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Portfolio Manager Registration With SEBI

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Who all are considered as Portfolio Managers?

Portfolio term means investment collection. The individual responsible for managing, guiding and supervising a portfolio in exchange for a commission on behalf of his company, It is referred to as Portfolio Manager. A money manager's key belief is that he must be able to meet the needs of his client by maximizing his savings for maximum profits. He must operate on the assets of the company in a fiduciary way. He should act within a framework of an agreement entered between them. SEBI (Fund Managers) Regulations, 1993 regulates the definition of a portfolio manager.

What steps are defined for Portfolio Manager Registration with Securities Exchange Board of India (SEBI)?

  • An person wishing to function as a Portfolio Manager will, together with an non-refundable application fees of Rs. 1,00,000 apply to the Board in Form A.
  • Upon receipt of the request, the Board can refuse the request if it is not fulfilled due to the incompleteness of the request and its non-confirmation of the directions as stated in the document. The Board may also request additional evidence or allow the claimant or chief executive to testify before the Board in person.
  • The Board takes into account the following important points when issuing the Certificate of Registration:
    • The claimant should be a corporate body and should have sufficient office space, facilities and services.
    • The Principal Officer should be trained in accounting, law and should have 10 years of experience in relevant stock market operations
    •  The candidate must have a total of two people in his jobs, one of whom has at least five years of experience in related activities. The activities of the Portfolio Manager should always be in the interest of investors.
    • The Board must, in conjunction with the criteria set out in the second timetable, accept that the persons involved and the claimant organization are suitable and in good condition.
    • Once the Board is satisfied that the applicant satisfies the eligibility criteria set out in the Regulation, the intimation shall be sent to the applicant and the invoice of the Rs fees shall be issued.
    •  The Registration certificate shall remain active unless the Board suspends or cancels the certificate.

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