MUTUAL FUND COMPANY

Establishing a mutual fund company in India is a specific process directed by several regulations. This is to ensure investor safety and fund integrity. At JR Compliance, we provide expert guidance to help you navigate through the process with ease. This helps ensuring compliance and streamlined operations for your fund management business.

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Service Overview

Our services focus on facilitating mutual fund company registration, meeting all SEBI requirements, and offering comprehensive assistance in documentation, legal formalities, and compliance. We help you establish your business while ensuring transparency and growth.

‍Challenges of Filing for a Private Limited Company

Complex Procedures

The formation of the private limited company is quite complex as it requires many legal formalities.

Time-Consuming

Sometimes, its exhausting to gather all the necessary papers and fill out all necessary documents.

Share Limit

In a Private Limited Company there is a limit of 200 shareholders, with a restricted limit on share transfers.

Business Commencement

Within 180 days of registering a Private Limited Company, the certificate of commencement of business must be obtained.

‍Challenges of Filing Mutual Fund Company

Navigating SEBI regulations

Adhering to complex SEBI rules and regulations is very important for the mutual fund registration. It is important in order to ensure adherence to investment, reporting and risk management standards.

Document preparation and paperwork

Legal paper preparation for the prospectus, draft agreements, financial disclosure statements, etc.-are tedious and a laborious task without professional expertise involved.

Approval processes

Long waits on receipt of approval from the relevant departments for setting up a business will be delayed by not getting started on time or managing timelines for an appropriate start.

Market Competition

The mutual fund market is highly competitive. Strategic planning, effective marketing, and knowledge of market trends can make your offerings stand out from the crowd.

Advantages of Mutual Fund Company

Compliance Assurance

JR Compliance guarantees your mutual fund adheres to all SEBI and regulatory guidelines, minimizing legal risks and ensuring smooth operations.

Expert Consultation

Our team of experts offers personalized advice and strategic insights, helping you establish and grow a successful mutual fund company with a solid foundation.

Streamlined Registration

We handle all the intricate details, from paperwork to approvals, ensuring a hassle-free registration process for your mutual fund.

Ongoing Support

Post-registration, we continue to assist with compliance updates, audits, and operational guidance to ensure your mutual fund remains fully compliant at all times.

Service Process

01

Business Structure Evaluation

We begin by evaluating your organizational structure and investment objectives to align with SEBI’s mutual fund regulations.

02

Documentation

Engages a team of experts in preparing legal documents like prospectus, agreements, and compliance papers, all of which are to be filed.

03

Application Submission

At that point, we will submit the application to the SEBI for review and approval when all such documents have been finalized.

04

SEBI Clarification Response

We assist in drafting timely and accurate responses to SEBI’s queries during the registration evaluation phase.

05

Approval and Registration

Once the necessary approval is granted, we assist in completing the registration process, as all of them are handled correctly and efficiently.

06

Post-Registration Support

We also provide continuous support after registration to ensure that your business runs smoothly and you comply with all applicable regulatory requirements.

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Service Process

Consultation

We will have a consultation regarding your business vision and requirements to decide on whether the private limited company fits you well.

Documentation

We will help you to do the paperwork involving preparation of the Memorandum of Association and Articles of Association.

Registration

We will then forward all the necessary documents to the Registrar of Companies as required for registration.

Support

We will always be here with you to offer assistance and advice so that you can efficiently run your private limited company.

Compliance:

We will assist you in maintaining a continuing compliance with all legal and regulatory standards.

Service Process

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Service Breakdown

Eligibility

Registered Company under SEBI Guidelines: The applicant should be such company which is registered under the Companies Act and is following the SEBI's regulatory framework.

Minimum Net Worth Requirement: In order to demonstrate financial capacity and operational stability, companies are to demonstrate a minimum net worth of ₹50 crores.

Qualified Key Personnel: Directors and fund managers have to have relevant qualifications and experience to effectively undertake operations regarding mutual funds.

Clear Track Record: The company or its promoters must not have any record of default, fraud or financial mismanagement.

Documents

Certificate of Incorporation: A valid Certificate of Incorporation under the Companies Act is required to initiate the mutual fund registration activity.

Net Worth Proof: There is the need for audited financial statements establishing a net worth of ₹50 crores to comply with SEBI norms.

KYC and Qualification Documents: Detailed KYC and proof of experience or qualifications for directors, promoters, and fund managers must be provided.

Comprehensive Business Plan: A structured plan that outlines fund categories, operational goals, management structure, and investor benefits is essential.

Who Needs

Investment Mutual Funds for Financial Institutions: Banks and financial organizations managing pooled investments need to register mutual funds in compliance with the regulations.

Businesses that Provide Investment Management Services: A mutual fund license is required by companies that want to offer structured investment opportunities to the customers seeking to legally operate.

Asset Management Firms: Vast Investment Portfolio Management firms require mutual fund registration for regulatory approvals, while at the same time, such firms build investor confidence.

Wealth Management Companies: Mutual fund businesses must also register with the competent authority once they provide mutual fund schemes in their financial planning and wealth creation.

Creating Trust-Driven Relationships

JR Compliance is one of the known name for BIS certification, they are well versed with processes
and guide client properly.

Kartik Shah

Published on 4 March 2024

We have outsourced the entire BIS certification responsibility of our panels to JR compliance since 2017 and their service so far has been
exemplary.

K Narayanan

Published on 4 March 2024

We have been using JR Compliance services since last 3 years on various BIS related registration & testing of our various IT & electronic products. We really appreciate your full-fledged & excellent support in all respect in this matter.

P N Dhawanjewar

Published on 4 March 2024

FAQ

Services

How long does it take to register a mutual fund company?

A mutual fund company takes from somewhere 3 months to 6 months because of the document review and approval process to register.

What is the eligibility criteria for starting a mutual fund company?

SEBI has a full list of eligibility criteria, also listed on our website that can include financial capabilities and management expertise to register a mutual fund company.

Can foreign investors start a mutual fund in India?

Yes, foreign investors can start a mutual fund company in India but they have to comply to Indian regulatory laws and regulations set by SEBI.

What is the minimum capital required to start a mutual fund?

The minimum net worth can be different depending on the company and its profitability. Like a Mutual fund lite asset management company that has made profit 5 years in a row may need 25 to 35 crores. Sponsor type requires a net worth of 50 crores but can be increased to 100 crore if they have not made profit in the past. Where as a custodian may require 100 crores up front.

Do I need to be an expert to run a mutual fund company?

While not mandatory, having expert help in financial management is highly recommended for a successful business initiative.