Annual Report for Fixed Maturity Schemes - Tata Mutual Fund

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8. i. ii. 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 9th 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 Tata Asset Management Limited Period Ended 31-Mar-12 Rs. Management Fees 62,340 Trusteeship Fees 20,780 Tata Trustee Company 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% 10. Investments made in group / associate companies (Refer Annexure 4). 11. Aggregate Fair Value of Non-Traded debt securities (excluding CBLO and Reverse Repo) : Nature of Investment As at 31-Mar-12 Rs. Investments 736,663,993 12. Unprovided diminution and unrealised appreciation in the value of investments. Particulars As at 31-Mar-12 Rs. Unrealised appreciation 15,433,241 Unprovided diminution Nil Nature of Payment % equity capital held by the sponsors and its subsidiary / associates as at 31 st March, 2012. 100%* 100%** 13. Unclaimed redemption / dividend amount, since the inception of the scheme has been invested separately, only in money market instruments and the investors who have claimed their dividend amount have been paid alongwith the appreciation earned on this amount as per SEBI circular MFD / CIR/9/120/2000 dated 24th November, 2000. As at 31st March,2012 the unclaimed redemption/dividend amount is Rs.Nil for Nil investors.
14. 15. 16. 17. In accordance with Regulation 44 (1) of the SEBI (Mutual Funds) Regulations, 1996, securities purchased should be held in the name of the Scheme. Investments in Government Securities and Treasury Bills are held in the name of “Tata Mutual Fund”. There are no unit holders holding above 25% of the Net Asset Value of the Scheme as at 31st March,2012. No provision for income tax has been made since the income of the schemes is exempt u/s 10(23D) of the Income Tax Act 1961. The scheme was launched on 5th December, 2011 and hence there are no comparative figures. On behalf of the Board of Directors of Tata Trustee Company Limited Director Tata Asset Management Limited Authorised Signatory Fund Manager
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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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Investments purchased are initially
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1.6 Load Charges: Load represents a
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8. Transactions with Trustees, Inve
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Schedules forming part of the Accou
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Non-Traded / thinly traded debt sec
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C. Notes attached to and forming pa
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11. Investments made in group / ass
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Government Securities and Treasury
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13 Utilisation of Load charges i. D
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Investments are derecognised when t
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10. Net Asset Value Per Unit (Rs.)
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Non - traded/ thinly traded debt se
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10. Net Asset Value Per Unit (Rs.)
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Investment Manager The Board of Dir
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13 Utilisation of Load charges i. D
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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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Subsequent to initial recognition,
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13. 14. Unclaimed redemption / divi
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Investments purchased are initially
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12. Unprovided diminution and unrea
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Investments are derecognised when t
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13. 14. 15. 16. 17. Unclaimed redem
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. Recognition, de-recognition and m
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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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