum length allowed: 100

Name of the vendor from whom the service taken

4.      

<NATURE_OF_SERVICE></NATURE_OF_SERVICE>

STRING

Y

Broking
Custody
DP
Fund Accounting
RTA
Distributor Comm
Other

 

5.      

<IS_VENDOR_ASSOCIATE_OF_PMS></IS_VENDOR_ASSOCIATE_OF_PMS>

BOOL

Y

TRUE

FALSE

Whether the vendor is associate of PMS

6.      

<AMOUNT_PAID></AMOUNT_PAID>

FLOAT

Y

DECIMAL(24,4)

Amount paid in INR

7.      

<FREQUENCY></FREQUENCY>

STRING

Y

Monthly
Quarterly
Yearly
Other

 

 

3.8.     PMS_Inspection_PM_Master.xml

3.8.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.8.2. PMS_Master [<PMS_Master></PMS_Master>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<PM_NAME></PM_NAME>

STRING

Y

Maximum length allowed: 100

Name of Portfolio Manager

2

<PM_PAN>    </PM_PAN>

STRING

Y

Length allowed: 10

PAN of Portfolio Manager

3

<PM_PO_PAN>

    </PM_PO_PAN>

STRING

N

Length allowed: 10

PAN of Principle Officer

4

<PM_PO_NAME></PM_PO_NAME>

STRING

N

Maximum length allowed: 100

Name of Principal Officer

5

<PM_SEBI_REG_NO></PM_SEBI_REG_NO>

STRING

Y

Maximum length allowed: 20

SEBI Reg. Number of Portfolio Manager

6

<PM_CO_PAN></PM_CO_PAN>

STRING

Y

Length allowed: 10

PAN of Compliance Officer

7

<PM_CO_NAME></PM_CO_NAME>

STRING

Y

Maximum length allowed: 100

Name of Compliance Officer

8

<PO_NISM_CERTIFICATE_NO></PO_NISM_CERTIFICATE_NO>

STRING

N

Maximum length allowed: 20

Principal Officer’s NISM Certificate Number

9

<PO_NISM_CERTIFIC_DATE></PO_NISM_CERTIFIC_DATE>

DATE

N

YYYY-MM-DD

Date of NISM certificate

10

<FIU_REG_NO></FIU_REG_NO>

STRING

N

Maximum length allowed: 20

FIU Reg Number

11

<KRA_REG_NO></KRA_REG_NO>

STRING

N

Maximum length allowed: 20

Institution code issued by KRA

In case of registration with multiple KRA agencies, provide any one KRA agency registration number

12

<CERSAI_REG_NO></CERSAI_REG_NO>

STRING

N

Maximum length allowed: 20

Institution code issued by CERSAI

13

<SCORE_REG_NO></SCORE_REG_NO>

STRING

Y

Maximum length allowed: 20

SEBI SCORES registration number

14

<WEBLINK_FOR_DIRECT_CLIENT_ONBOARDING></WEBLINK_FOR_DIRECT_CLIENT_ONBOARDING>

STRING

N

Maximum length allowed: 500

Web link for direct on-boarding of client

15

<FO_SYSTEM_NAME></FO_SYSTEM_NAME>

STRING

N

Maximum length allowed: 100

Name of Front Office Trading System

16

<BO_SYSTEM_NAME></BO_SYSTEM_NAME>

STRING

N

Maximum length allowed: 100

Name of Back Office Accounting System or Fund accountant

17

<PM_SURRENDER_DATE></PM_SURRENDER_DATE>

DATE

N

YYYY-MM-DD

Date of approval of application for surrender by SEBI

18

<PM_NET_WORTH></PM_NET_WORTH>

FLOAT

Y

DECIMAL(24,4)

Net worth of PM as on March 31 of the preceding financial year in INR. e.g. For report of May-2023, Net worth as on 31-03-2023 has to be provided).

Till the time audited Financial Statements are not released, unaudited Net worth of the previous Financial Year may be reported. e.g. For April-June 2024 reporting, if audited Net Worth is not available, unaudited Net Worth as on March 31st, 2024 has to be reported.

3.9.     PMS_Inspection_PM_Pool_Acc_Master.xml

3.9.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.9.2.          PMS_PoolAcc [<PMS_PoolAcc></PMS_PoolAcc>] – None or more occurrences allowed

Important Note:  Kindly ensure that each of the POOL_BOID should be uniquely identified in this report. No two entries for same POOL_BOID should be present.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<POOL_DP_ID></POOL_DP_ID>

STRING

Y

Maximum length allowed: 20

Pool DP ID

2

<POOL_DP_NAME></POOL_DP_NAME>

STRING

Y

Maximum length allowed: 100

Pool Name of DP

3

<POOL_NAME> </POOL_NAME>

STRING

Y

Maximum length allowed: 100

Pool Account title

4

<POOL_BOID></POOL_BOID>

STRING

Y

Maximum length allowed: 20

Pool BOID

3.10.     PMS_Inspection_Pool_Demat_Account_Holding.xml

3.10.1 Header [<Header></Header>] – Only one occurrence

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

<LOGIN_ID></LOGIN_ID>

INT

Y

>0

Login ID of the PMS

2

<YEAR>

      <year></year>

</YEAR>

STRING

Y

20XX to 21XX

Year of Report for this XML File

3

<MONTH> 

       <month></month>

</MONTH>

STRING

Y

January
February
March
April
May
June
July
August
September
October
November
December

Month of Report for this XML File

3.10.2. PMS_PoolAccHldng [<PMS_PoolAccHldng></PMS_PoolAccHldng>] – None or more occurrences allowed

Important Note:

All listed equity shares in which the Portfolio Manager has invested client’s funds has to be reported for every date of the reporting month on which:

  • the issuer of the security was an associate of the Portfolio Manager (as specified in sub-section (6) of section 2 of the Companies Act, 2013) or,
  • the issuer of the security was related to Portfolio Manager as per the definition provided in Regulation 2(1)(pa) of the SEBI (Portfolio Managers) Regulations, 2020.

#

Tag

Data Type

Mandatory

Allowed Character

Comments

1

< INVESTMENT_TYPE></ INVESTMENT_TYPE>

STRING

Y

Equity

Derivatives

Investment Type

2

< ASSET_TYPE></ ASSET_TYPE>

STRING

Y

Equity Shares

Futures

Options

Asset Type
(For Equity: Equity Shares

For Derivative: Futures or Options)

 

3

< SECURITY_ISIN></ SECURITY_ISIN>

STRING

N

Maximum length allowed: 12

ISIN of security.

 

4

< SECURITY_CODE></ SECURITY_CODE>

STRING

N

Maximum length allowed: 20

Internal code of the security for which there is no ISIN.

5

< ASSOCIATED_DATE></ ASSOCIATED_DATE>

DATE

Y

YYYY-MM-DD

 



Annexures

4.1.     Annexure A

Allowed values for Ratings

AAA

AA+

AA

AA-

A+

A

A-

BBB+

BBB

BBB-

BB+

BB

BB-

B+

B

B-

C+

C

C-

A1+

A1

A2+

A2

A3+

A3

A4+

A4

Privately Rated

Sovereign

Unrated

AAA(SO)

AA+(SO)

AA(SO)

AA-(SO)

A+(SO)

A(SO)

A-(SO)

BBB+(SO)

BBB(SO)

BBB-(SO)

BB+(SO)

BB(SO)

BB-(SO)

B+(SO)

B(SO)

B-(SO)

C+(SO)

C(SO)

C-(SO)

D(SO)

AAA(CE)

A1+(SO)

A1(SO)

A2+(SO)

A2(SO)

A3+(SO)

A3(SO)

A4+(SO)

A4(SO)

AA+(CE)

AA(CE)

AA-(CE)

A+(CE)

A(CE)

A-(CE)

BBB+(CE)

BBB(CE)

BBB-(CE)

BB+(CE)

BB(CE)

BB-(CE)

B+(CE)

B(CE)

B-(CE)

C+(CE)

C(CE)

C-(CE)

D(CE)

A1+(CE)

A1(CE)

A2+(CE)

A2(CE)

A3+(CE)

A3(CE)

A4+(CE)

A4(CE)

D

4.2.     Annexure B

Allowed values for Rating Agency

CARE

CRISIL

ICRA

FITCH

BWR

IVR

ACUITE

IND

SMERA

Sovereign

Unrated