Annual Report for Fixed Maturity Schemes - Tata Mutual Fund

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Current Year Previous Year Commission Paid to Associate Brokers / Related parties / Group companies of Sponsor / Asset Management Company Commission Paid to Associate Brokers / Related parties / Group companies of Sponsor / Asset Management Company ANNEXURE 3 ANNEXURE 3 Scheme Name of associate / related parties/group companies of sponsor/AMC Nature of Association/ Nature of relation Period Covered Value of transaction & % of total value of transaction of the fund Business given Rs. % of total business received by the fund Gross Brokerage Paid Rs. & % of total brokerage paid by the fund Tata Balanced Fund TML Financial Services Limited Group Company 2010-2011 500,941 0.07 21,420 0.14 Tata Securities Limited Group Company 2010-2011 1,386,585 0.18 173,330 1.15 Tata Capital Limited Group Company 2010-2011 8,601,971 1.13 78,633 0.52 Tata International Limited Group Company 2010-2011 - - 2,209 0.01 Tata Sons Limited Sponsor 2010-2011 - - 881 0.01 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 979,389 0.13 17,047 0.11 Tata Capital Builder Fund Tata Securities Limited Group Company 2010-2011 138,797 0.36 10,135 0.15 Tata Contra Fund Tata Securities Limited Group Company 2010-2011 - - 10,784 0.25 Tata Dividend Yield Fund Tata Equity Management Fund Tata Equity Opportunities Fund Tata Equity PE Fund Tata Securities Limited Group Company 2010-2011 676,722 0.08 47,756 0.35 Tata Capital Limited Group Company 2010-2011 5,545,668 0.63 46,877 0.35 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 427,410 0.05 4,289 0.03 Tata Securities Limited Group Company 2010-2011 - - 5,295 0.07 Tata Capital Limited Group Company 2010-2011 163,833 0.31 627 0.01 TML Financial Services Limited Group Company 2010-2011 1,664 - 198 - Tata Securities Limited Group Company 2010-2011 1,237,595 0.27 78,471 0.37 Tata Capital Limited Group Company 2010-2011 1,059,793 0.23 862 - The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 1,371,640 0.30 29,473 0.14 Tata Securities Limited Group Company 2010-2011 407,001 0.01 43,722 0.05 Tata Capital Limited Group Company 2010-2011 6,669,412 0.11 115,920 0.14 The Peerless General Finance & Investment Company Limited Group Company 2010-2011 30,818,017 0.52 410,859 0.50 Tata Floater Fund Tata Securities Limited Group Company 2010-2011 82,474,866,496 13.03 6,682,557 7.64 Tata Capital Limited Group Company 2010-2011 1,037,179,095 0.16 482,925 0.55 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 343,310 - 99 -
Current Year Commission Paid to Associate Brokers / Related parties / Group companies of Sponsor / Asset Management Company ANNEXURE 3 Tata Fixed Maturity Plan Series 26 Scheme C Tata Fixed Maturity Plan Series 27 Scheme A Tata Fixed Maturity Plan Series 27 Scheme B Tata Fixed Maturity Plan Series 29 Scheme A Tata Fixed Maturity Plan Series 29 Scheme B Tata Fixed Maturity Plan Series 29 Scheme C Tata Fixed Maturity Plan Series 30 Scheme A Tata Fixed Maturity Plan Series 28 Scheme A Tata Fixed Maturity Plan Series 28 Scheme B Tata Securities Limited Group Company 2010-2011 420,090,000 37.98 420,090 39.40 Tata Capital Limited Group Company 2010-2011 100,000 0.01 100 0.01 Tata Securities Limited Group Company 2010-2011 400,000,000 12.95 200,000 12.65 Tata Capital Limited Group Company 2010-2011 2,000,000 0.06 1,000 0.06 Tata Securities Limited Group Company 2010-2011 4,000,000 0.66 3,000 0.45 Tata Capital Limited Group Company 2010-2011 11,430,000 1.87 15,195 2.30 Tata Securities Limited Group Company 2010-2011 200,000,000 6.38 200,000 10.57 The Peerless General Finance & Investment Company Limited 2010-2011 49,900 - 50 - Associate Broker Tata Securities Limited Group Company 2010-2011 200,045,000 8.33 200,045 8.87 Tata Capital Limited Group Company 2010-2011 7,400,000 0.31 7,400 0.33 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 10,000 - 10 - Tata Securities Limited Group Company 2010-2011 2,800,000 0.06 2,800 0.05 Tata Capital Limited Group Company 2010-2011 800,000 0.02 1,200 0.02 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 30,000 - 30 - Tata Securities Limited Group Company 2010-2011 107,100,000 1.61 106,100 1.79 Amit Nalin Securities Private Limited Associate Broker 2010-2011 10,000,000 0.15 10,000 0.17 Tata Capital Limited Group Company 2010-2011 5,627,000 0.08 8,441 0.14 The Peerless General Finance & Investment Company Limited 2010-2011 Associate Broker 100,000 - 100 - Tata Securities Limited Group Company 2010-2011 902,098,000 20.42 20,635 14.69 Tata Capital Limited Group Company 2010-2011 590,000 0.01 20 0.01 Tata Securities Limited Group Company 2010-2011 36,940 - 1 - Tata Capital Limited Group Company 2010-2011 800,000 0.06 20 0.06 Tata Fixed Income Portfolio Fund Scheme A1 Tata Securities Limited Group Company 2010-2011 - - - - Tata Fixed Income Portfolio Fund Scheme A2 Tata Fixed Income Portfolio Fund Scheme A2 Tata Securities Limited Group Company 2010-2011 1,942,319,327 13.41 102,953 9.56 Tata Capital Limited Group Company 2010-2011 50,527,009 0.35 4,339 0.40 Tata Securities Limited Group Company 2010-2011 1,000,159,402 5.91 101,077 6.05 Tata Capital Limited Group Company 2010-2011 200,000,000 1.18 - -
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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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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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. Recognition, de-recognition and m
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16. No provision for income tax has
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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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14. 15. 16. 17. In accordance with
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13. Unclaimed redemption / dividend
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Broker The Investment Manager has a
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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
Page 593 and 594: SHRIRAM TRANS. FIN. CO. LTD. Tata L
Page 595 and 596: Tata Pure Equity Fund 269,332,156.6
Page 597 and 598: Tata Growth Fund 2,531,067.33 0.00
Page 599 and 600: Tata Fixed Income Portfolio Fund Sc
Page 605 and 606: Tata Fixed Maturity Plan Series 30
Page 637 and 638: Current Year Commission Paid to Ass
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Page 643: Current Year Tata Tax Saving Fund T
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Page 655: (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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