Annual Report for Fixed Maturity Schemes - Tata Mutual Fund

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C. Notes attached to and forming part of the financial statements for the year ended 31st March, 2012. 1. The aggregate value of purchases and sales ( including redemptions ) of investments for the year ended 31st March, 2012 expressed as a percentage of average daily net assets is as under : Particulars Year Ended Year Ended 31-Mar-12 31-Mar-11 Value* Value* % Rs. Rs. % Aggregate value of Purchases 6,155,913,341 533.69 1,220,088,828 550.24 Aggregate value of Sales (including redemptions ) 6,326,514,599 548.48 9,981,078 4.50 * The amounts do not include CBLO and Reverse Repo transactions. 2. Investments made by the schemes of Tata Mutual Fund in companies or their subsidiaries (to the extent of information available) that have invested more than 5% of the net assets of any scheme of the fund, in terms of Regulation 25 (11) (Refer Annexure 1). 3. Statement of Portfolio with industry wise classification as at 31 st March, 2012 (Refer Annexure 2). 4. 5. Amount receivable from the Investment Manager Rs.65,451/- (previous year Rs.212,342/-) is included under “Other receivables” in “Other Current Assets”. In accordance with the SEBI Regulations, Management Fees and Trusteeship Fees are paid as per the table below : Management Fees Current Year Previous Year Dates % of Daily Net % of Daily Dates Asset Net Asset From To From To 1-Apr-11 3-Apr-11 0.0800 1-Apr-10 4-May-10 0.0500 4-Apr-11 12-Sep-11 0.0400 5-May-10 8-Dec-10 0.1200 13-Sep-11 31-Mar-12 0.0700 9-Dec-10 31-Mar-11 0.0800 Trusteeship Fees Current Year Previous Year Dates % of Daily Net % of Daily Dates Asset Net Asset From To From To 1-Apr-11 12-Sep-11 0.0500 1-Apr-10 14-Jun-10 0.0010 13-Sep-11 31-Mar-12 0.0100 15-Jun-10 8-Dec-10 0.0200 9-Dec-10 31-Mar-11 0.0500 6. Contingent liabilities as at 31 st March, 2012 are Rs.Nil (previous year Rs. Nil). 7. 8. i. ii. There are no unit holders holding over 25% of the Net Asset Value of the Scheme as at 31st March,2012 (previous year 1 unit holder held 32.38% of the Net Asset Value). Transactions with Trustees, Investment Manager, their associates and with entities controlled by co-sponsors (in relation to services received by the Scheme). As explained above, TSL and TICL are the co-sponsors of the Mutual Fund. The nature of transactions with the Trustees, the Investment Manager, their associates and entities controlled by co-sponsors has been provided hereinafter. For the purpose of making these disclosures, the meanings ascribed to the terms “associates” and “control” by Regulation 2(c) and 2(g) of the SEBI Regulations have been used which have been summarised below: Associates and entities that exercise control over or are controlled by the Trustee Company and the Investment Manager or whose director, officer or employee is a director, officer or employee of the Investment Manager; Control means the ability to exercise not less than 10% of the voting power of an entity or the ability of the board of directors of an entity to exercise control over the Investment Manager.
Investment Manager The Board of Directors of the Trustee Company has appointed Tata Asset Management Limited as the Investment Manager for the Mutual Fund pursuant to an agreement dated 9 th May 1995. The Investment Manager also provides certain secretarial and administrative services to the Mutual Fund. Under the terms of the arrangement, the Scheme pays the Investment Manager a fee not greater than as defined in the Offer Document as a % of the net assets value attributable to the unit holders on each day. The Investment Manager is a subsidiary of TSL. Broker The Investment Manager has appointed various brokers for carrying out investment trades on behalf of the Scheme for a brokerage. Entities that have been paid such brokerage include Tata Securities Limited (“TSec”), over which TSL exercises control. Transactions during the year in relation to services received by the Scheme from the co-sponsors or from entities over which they exercise control and other disclosures required under Regulation 25(8) of the SEBI regulations are contained in Annexure 3. 9. Disclosure under Regulation 25(8) of the SEBI (MF) Regulations 1996 have been made in the table below in respect of other payments made to parties associated with sponsors in which the Investment Manager or its major shareholders have a substantial interest. Name of the Company Nature of Payment Year Ended 31-Mar-12 Rs. Year Ended 31-Mar-11 Rs. % equity capital held by the sponsors and its subsidiary / associates as at 31 st March, 2012. Tata Asset Management Management Fees 631,829 177,452 Limited Tata Trustee Company Trusteeship Fees 328,202 110,778 Limited * Tata Sons Limited – 67.90% and Tata Investment Corporation Limited – 32.10% ** Tata Sons Limited – 50.00% and Tata Investment Corporation Limited – 50.00% 100%* 100%** 10. Net Asset Value Per Unit (Rs.) : Particulars Face Value Rs. Net Asset Value Rs. As at 31-Mar-12 As at 31-Mar-11 10 MONTHLY 10.0933 10.0933 DIVIDEND Retail Investment Plan HALF YEARLY 10.0757 10.0664 DIVIDEND GROWTH 12.7819 11.6709 MONTHLY 10.0058 10.0056 DIVIDEND Institutional Investment Plan HALF YEARLY 10.0702 10.0609 DIVIDEND GROWTH 10.8701 0.0000 11. Investments made in group / associate companies (Refer Annexure 4). 12. Aggregate Fair Value of Non-Traded debt securities (excluding CBLO and Reverse Repo) : Particulars As at 31-Mar-12 As at 31-Mar-11 Rs. Rs. Investments 1,048,315,759 1,229,277,906
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annual report 2011 - 2012 • TATA
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REPORT OF THE TRUSTEE TO THE UNITHO
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Act, 1882 and is duly registered un
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* On 31st December 2008, the units
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Sr No Scheme / Plan Name Date of al
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Redressal of Complaints received ag
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Name of the Company / Issuer Date o
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AUDITORS’ REPORT TO THE BOARD OF
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Balance Sheet of Tata Fixed Income
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Tata Fixed Income Portfolio Fund -
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Revenue Account of Tata Fixed Incom
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Tata Fixed Income Portfolio Fund Sc
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Revenue Account of Tata Fixed Matur
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Tata Fixed Maturity Plan - Series 3
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INCOME Revenue Account of Tata Fixe
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INCOME Revenue Account of Tata Fixe
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Page 359 and 360: Tata Fixed Maturity Plan - Series 3
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Schedules forming part of the Accou
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C. Notes attached to and forming pa
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13. 14. Unclaimed redemption / divi
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. Recognition, de-recognition and m
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16. No provision for income tax has
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Subsequent to initial recognition,
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8. i. ii. Transactions with Trustee
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11. Aggregate Fair Value of Non-Tra
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i. ii. Associates and entities that
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1.4 B) Expenses: Expenses directly
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ii. Control means the ability to ex
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14. 15. 16. In accordance with Regu
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16. No provision for income tax has
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c. Fair value estimation Debt secur
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13. Unclaimed redemption / dividend
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Broker The Investment Manager has a
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Investment Manager The Board of Dir
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15. There are no unit holders holdi
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13. 14. 15. 16. 17. Unclaimed redem
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13. Unclaimed redemption / dividend
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Tata Growth Fund 7,164,724.63 55,55
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Tata Liquid Fund Tata Dividend Yiel
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Tata Tax Saving Fund 24,056,882.98
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Tata Fixed Maturity Plan -Series 33
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Tata Sip Fund Scheme-2 11,993,157.0
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SHRIRAM TRANS. FIN. CO. LTD. Tata L
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Tata Pure Equity Fund 269,332,156.6
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Tata Growth Fund 2,531,067.33 0.00
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Tata Fixed Maturity Plan Series 30
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Current Year Commission Paid to Ass
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Commission Paid to Associate Broker
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Current Year Tata Tax Saving Fund T
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Current Year Tata Gilt Securities F
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Current Year Tata Tax Advantage Fun
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Brokerage Paid to Associate Brokers
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Brokerage Paid to Associate Brokers
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(Annexure 5) In term of SEBI Cir/IM
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Annual Report for Fixed Maturity Schemes - Tata Mutual Fund

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