PMS Submissions. Accurate. Inspection-Ready
End-to-end pre-verification services for Portfolio Management Services ensuring timely, accurate and SEBI-compliant regulatory submissions across every reporting cycle.
Overview
Portfolio Managers face stringent periodic reporting obligations to SEBI and APMI across multiple filings.
Our compliance experts perform detailed pre-verification of PMS regulatory reports before submission. We identify anomalies, ensure data completeness and reduce 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 Portfolio Managers.
Periodic Regulatory Filings
Review of all periodic SEBI and APMI filings ensuring accuracy, completeness and timely submission across every PMS reporting cycle.
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Monthly filing with SEBI and APMI.
Offsite inspection data reporting submission to SEBI.
PARAS Portal Alert review for quarterly offsite data submission.
Quarterly investor report review and accuracy check.
Disclosure Document Review
Pre-verification of Portfolio Manager disclosure documents and client compliance documents ensuring accuracy, regulatory alignment and completeness before filing.
Disclosure Documents review and accuracy check.
Client compliance document review and validation.
Offsite Monitoring via Compliance Monitoring Moduleon PARAS Portal.
Annual Compliance with Corporate Governance reporting to SEBI.
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Annual Compliance Submissions
Pre-verification of all annual compliance certificates and net worth submissions ensuring accuracy and alignment with SEBI PMS regulations.
Annual Certificate of compliance with PMS regulations and circulars.
Annual Net Worth Certificate of Portfolio Manager.
Annual Compliance with performance reporting to SEBI with firm-level certification.
Annual portfolio account audit certificate review and validation.
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Investment and AML Compliance
Monitoring of investment prudential norms, AML and KYC compliance and policy updates to ensure continuous alignment with SEBI guidelines.
Investment prudential norms monitoring and review.
Anti-money laundering (AML) and KYC compliance advisory.
Strategy and benchmark alignment verification per SEBI regulations.
Policy updates in line with latest SEBI regulatory changes.
SEBI Violations Most Often Observed in PMS
SEBI and APMI inspection teams frequently cite these violations. Most are preventable through pre-verification.
Incorrect Reporting
Incorrect data in SEBI and APMI monthly filings, offsite inspection reports and weekly client fund monitoring submissions to regulators.
AUM and Strategy Violations
Client AUM falling below the regulatory limit, incorrect investment strategy or benchmark adopted and incorrect client categorisation while reporting to SEBI.
Net Worth and KMP Violations
Net worth of the portfolio management entity not maintained at the prescribed limit or not kept in the prescribed regulatory format.
Principal Officer Violations
Principal officer and compliance officer not matching eligibility criteria and instances of proprietary trading occurring before trading in client accounts.
Why SecMark
Simple to engage. Expert by design. Every PMS submission reviewed before it reaches SEBI.
PMS Specialist Practice
Deep familiarity with SEBI PMS Regulations and APMI requirements with hands-on experience in regulatory filing, compliance audits and portfolio manager documentation.
Anomaly Detection
Every report reviewed to identify discrepancies, ensure accuracy and completeness of submitted data before it reaches SEBI or APMI review teams.
Regulatory Update Monitoring
Policies updated in line with SEBI regulatory changes ensuring your portfolio management Entity remains continuously compliant with the latest circulars and guidelines.
For more information you can reach out to us by filling the contact us form / Call: 9869265949
