Verify an investor report against the mandate

For a PMS or AIF manager, connect approved positions, fees, performance period and investor-specific reporting terms to the outgoing statement. Client service seeks the portfolio manager’s explanation of material variances before issue.

A reporting period opens or an internal, auditor or authority request is received.

People in the process

IInvestor RelationsProcess Owner
FFund or PMS OperationsParticipating Team
IInvestment TeamParticipating Team

Records it works with

Reporting checklist and prior approved pack
Current operating and financial schedules
Supporting records, reviewer comments and approvals

The process is a starting point.The standards are yours.

Configure for the SEBI registration, exchange membership and business activity. Broker, fund, portfolio-manager and investment-adviser requirements are separate.

Keep the work connected.

Legal & Commercial

Test a proposed AIF side letter against fund terms

Before signature, compare the investor’s proposed reporting, consent, excuse or economic rights with the placement memorandum, contribution agreement and existing commitments. Fund legal identifies conflicts and required approvals for the manager’s negotiation decision.

Legal & Commercial

Carry signed investor rights into fund operations

Once legal has confirmed an AIF investor’s special rights, map the signed term to capital calls, proposed investments, distributions or reports. Fund operations assigns the event owner and escalates any conflict for counsel’s decision.

FII

Legal & Commercial

Resolve a custodian or RTA service exception

Tie a missed position file, corporate action or unit-holder record to the service agreement, affected NAV or client statement and provider explanation. Operations secures correction; legal reviews repeated failures and any contractual remedy.

Explore all Capital markets processes.

Order for the work. Room for the people.