How to Get Mutual Fund registration in India with SEBI

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Mutual Fund is an investment arrangement composed of swimming pool cash gathered from several financiers to invest in Safety for far better output by Expert market players. The mutual fund run by Expert Market Gamer, Who acts on behalf of the financier.

Mutual Fund gives little or specific investor opportunity to purchase expertly handled portfolios of equity, Debt, bonds, and other Safety and securities. Investment advisor registration itself with itself register with SEBI.

Properties Administration Company-

Possessions Administration Company takes care of the financial investment on behalf of Person.

Eligibility Requirements

·     The Applicant has been continuing business in economic solutions for not less than five years.

·     The Candidate having net worth is positive in all the quickly preceding five years.

·     The Applicant having total assets in the quickly preceding year is greater than the enroller's resources payment in the possession administration business.

·     The Candidate is having profits after attending to depreciation, passion, and tax in three out of the promptly coming before five years, consisting of the fifth year.

·     The Applicant is a fit and also a proper person.

·     The Applicant has contributed or contributes a minimum of 40% to the asset administration business's net worth.

·     The Candidate or any one of its directors or the primary policeman has not been found guilty of fraud or convicted of a violation involving ethical turpitude.

·     The appointment of the trustee to serve as a trustee for mutual fund

·     The appointment of Possessions Management Business for manage of mutual fund

·     The visit of a custodian to keep the protection of the securities or gold as well as gold- a related instrument or various other assets of the mutual fund

·     Treatment of Enrollment of Mutual Fund

Application for Registration

Application for enrollment of a mutual fund shall be made to the Safety and security exchange board of India in form No A by Candidate.

Average assets under management as on 31st march

Fee( In Rs)

AAUM up to 10,000cr

0.0015 percent of the AAUM

Part Of AAUM above 10,000cr

0.0010 percent of the portion of AAUM in Excess of 10,000cr



Eligibility Criteria

·         The Candidate has to meet the standards.


Consideration of Application

The Security Exchange Board of India, May, on the invoice of papers decides the application.


Certification of Enrollment

After confirmation, the Safety and Security Exchange Board of India may confirm all the details give of enrollment in form B.


Payment of Yearly Service Fee.

A mutual fund shall pay before the 15th April yearly a service fee as defined in the Second Schedule for every fiscal year from the year complying with registration.

Document Required For Mutual Fund Registration

  1. Details of the Applicants
  2. Details of Compliance Officer
  3. Proof of Registered Office
  4. Details of Incorporation
  5. Certificate of Registration
  6. Memorandum of Association
  7. Details of Capital Structure
  8. Details of Financial Information Including Balance Sheet and Profit and Loss Account for five years.
  9. Details of Management
  10. Details of the Bankers of the Applicant
  11. Details of Court Cases in which the applicant may have been involved in the last three years (if Applicable)
  12. Details of the Auditors of the applicant
  13. Draft Trust Deed
  14. Draft Investment Management Agreement
  15. Draft custodian Agreement

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Created on Nov 10th 2020 03:36. Viewed 66 times.


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