| 1 |
891910 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to evaluate the need to file an Suspicious Transaction Report (STR), where CDD cannot be completed |
On Going |
High |
28-11-2025 |
👁
|
| 2 |
891911 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to carry out periodic updation of Know Your Customer (KYC), once in every two years, for high-risk customers calculated from the date of account opening or the most recent KYC updation |
On Going |
High |
28-11-2025 |
👁
|
| 3 |
891912 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to carry out periodic updation of Know Your Customer (KYC), once in every eight years, for medium-risk customers calculated from the date of account opening or the most recent KYC updation |
On Going |
High |
28-11-2025 |
👁
|
| 4 |
891913 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to carry out periodic updation of Know Your Customer (KYC), once in every ten years, for low-risk customers calculated from the date of account opening or the most recent KYC updation |
On Going |
High |
28-11-2025 |
👁
|
| 5 |
891914 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to allow all transaction of an individual customer who is categorized as low risk and ensure the updation of their Know Your Customer (KYC) within one year of its falling due for KYC or upto June 30, 2026, whichever is later |
On Going |
High |
28-11-2025 |
👁
|
| 6 |
891915 |
Prevention of Money-laundering Act, 2002, Prevention of Money-laundering (Maintenance of Records) Rules, 2005, RBI (Non-Banking Financial Companies - Know Your Customer) Directions, 2025 and amendment to |
Other Compliance |
Non-Banking Finance Company (NBFC) to implement an effective screening mechanism, including a Know Your Employee/Staff policy, as a fundamental part of its personnel recruitment and hiring process |
On Going |
High |
28-11-2025 |
👁
|
| 7 |
890546 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to insist upon a Change of Pay-out Bank mandate before redemption is processed |
On Going |
High |
12-05-2023 |
👁
|
| 8 |
890547 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to build a system control at the account set up stage of Systematic Investment Plan (SIP), Systematic Transfer Plan (STP) and Systematic Withdrawal Plan (SWP) on the basis of which, the standing instruction is suspended when the minor attains majority, till the status is changed to major |
On Going |
High |
24-12-2019 |
👁
|
| 9 |
890548 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to implement image based processing wherever the claimant is a nominee or a joint holder in the investor folio |
On Going |
High |
24-12-2019 |
👁
|
| 10 |
890549 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to have a dedicated, Central Help Desk and a webpage carrying relevant information and instructions in order to provide assistance on the transmission process |
On Going |
High |
24-12-2019 |
👁
|
| 11 |
890550 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to adopt a common Transmission Request Form (common fields) and NOC form |
On Going |
High |
24-12-2019 |
👁
|
| 12 |
890551 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to implement a common set of document requirements for transmission of units to claimant who are nominees or joint holders in the investor account |
On Going |
High |
24-12-2019 |
👁
|
| 13 |
890552 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to implement a uniform process for treatment of unclaimed funds to be transferred to the claimant including the unclaimed dividends |
On Going |
High |
24-12-2019 |
👁
|
| 14 |
890553 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) not to accept requests for redemption from a claimant pending completion of the transmission of units in his/her favour |
On Going |
High |
24-12-2019 |
👁
|
| 15 |
890554 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to make a one-time contribution equivalent to 2 bps of the AUM of specified debt-oriented MF Schemes managed by them |
On Going |
High |
27-07-2023 |
👁
|
| 16 |
890555 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) of new Mutual Funds also to make a one-time contribution equivalent to 2 bps of their specified debt-oriented MF schemes, based on the AUM at the end of the financial year following the one in which the specified scheme(s) are launched |
On Going |
High |
27-07-2023 |
👁
|
| 17 |
890556 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Liability of respective Asset Management Companies to pay interest at fifteen percent per annum for the period of delay in case of delay in contribution by Mutual Fund Schemes and AMCs |
On Going |
High |
27-07-2023 |
👁
|
| 18 |
890557 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to have access to sell corporate debt securities during market dislocation, held in the portfolio of contributing schemes, to the Corporate Debt Market Development Fund (CDMDF) |
On Going |
High |
27-07-2023 |
👁
|
| 19 |
890558 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that the net worth as prescribed under Regulation 21(1)(f) of SEBI (Mutual Funds) Regulations, 1996 to be maintained over and above the contribution made towards CDMDF |
On Going |
High |
27-07-2023 |
👁
|
| 20 |
890559 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Relevant changes in the Scheme Information Document to be incorporated by Asset Management Companies (AMCs) by way of issuing an addendum prior to contributing to CDMDF |
On Going |
High |
27-07-2023 |
👁
|
| 21 |
890560 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to endeavour to deploy a higher proportion of the assets towards the schemes
strategy under the ESG theme and make suitable disclosures |
On Going |
High |
20-07-2023 |
👁
|
| 22 |
890561 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that the schemes launched by Mutual Funds are clearly distinct in terms of asset allocation, investment strategy, etc |
On Going |
High |
20-07-2023 |
👁
|
| 23 |
890562 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to clearly disclose the name of ESG strategy in the name of the concerned ESG fund/scheme |
On Going |
High |
20-07-2023 |
👁
|
| 24 |
890563 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to disclose the security wise BRSR Core scores along with the BRSR scores in their monthly portfolio statements of ESG schemes |
On Going |
High |
20-07-2023 |
👁
|
| 25 |
890564 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to disclose the name of the ERPs providing ESG scores for the ESG schemes, along with the ESG scores in their monthly portfolio statements of ESG schemes |
On Going |
High |
20-07-2023 |
👁
|
| 26 |
890565 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to disclose the change in ERP in the next monthly portfolio statements of ESG schemes in case there is a change in ERP |
On Going |
High |
20-07-2023 |
👁
|
| 27 |
890566 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to categorically disclose whether the resolution has or has not been supported due to any environmental, social or governance reasons |
On Going |
High |
20-07-2023 |
👁
|
| 28 |
890567 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Details and rationale for votes cast on behalf of ESG schemes and non-ESG schemes to be disclosed separately in instances wherein the voting approach for ESG and non-ESG schemes of any Mutual Fund is not same |
On Going |
High |
20-07-2023 |
👁
|
| 29 |
890568 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to obtain an independent reasonable assurance on an annual basis regarding their ESG scheme’s portfolio being in compliance with the strategy and objective of the scheme, as stated in respective Scheme Information Documents |
On Going |
High |
20-07-2023 |
👁
|
| 30 |
890569 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Board of Asset Management Companies (AMCs) to ensure that the assurance provider for an ESG scheme has the necessary expertise, for undertaking reasonable assurance |
On Going |
High |
20-07-2023 |
👁
|
| 31 |
890570 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) also to ensure that there is no conflict of interest with the assurance provider appointed for providing assurance on their ESG schemes |
On Going |
High |
20-07-2023 |
👁
|
| 32 |
890571 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Board of directors of AMCs to certify the compliance of ESG schemes with the regulatory requirements including disclosures, in annual report of the scheme based on comprehensive internal ESG audit |
On Going |
High |
20-07-2023 |
👁
|
| 33 |
890572 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Corporate Debt Market Development Fund (CDMDF) to deal only in Low duration Government Securities, Treasury bills, etc during normal times |
On Going |
High |
27-07-2023 |
👁
|
| 34 |
890573 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Corporate Debt Market Development Fund (CDMDF) to follow the Fair Pricing document as placed at Annexure A while purchase of corporate debt securities during market dislocation |
On Going |
High |
27-07-2023 |
👁
|
| 35 |
890574 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Corporate Debt Market Development Fund (CDMDF) to follow the loss waterfall accounting, as prescribed at Annexure B |
On Going |
High |
27-07-2023 |
👁
|
| 36 |
890575 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Clearing Corporations to provide required infrastructure to facilitate the trade settlement of corporate debt trades by CDMDF during market dislocation |
On Going |
High |
27-07-2023 |
👁
|
| 37 |
890576 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Mutual Funds to participate in repos on corporate debt securities i.e. Listed AA and above rated corporate debt securities and Commercial Papers (CPs) and Certificate of Deposits (CDs) |
On Going |
High |
13-06-2023 |
👁
|
| 38 |
890577 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Exposure not to be considered for the purpose of determination of investment limits for single issuer, group issuer and sector level limits for transactions where settlement is guaranteed by a Clearing Corporation |
On Going |
High |
13-06-2023 |
👁
|
| 39 |
890578 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
AMCs and RTAs to encourage the unit holder(s) to fulfill the requirement for nomination/opting out of nomination by sending a communication on fortnightly basis by way of emails and SMS to all such unit holder(s) who are not in compliance with the requirement of nomination |
On Going |
High |
28-03-2023 |
👁
|
| 40 |
890579 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to comply with Know Your Client (KYC) requirements at the time of on-boarding investors on its platform as category 2 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 41 |
890580 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to have access to the KYC data of the investors available with the KYC Registration Agencies (KRAs) for on-boarding of investors as category 2 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 42 |
890581 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to carry out necessary due diligence and ensure that investor signs a “Rights and Obligation†document as specified by Stock Exchanges before availing its services as category 2 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 43 |
890582 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Responsibility of ensuring compliance with KYC requirements to lie with the AMCs with respect to transactions executed through both categories of EOPs by investors in Mutual Funds |
On Going |
High |
01-09-2023 |
👁
|
| 44 |
890583 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to enter into agreements with the AMCs which should clearly define their rights and obligations relating to EOP services as category 1 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 45 |
890584 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to have an objective, fair and transparent policy for providing execution services for products of AMCs as category 1 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 46 |
890585 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to enter into necessary arrangements with the Stock Exchanges which should clearly define their rights and obligations relating to the EOP services as category 2 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 47 |
890586 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure that they have a comprehensive risk management framework covering all aspects of their operations |
On Going |
High |
01-09-2023 |
👁
|
| 48 |
890587 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs also to ensure that risks associated with their operations are identified and managed |
On Going |
High |
01-09-2023 |
👁
|
| 49 |
890588 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure access control for their clients and prevent unauthorized access to their platform |
On Going |
High |
01-09-2023 |
👁
|
| 50 |
890589 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure that all transactions on their platform, without exception, are dealt with in a fair, non-discriminatory and orderly manner |
On Going |
High |
01-09-2023 |
👁
|
| 51 |
890590 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to formulate data governance, protection and dissemination policy which is fair and non-discriminatory |
On Going |
High |
01-09-2023 |
👁
|
| 52 |
890591 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to facilitate only such transactions that are in compliance with the prevailing legal or regulatory requirements |
On Going |
High |
01-09-2023 |
👁
|
| 53 |
890592 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to establish appropriate controls to reduce the likelihood of erroneous transactions |
On Going |
High |
01-09-2023 |
👁
|
| 54 |
890593 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure data integrity and privacy |
On Going |
High |
01-09-2023 |
👁
|
| 55 |
890594 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to establish necessary systems and frame suitable policies, in writing, for onboarding of investors on their platform, execution of transactions, rights and obligations/terms and conditions for the investor and the EOP, etc |
On Going |
High |
01-09-2023 |
👁
|
| 56 |
890595 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to share investors data with their other departments/divisions, their group entities and/or with any third party, only with the specific consent of the investors |
On Going |
High |
01-09-2023 |
👁
|
| 57 |
890596 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to ensure compliance with cyber security and cyber resilience requirements, as specified by AMFI as category 1 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 58 |
890597 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to ensure compliance with the cyber security and cyber resilience framework for Stock Brokers, as prescribed by SEBI from time to time as category 2 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 59 |
890598 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities to maintain arm’s length relationship, if performing multiple activities within the same entity, so as to avoid conflict of interest |
On Going |
High |
01-09-2023 |
👁
|
| 60 |
890599 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities to maintain investor level segregation between EOP services and distribution services for Mutual Fund products, at the entity’s group level |
On Going |
High |
01-09-2023 |
👁
|
| 61 |
890600 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Orders of investors placed through Category 1 EOPs to be routed directly to the AMCs and/or RTAs authorized by such AMCs |
On Going |
High |
01-09-2023 |
👁
|
| 62 |
890601 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Orders of investors placed through Category 2 EOPs to be routed through the platforms provided by the Stock Exchanges |
On Going |
High |
01-09-2023 |
👁
|
| 63 |
890602 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Order of the investors placed through both categories of EOPs to be executed on immediate basis |
On Going |
High |
01-09-2023 |
👁
|
| 64 |
890603 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to maintain robust technology infrastructure with a high degree of reliability, availability, scalability and security in respect of their systems, data and network, to appropriately support their operations and manage the associated risks |
On Going |
High |
01-09-2023 |
👁
|
| 65 |
890604 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to have adequate and suitable systems in place to disseminate information to investors pertaining to orders placed on a real-time or a near real-time basis |
On Going |
High |
01-09-2023 |
👁
|
| 66 |
890605 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to have the organizational capabilities, technology and systems and safeguards for maintaining data privacy and preventing unauthorized sharing of data |
On Going |
High |
01-09-2023 |
👁
|
| 67 |
890606 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to establish appropriate safeguards and procedures to deal with exigencies including malfunctions or erroneous use of their systems, or other unforeseen situations |
On Going |
High |
01-09-2023 |
👁
|
| 68 |
890607 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to make their platforms available for transactions at all times, on a continuous basis |
On Going |
High |
01-09-2023 |
👁
|
| 69 |
890608 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity under both categories of EOPs not to display any advertisement regarding any Mutual Fund scheme on their platform |
On Going |
High |
01-09-2023 |
👁
|
| 70 |
890609 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity under both categories of EOPs not to display any advertisement regarding any Mutual Fund scheme on their platform any proxy/surrogate/common brand related advertisement on their platform |
On Going |
High |
01-09-2023 |
👁
|
| 71 |
890610 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity registered as Category 1 EOP to ensure compliance with the advertisement code prescribed by AMFI with respect to advertisements of the EOPs on other websites/applications/portals/media/channels |
On Going |
High |
01-09-2023 |
👁
|
| 72 |
890611 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity registered as Category 2 EOP to ensure compliance with the advertisement code prescribed by the Stock Exchanges with respect to advertisements of the EOPs on other websites/applications/portals/media/channels |
On Going |
High |
01-09-2023 |
👁
|
| 73 |
890612 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure on placement of transactions by investors, issue or display without delay, an electronic order receipt which shall include details such as date and time of order, quantity of units and/or amount proposed to be invested/redeemed |
On Going |
High |
01-09-2023 |
👁
|
| 74 |
890613 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to that the status of transactions is provided to the investors on a continuous basis |
On Going |
High |
01-09-2023 |
👁
|
| 75 |
890614 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to have access to the investors transaction data feeds from AMCs or RTAs authorized by AMCs for the transactions executed through their platforms |
On Going |
High |
01-09-2023 |
👁
|
| 76 |
890615 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to provide an interactive tool for the investors to screen or filter various schemes based on the criteria selected by the investor including past performance, AUM, etc |
On Going |
High |
01-09-2023 |
👁
|
| 77 |
890616 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entities under both categories of EOPs to ensure that there is no auto display of recommendation or ranking of any of the schemes |
On Going |
High |
01-09-2023 |
👁
|
| 78 |
890617 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Entity to follow the code of conduct as specified by AMFI as category 1 Execution Only Platform (EOP) |
On Going |
High |
01-09-2023 |
👁
|
| 79 |
890618 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to take steps to ensure that there are system level checks in place at AMCs’ end to prevent fraudulent transactions including front running by employees, form splitting/mis-selling by distributors, etc |
On Going |
High |
07-07-2023 |
👁
|
| 80 |
890619 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees and their resource persons to independently evaluate the extent of compliance by AMCs vis-a-vis the identified key areas and not merely rely on AMCs’ submissions/external assurances |
On Going |
High |
07-07-2023 |
👁
|
| 81 |
890620 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to put in place suitable mechanisms/systems to generate system based information/data/reports for evaluation and effective due diligence by the Trustees |
On Going |
High |
07-07-2023 |
👁
|
| 82 |
890621 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to provide alerts based automated reports to the Trustees as may be required by the Trustees |
On Going |
High |
07-07-2023 |
👁
|
| 83 |
890622 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to ensure that suitable mechanisms/systems are put in place by the AMCs to generate system based information/data/reports for evaluation and effective due diligence by the Trustees |
On Going |
High |
07-07-2023 |
👁
|
| 84 |
890623 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees also to ensure that the AMCs periodically review such systems |
On Going |
High |
07-07-2023 |
👁
|
| 85 |
890624 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to submit exception reports/analytical information to the Trustees, that add value to the process of exercising their oversight role |
On Going |
High |
07-07-2023 |
👁
|
| 86 |
890625 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to evaluate the nature and adequacy of the alerts and the manner of dealing with such alerts by AMCs |
On Going |
High |
07-07-2023 |
👁
|
| 87 |
890626 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to require the AMCs to furnish, in a true and fair manner, reports and alerts based on pre-decided parameters |
On Going |
High |
07-07-2023 |
👁
|
| 88 |
890627 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to periodically review the steps taken by AMCs for folios which do not contain all the Know Your Client (KYC) attributes/updated KYC attributes |
On Going |
High |
07-07-2023 |
👁
|
| 89 |
890628 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to ensure that the AMCs take remedial steps necessary for updating the KYC attributes especially pertaining to bank details, PAN, mobile phone number |
On Going |
High |
07-07-2023 |
👁
|
| 90 |
890629 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to oversee that AMCs manage the operations of Mutual Fund schemes independently from other activities |
On Going |
High |
07-07-2023 |
👁
|
| 91 |
890630 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to discharge their role as a custodian of assets on behalf of unit holders in accordance with MF Regulations and the trust deed |
On Going |
High |
07-07-2023 |
👁
|
| 92 |
890631 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to review the net worth of the AMC on a periodic basis to ensure compliance with prescribed threshold |
On Going |
High |
07-07-2023 |
👁
|
| 93 |
890632 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Trustees to ensure that the transactions of the Mutual Funds are in accordance with the provisions of the trust deed |
On Going |
High |
07-07-2023 |
👁
|
| 94 |
890633 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to be responsible for the protection of interest of unit holders of Mutual Fund schemes vis-a-vis all products and services provided by the AMC |
On Going |
High |
07-07-2023 |
👁
|
| 95 |
890634 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to be responsible for ensuring adoption of sound and healthy market practices in terms of investments, sales, marketing, advertisement, management of conflict of interests, etc |
On Going |
High |
07-07-2023 |
👁
|
| 96 |
890635 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to compliance with laws and regulations and other related processes with specific reference to operation of the Mutual Fund business |
On Going |
High |
07-07-2023 |
👁
|
| 97 |
890636 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to review the various compliance issues relating to protection of the interests of the unit holders |
On Going |
High |
07-07-2023 |
👁
|
| 98 |
890637 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to keep the unit holders well informed of and educated about mutual fund products, investor charter and compliant handling procedures |
On Going |
High |
07-07-2023 |
👁
|
| 99 |
890638 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to report its findings to the board of directors of AMC along with recommendations for action |
On Going |
High |
07-07-2023 |
👁
|
| 100 |
890639 |
Securities and Exchange Board of India (Mutual Funds) Regulations, 2026 and amendment thereto |
Other Compliance |
Unit Holder Protection Committee (UHPC) to make recommendations relating to protection of interest of investors as well as monitor its implementation |
On Going |
High |
07-07-2023 |
👁
|
