AIF Submissions. Accurate. Inspection-Ready
End-to-end pre-verification services for Alternative Investment Funds ensuring timely, accurate and SEBI-compliant regulatory submissions every reporting cycle.
Overview
Alternative Investment Funds are required to comply with stringent SEBI reporting obligations across investors, trustees, sponsors and benchmarking agencies.
Our compliance experts perform detailed pre-verification of AIF regulatory reports before submission identifying anomalies, ensuring disclosure completeness and reducing the risk of SEBI observations, penalties and registration consequences.
Pre-verification of every critical submission
Four structured service areas each aligned to the specific reporting obligations of SEBI-registered AIFs.
Periodic Regulatory Filings
Review of all SEBI-mandated periodic filings ensuring accuracy, completeness and timely submission across every reporting cycle.
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Annual Activity Report to SEBI.
Quarterly Activity Report to SEBI.
Annual updating of Private Placement Memorandum (PPM).
Quarterly and Annual Reports to Investors.
Trustee and Benchmark Reporting
Pre-verification of trustee compliance reports and benchmarking agency filings ensuring disclosure accuracy and regulatory alignment.
Benchmarking Filings to Benchmarking Agencies.
Trustee Compliance Report to Trustees.
Compliance Test Report to Trustees and Sponsor.
Accuracy and completeness review across all reports.
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InVi and FLA reports for NRI
Pre-submission review of InVi and FLA reports for NRI investors ensuring FEMA compliance and accurate foreign liability disclosures.
InVi Reporting for NRI Investors.
Foreign Liabilities and Assets (FLA) Reporting.
FEMA compliance validation before submission.
NRI investor categorisation and disclosure accuracy review.
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Investment Strategy Compliance
Review of investment decisions against PPM strategy and SEBI category norms identifying deviations before they become regulatory observations.
PPM strategy alignment verification.
Category I, II and III restriction compliance review.
Concentration norm and investible funds calculation check.
Corpus and drawdown process compliance review.
SEBI Violations Most Often Observed in AIFs
Exchange inspection teams frequently cite these violations-most of which are preventable through pre-verification.
Investment Strategy Deviations
Investments made outside the stated PPM strategy including breach of category-specific restrictions and non-compliance with concentration norms.
Winding up Violations
Incorrect or delayed winding up of AIFs or incorrect process for in-species distribution of assets amongst investors.
Misreporting and Disclosures
Inconsistent disclosures across PPM, investor reports and regulatory filings including omission of material information on risks, conflicts and fees.
Corpus and Drawdown Violations
Corpus below minimum required levels, improper capital drawdown processes and acceptance of funds from ineligible investors breaching threshold norms.
Why SecMark
Simple to engage. Expert by design. Every AIF submission reviewed before it reaches SEBI.
AIF Specialist Practice
Deep familiarity with SEBI AIF Regulations covering Category I, II and III funds with hands-on regulatory filing and compliance expertise.
Expert Coordination
End-to-end coordination with auditors, custodians and legal advisors ensuring every filing is reviewed, policy-aligned and submission-ready before every deadline.
Regulatory Update Monitoring
Policies updated in line with regulatory changes ensuring your AIF remains continuously compliant with the latest SEBI guidelines and circulars.
For more information you can reach out to us by filling the contact us form / Call: 9869265949
