MIRA INFORM REPORT

 

 

Report Date :

03.05.2012

 

IDENTIFICATION DETAILS

 

Name :

ASSOCIATION OF MUTUAL FUNDS IN INDIA

 

 

Registered Office :

One Indiabulls Centre, Tower 2, Wing B 701, 7th Floor, 841, S B Marg, Elphinstone Road, Mumbai 400013, Maharashtra 

 

 

Country :

India

 

 

Financials (as on) :

31.03.2011

 

 

Date of Incorporation :

22.08.1995

 

 

Com. Reg. No.:

11-092062

 

 

Capital Investment / Paid-up Capital :

Not Available

 

 

CIN No.:

[Company Identification No.]

U65991MH1995NPL092062

 

 

TAN No.:

[Tax Deduction & Collection Account No.]

MUMA16206B

 

 

PAN No.:

[Permanent Account No.]

AAACA5550A

 

 

Legal Form :

Association

 

 

Line of Business :

Non Profit Making Association for Mutual Funds.

 

 

No. of Employees :

Information declined by the management.

 

 

RATING & COMMENTS

 

MIRA’s Rating :

Ba

 

RATING

STATUS

PROPOSED CREDIT LINE

41-55

Ba

Overall operation is considered normal. Capable to meet normal commitments.

Satisfactory

 

Maximum Credit Limit :

USD 740000

 

 

Status :

Satisfactory

 

 

Payment Behaviour :

Usually Correct

 

 

Litigation :

Clear

 

 

Comments :

Subject is an association of mutual funds companies being established to regulate the operations of mutual fund industry in India. Trade relations are reported as fair. Payments are reported to be usually correct and as per commitments.

 

Initially, subject can be considered normal for business dealings at usual trade terms and conditions.

 

NOTES :

Any query related to this report can be made on e-mail : infodept@mirainform.com while quoting report number, name and date.

 

 

INFORMATION DECLINED BY

 

Name :

Mr. Santosh

Designation :

Office Executive

Contact No.:

91-22-24210093

Date :

02.05.2012

 

 

LOCATIONS

 

Registered Office :

One Indiabulls Centre, Tower 2, Wing B 701, 7th Floor, 841, S B Marg, Elphinstone Road, Mumbai 400013, Maharashtra, India

Tel. No.:

91-22-24210093 / 24210383 / 43346700

Fax No.:

91-22-43346712 / 43346722

E-Mail :

amfi@bom5.vsnl.net.in

sanjay@amfiindia.com

Website :

www.amfiindia.com

 

 

DIRECTORS

 

As on 28.09.2011

 

Name :

Mr. Milind Gajanan Barve

Designation :

Director

Date of Birth/Age :

14.11.1957

Date of Appointment :

03.06.2003

DIN No.:

00087839

 

 

Name :

Mr. Sundeep Sikka

Designation :

Director

Date of Appointment :

24.04.2009

DIN No.:

02553654

 

 

Name :

Mr. Naganath Sundaresan

Designation :

Director

Date of Appointment :

16.06.2006

DIN No.:

01005246

 

 

Name :

Mr. Sandesh Madhukar Kirkire

Designation :

Director

Date of Appointment :

23.08.2007

DIN No.:

01854543

 

 

Name :

Mr. Nimesh Vipinbabu Shah

Designation :

Director

Date of Appointment :

10.03.2008

DIN No.:

01709631

 

 

Name :

Mr. Balasubramanian Athmanathan

Designation :

Director

Date of Birth/Age :

05.06.1966

Date of Appointment :

05.11.2009

DIN No.:

02928193

 

 

Name :

Mr. Saurabh Manoj Nanavati

Designation :

Director

Date of Appointment :

23.09.2010

DIN No.:

02473929

 

 

Name :

Mr. Rajiv Anand

Designation :

Director

Date of Appointment :

23.09.2010

DIN No.:

02541753

 

 

Name :

Mr. Sandeep Dasgupta

Designation :

Director

Date of Appointment :

23.09.2010

DIN No.:

03290510

 

 

Name :

Ms. Ashu Suyash

Designation :

Director

Date of Appointment :

03.02.2011

DIN No.:

00494515

 

 

Name :

Mr. Christopher David Spelman

Designation :

Director

Date of Appointment :

26.04.2011

DIN No.:

02822108

 

 

Name :

Mr. Navin Suri

Designation :

Director appointed in casual vacancy

Date of Appointment :

10.06.2011

DIN No.:

02659250

 

 

Name :

Mr. Harshendu Damodar Bindal

Designation :

Director

Date of Appointment :

28.09.2011

DIN No.:

05101238

 

 

Name :

Mr. Suresh Chhitar Mal Soni

Designation :

Director

Date of Appointment :

28.09.2011

DIN No.:

02265993

 

 

KEY EXECUTIVES

 

Name :

Mr. Santosh

Designation :

Office Executive

 

 

Name :

Mr. Chandrakant Govind Parekh

Designation :

Manager

Date of Appointment :

18.04.1999

PAN No.:

AGJPP6154H

 

 

Name :

Mr. H N Shor

Designation :

Chief Executive

 

 

Name :

Mr. V. Ramesh

Designation :

Deputy Chief Executive

 

 

COMMITTEE ON VALUATION :

Mr. Sandesh Kirkire, Chairman

Mr. A. Balasubramanian, Member

Mr. Rajiv Anand,N, Member

Mr. Anil Bamboli, Member

Mr. Dhawal Dalal, Member

Mr. Amitabh Mohanty, Member

Mr. Santosh Kamath, Member

Mr. Amandeep Chopra, Member

Mr. Sanjay Gaitonde, Member

 

 

COMMITTEE ON BEST PRACTICES :

Mr. Milind Barve, Chairman

Mr. Sundaresan Naganath, Member

Mr. Sandesh Kirkire, Member

Mr. A. Balasubramanian, Member

Mr. Rajiv Anand, Member

Ms. Ashu Suyash, Member

Mr. Harshendu Bindal, Member

 

 

COMMITTEE ON OPERATIONS AND COMPLIANCE :

Mr. Saurabh Nanavati, Chairman

Mr. John Mathews, Member

Mr. Hemang Bakshi, Member

Mr. Sandeep Prabhani, Member

Mr. Ashok Suvarna, Member

Mr. Ramamoorthy Rajagopal, Member

Mr. Krishnan Ramchandran, Member

Mr. Bhalchandra Joshi, Member

Mr. S. L. Pandian, Member

Ms. Hemanti Wadhwa, Member

Mr. Neerav Kaushik, Member

Mr. N Chandrasekharan, Member

Mr. Venkatesh Iyer, Member

 

 

COMMITTEE ON REGISTRATION OF AMFI CERTIFIED DISTRIBUTORS :

Mr. Harshendu Bindal, Chairman

Mr. Yezdi Khariwala, Member

Mr. Anthony Heredia, Member

Mr. Sanjay Sapre, Member

Mr. Debasish Mohanty, Member

Mr. Himanshu Vyapak, Member

Mr. R. Chandrasekaran, Member

Ms. Pranita Gramopadhye, Member

 

 

COMMITTEE IN INVESTOR AWARENESS PROGRAM :

Mr. Sundeep Sikka, Chairman

Mr. R S Srinivas Jain, Member

Mr. Suraj Kaeley, Member

Mr. Kailash Kulkarni, Member

Mr. Bhareth Ghia, Member

Mr. Navin Tewari, Member

 

 

COMMITTEE ON CUSTOMER ENGAGEMENT :

Ms. Ashu Suyash, Chairperson

Mr. Harshednu Bindal, Member

Mr. Vikass Sachdeva, Member

Mr. Jimmy Patel, Member

Ms. Molly Kapoor, Member

Mr. Praveen Bhatt, Member

Mr. C A Santosh, Member

 

 

BUSINESS DETAILS

 

Line of Business :

Non Profit Making Association for Mutual Funds

 

 

Publications:

·         Making Mutual Funds Work for You-Investor’s Concise Guide

·         AMFI Guidelines and Norms for Intermediaries (AGNI)

·         AMFI Code of Ethics (ACE)

 

 

GENERAL INFORMATION

 

No. of Employees :

Information declined by the management.

 

 

Bankers :

Not Available

 

 

 

Banking Relations :

--

 

 

Auditors :

 

Name :

Haribhakti and Company

Chartered Accountants

Address :

701, Leela Business Park, Andheri Kurla Road, Andheri (East), Mumbai – 400059, Maharashtra, India

Tel. No.:

91-22-66729999

Fax No.:

91-22-66729777

Website:

www.bdoindia.co.in

PAN.:

AAAFH2010F

 

 

 

FINANCIAL DATA

[all figures are in Rupees Millions]

 

ABRIDGED BALANCE SHEET

 

SOURCES OF FUNDS

 

31.03.2011

31.03.2010

31.03.2009

SHAREHOLDERS FUNDS

 

 

 

1] Entrance Fees

11.800

9.300

7.300

2] Share Application Money

0.000

0.000

0.000

3] Accumulated Surplus

159.825

143.477

131.554

4] General Reserve

12.569

12.069

11.569

NETWORTH

184.194

164.846

150.423

LOAN FUNDS

 

 

 

1] Secured Loans

0.000

0.000

0.000

2] Unsecured Loans

0.000

0.000

0.000

TOTAL BORROWING

0.000

0.000

0.000

DEFERRED TAX LIABILITIES

0.000

0.000

0.000

 

 

 

 

TOTAL

184.194

164.846

150.423

 

 

 

 

APPLICATION OF FUNDS

 

 

 

 

 

 

 

FIXED ASSETS [Net Block]

6.969

1.454

1.571

Capital work-in-progress

0.000

0.000

0.000

 

 

 

 

INVESTMENT

177.862

89.128

112.854

DEFERREX TAX ASSETS

0.000

0.000

0.000

 

 

 

 

CURRENT ASSETS, LOANS & ADVANCES

 

 

 

 

Inventories of Publications

0.000
0.504

0.440

 

Sundry Debtors

0.000

0.000

0.000

 

Cash & Bank Balances

62.662
68.231

28.368

 

Other Current Assets

1.426
2.626

5.230

 

Loans & Advances

19.877
14.844

12.034

Total Current Assets

83.965
86.205

46.072

Less : CURRENT LIABILITIES & PROVISIONS

 
 

 

 

Sundry Creditors

0.000

0.000

0.000

 

Other Current Liabilities

83.783
11.035

10.074

 

Provisions

0.819
0.906

0.000

Total Current Liabilities

84.602
11.941

10.074

Net Current Assets

(0.637)
74.264

35.998

 

 

 

 

MISCELLANEOUS EXPENSES

0.000

0.000

0.000

 

 

 

 

TOTAL

184.194

164.846

150.423

 

 

 

 

INCOME & EXPENDITURE ACCOUNT

 

PARTICULARS

31.03.2011

31.03.2010

31.03.2009

 

 

 

 

INCOME

 

 

 

Members Subscription Fees

21.650

13.950

14.600

Registration Fees for Certified Agents

34.904

14.991

17.477

Certification Test Fees

3.429

19.334

35.591

Sale of Publications

0.638

2.297

4.065

Profit on Maturity of Investments

0.000

0.000

0.023

Other Income

13.700

11.655

11.750

TOTAL

74.321

62.227

83.506

 

 

 

 

EXPENDITURE

 

 

 

Payments to and Provision for employees

16.419

9.815

8.119

Investor Awareness Programme Expenses

10.369

22.164

28.592

Administrative expenses

30.004

17.594

10.695

Loss on Sale of Fixed Assets

0.000

0.000

0.005

Loss on Maturity of Investments

0.000

0.000

0.012

Depreciation

0.442

0.231

0.231

TOTAL

57.234

49.804

47.654

 

 

 

 

Excess of Income over expenditure available for Appropriation

17.087

12.423

35.852

 

 

 

 

LESS APPROPRIATIONS

 

 

 

Interest on Investments from Ad-Campaign advanced transferred to advance

0.239

0.000

0.000

Transfer to General Reserve

0.500

0.500

2.000

 

 

 

 

BALANCE TRANSFER TO ACCUMULATED SURPLUS

16.348

11.923

33.852

 

 

KEY RATIOS

 

PARTICULARS

 

 

31.03.2011

31.03.2010

31.03.2009

Debt Equity Ratio

(Total Liability/Networth)

 

0.46
5.77

0.01

 

 

 
 

 

Current Ratio

(Current Asset/Current Liability)

 

0.99
7.21

4.57

 

 

LOCAL AGENCY FURTHER INFORMATION

 

Check List by Info Agents

Available in Report (Yes / No)

1) Year of Establishment

Yes

2) Locality of the firm

Yes

3) Constitutions of the firm

Yes

4) Premises details

No

5) Type of Business

Yes

6) Line of Business

Yes

7) Promoter’s background

No

8) No. of employees

No

9) Name of person contacted

Yes

10) Designation of contact person

Yes

11) Turnover of firm for last three years

Yes

12) Profitability for last three years

Yes

13) Reasons for variation <> 20%

--

14) Estimation for coming financial year

No

15) Capital in the business

No

16) Details of sister concerns

No

17) Major suppliers

No

18) Major customers

No

19) Payments terms

No

20) Export / Import details (if applicable)

No

21) Market information

--

22) Litigations that the firm / promoter

--

23) Banking Details

No

24) Banking facility details

No

25) Conduct of the banking account

--

26) Buyer visit details

--

27) Financials, if provided

Yes

28) Incorporation details, if applicable

Yes

29) Last accounts filed at ROC

Yes

30) Major Shareholders, if available

No

 

DETAILS OF SUNDRY CREDITORS

(Rs. in millions)

PARTICULARS

31.03.2011

31.03.2010

31.03.2009

Sundry Creditors

0.000

0.000

0.000

 

 

 

 

 

NOTE:

Registered office of the company has been shifted from 706-708, Balarama Bandra Kural Complex, Bandra (East), Mumbai 400051, Maharashtra, India to the present address w.e.f. 18.10.2010.

 

 

FIXED ASSETS:

 

·         Computer

·         Office Equipments

·         Motor Car

·         Furniture

 

 

WEBSITE DETAILS:

 

Press Releases:

 

INVESTORS CAN NOW MAKE PROPER EVALUATION OF PERFORMANCE OF DEBT AND BALANCED FUND SCHEMES EIGHT NEW INDICES LAUNCHED BY G.N.BAJPAI, CHAIRMAN, SEBI

 

Shri G. N. Bajpai, Chairman, SEBI today launched 8 new market indices as benchmarks for evaluating the performance of debt and balanced fund schemes of mutual funds. These indices are specially designed and constructed by Crisil.com and ICICI Securities in consultation with AMFI.

 

 

An Important Initiative of SEBI and AMFI

 

The need for benchmarking the performance of mutual fund schemes

 

The new Indices

 

Mutual Funds to use the market Indices while presenting performance evaluation reports

 

 

A Important Initiative of SEBI and AMFI

 

Shri Bajpai mentioned that this is a major and unique initiative taken by SEBI alongwith AMFI to provide a scientific tool for investors, distributors and analysts for evaluating the performance of different types of mutual fund schemes. He mentioned that internationally only very few countries have mandated the use of market indices for benchmarking the performance of mutual fund schemes. In this respect, both the Regulator and the mutual fund industry as represented by AMFI could feel happy to have taken this initiative in the best interest of investors.

 

The need for benchmarking the performance of mutual fund schemes

 

In his welcome address Shri A. P. Kurian, Chairman, AMFI mentioned that for understanding and evaluating the performance of mutual fund schemes, they need to be compared with appropriate market indices that would broadly represent the underlying investment instruments. He complimented SEBI for mandating the use of appropriate indices while presenting performance reports. Currently equity indices are used to benchmark the performance of equity-oriented schemes. However, there are no such appropriate market indices to benchmark the performance of different types of debt schemes such as liquid, income and monthly income and balanced fund schemes. AMFI therefore took the initiative of developing new indices jointly with Crisil.com and ICICI Securities. An AMFI committee headed by Shri Shailendra Bhandari of Prudential ICICI worked along with Crisil.com and ICICI Securities and evolved the principles and methodology for constructing the new indices. The launching of new indices as a result of the joint efforts of AMFI, Crisil.com and ICICI Securities according to Shri Kurian is a unique event in the market and he hoped that distribution houses, agents, financial consultants and banks engaged in the marketing of mutual fund schemes and the investors would increasingly use these market indices to evaluate the performance of mutual fund schemes.

 

The new Indices

 

Following are the 8 new market indices:

 

Sr. No.

Name of the New Index

Designed and Constructed by

For benchmarking the performance of

1.

Liquid fund Index [Liquifex]

Crisil.com

Liquid funds

2.

Composite bond fund index [Compbex]

Crisil.com

Income/Bond Funds

3.

Balanced Fund Index [Balance EX]

Crisil.com

Balanced Funds

4.

MIP Index [MIPEX]

Crisil.com

Monthly Income Plan Schemes

5.

Short maturity gilt index [Si-BEX]

ICICI Securities

Gilt Schemes of short maturity

6.

Medium Maturity gilt index [Mi-BEX]

ICICI Securities

Gilt schemes of medium maturity

7.

Long maturity gilt index [Li-BEX]

ICICI Securities

Gilt schemes of long maturity

8.

Composite gilt index

ICICI Securities

Composite gilt schemes

 

Shri Ravi Mohan, Managing Director, Crisil, felt that the scientifically designed indices would greatly enhance the value of performance evaluation of mutual fund schemes a subject in which Crisil.com, a leading fund ranking firm, has been doing intense research and study. He welcomed the opportunity Crisil.com got to construct the new indices. Shri Devdatt Shah, Managing Director and CEO, ICICI Securities mentioned that ICICI Securities, a major participant in the Government securities market, has already pioneered the construction of sovereign bond index (IBEX) and now they are happy to collaborate with AMFI in developing segment specific gilt indices to suit the needs of mutual fund schemes. Shri Mukarram Bhagat, Chief Executive Officer, Crisil.com and Shri Devdatt Shah, Managing Director and CEO, ICICI Securities made presentations on the design of the new indices. They explained the underlying principles, the weightage assigned to each constituent of the indices, source of data, methodology etc.

 

Mutual funds to use the market indices while presenting performance evaluation reports

 

As per SEBI guidelines mutual funds are required to disclose the performance of schemes during the last six months, 1year, 3 years, 5 years and since the date of launch of the schemes while publishing their half yearly results. Mutual funds have now to disclose also the performance of the appropriate market indices alongwith the performance of schemes both in the offer document and in the half yearly results. Further, the Trustees are required to review the performance of the schemes on periodical basis with reference to the market indices. Shri Kurian mentioned that AMFI registered Mutual fund advisors should make use of these significant and very useful indices for properly comparing and evaluating the performance of different fund schemes and thus help the investors and others to keep a track on the performance and also to make proper investment decision.

 


CMT REPORT (Corruption, Money Laundering & Terrorism]

 

The Public Notice information has been collected from various sources including but not limited to: The Courts, India Prisons Service, Interpol, etc.

 

1]         INFORMATION ON DESIGNATED PARTY

No exist designating subject or any of its beneficial owners, controlling shareholders or senior officers as terrorist or terrorist organization or whom notice had been received that all financial transactions involving their assets have been blocked or convicted, found guilty or against whom a judgement or order had been entered in a proceedings for violating money-laundering, anti-corruption or bribery or international economic or anti-terrorism sanction laws or whose assets were seized, blocked, frozen or ordered forfeited for violation of money laundering or international anti-terrorism laws.

 

2]         Court Declaration :

No records exist to suggest that subject is or was the subject of any formal or informal allegations, prosecutions or other official proceeding for making any prohibited payments or other improper payments to government officials for engaging in prohibited transactions or with designated parties.

 

3]         Asset Declaration :

No records exist to suggest that the property or assets of the subject are derived from criminal conduct or a prohibited transaction.

 

4]         Record on Financial Crime :

            Charges or conviction registered against subject:                                                  None

 

5]         Records on Violation of Anti-Corruption Laws :

            Charges or investigation registered against subject:                                                          None

 

6]         Records on Int’l Anti-Money Laundering Laws/Standards :

            Charges or investigation registered against subject:                                                          None

 

7]         Criminal Records

No available information exist that suggest that subject or any of its principals have been formally charged or convicted by a competent governmental authority for any financial crime or under any formal investigation by a competent government authority for any violation of anti-corruption laws or international anti-money laundering laws or standard.

 

8]         Affiliation with Government :

No record exists to suggest that any director or indirect owners, controlling shareholders, director, officer or employee of the company is a government official or a family member or close business associate of a Government official.

 

9]         Compensation Package :

Our market survey revealed that the amount of compensation sought by the subject is fair and reasonable and comparable to compensation paid to others for similar services.

 

10]        Press Report :

            No press reports / filings exists on the subject.

 


 

CORPORATE GOVERNANCE

 

MIRA INFORM as part of its Due Diligence do provide comments on Corporate Governance to identify management and governance. These factors often have been predictive and in some cases have created vulnerabilities to credit deterioration.

 

Our Governance Assessment focuses principally on the interactions between a company’s management, its Board of Directors, Shareholders and other financial stakeholders.

 

 

CONTRAVENTION

 

Subject is not known to have contravened any existing local laws, regulations or policies that prohibit, restrict or otherwise affect the terms and conditions that could be included in the agreement with the subject.

 

 

FOREIGN EXCHANGE RATES

 

Currency

Unit

Indian Rupees

US Dollar

1

Rs.52.93

UK Pound

1

Rs.85.85

Euro

1

Rs.69.94

 

 

INFORMATION DETAILS

 

Information Gathered by :

JML

 

 

Report Prepared by :

CTI

 


 

RATING EXPLANATIONS

 

 

RATING

STATUS

 

 

PROPOSED CREDIT LINE

>86

Aaa

Possesses an extremely sound financial base with the strongest capability for timely payment of interest and principal sums

 

Unlimited

71-85

Aa

Possesses adequate working capital. No caution needed for credit transaction. It has above average (strong) capability for payment of interest and principal sums

 

Large

56-70

A

Financial & operational base are regarded healthy. General unfavourable factors will not cause fatal effect. Satisfactory capability for payment of interest and principal sums

 

Fairly Large

41-55

Ba

Overall operation is considered normal. Capable to meet normal commitments.

 

Satisfactory

26-40

B

Capability to overcome financial difficulties seems comparatively below average.

 

Small

11-25

Ca

Adverse factors are apparent. Repayment of interest and principal sums in default or expected to be in default upon maturity

 

Limited with full security

<10

C

Absolute credit risk exists. Caution needed to be exercised

 

 

Credit not recommended

-

NB

                                       New Business

-

 

 

 

PRIVATE & CONFIDENTIAL : This information is provided to you at your request, you having employed MIPL for such purpose. You will use the information as aid only in determining the propriety of giving credit and generally as an aid to your business and for no other purpose. You will hold the information in strict confidence, and shall not reveal it or make it known to the subject persons, firms or corporations or to any other. MIPL does not warrant the correctness of the information as you hold it free of any liability whatsoever. You will be liable to and indemnify MIPL for any loss, damage or expense, occasioned by your breach or non observance of any one, or more of these conditions

This report is issued at your request without any risk and responsibility on the part of MIRA INFORM PRIVATE LIMITED (MIPL) or its officials.