Drafting and maintenance of all secretarial registers and records i.e., agenda and minutes of the board as well as committee meeting.

Other Functions like Marketing / Investor Services/ Compliance documentation

Drafting and updating various departmental code e.g. Advertisement code/advising processes for ensuring the implementation

Checking the validity of legal documentation with regards to the corporate clients for e.g. whether proper board resolution has been passed by the company, execution of proper power of attorney etc., which identifies the eligibility or otherwise of the investors as such

Suggesting the standard documents and resolutions to be accepted by MFs

Checking the legal validity of security created in favor of the companies in case of secured debentures (in the case of secured debt investments)

To review the services of Registrars and custodians on the basis of reports submitted by them and audit by random checking

To perform Secretarial audit at regular interval.

To carry on orientation programmes for various departments.

To co-ordinate with distributors for proper legal compliance as mutual fund itself is responsible on behalf of distributors. To carry out inspection and audit of distributors and its various collection centers. As such in case of retail investors these is going to be a crucial chain. Any non-compliance, misrepresentation, or mistake leads to loss of confidence of investors. An empanelled Company Secretary can be authorized to carry out this audit

Drafting, updating and vetting the offer documents / Addendums / Compliance Manuals in view of the risk management guidelines

Preparing common offer documents/ KIMs

Checking the AMFI certification of all the participants of MFs

Confirming that all the reports are based on facts and are in compliance with the regulations

Periodic due diligence and compliance audit by MFs.

To prohibit and keep constant control in the adherence of the insider trading of the employees as laid by SEBI