Regulation Reg 1 — Short title and commencement Reg 2 — Definitions Reg 3 — Obligation to seek registration Reg 4 — Eligibility Conditions Reg 5 — Legal form of the applicant Reg 6 — Track Record and Reputation of Fairness Reg 7 — Appointment of Principal Officers and other Key managerial personnel(s) (KMP) Reg 8 — Net worth requirements Reg 9 — Fit and proper requirements Reg 10 — Infrastructure Requirements Reg 11 — Furnishing of Information Reg 12 — Consideration of application and Grant of Certificate of Registration Reg 13 — Terms and conditions of registration Reg 14 — Rejection of application Reg 15 — Period of validity Reg 16 — Surrender of registration Reg 17 — Constitution of the Fund / Scheme Reg 18 — Venture Capital Schemes Reg 19 — Filing of Placement Memorandum Reg 20 — Eligible Investors Reg 21 — Nature and structure of Scheme Reg 22 — Permissible investments Reg 23 — Restrictions on Investment and Corpus of the Scheme Reg 24 — Disclosures to investors Reg 25 — Borrowing Reg 26 — Valuation Reg 27 — Computation of NAV Reg 28 — Contribution by the FME in the scheme Reg 29 — Co-investment and Leverage Reg 30 — Restricted Schemes (Non-Retail Schemes) Reg 31 — Eligible FMEs and Filing of Placement Memorandum Reg 32 — Eligible Investors Reg 33 — Nature and Structure of Scheme Reg 34 — Permissible investments Reg 35 — Restrictions on Investment and Corpus of the Scheme Reg 36 — Disclosures to investors Reg 37 — Borrowing Reg 38 — Valuation Reg 39 — Computation of NAV Reg 40 — Contribution by the FME in the scheme Reg 41 — Co-investment and Leverage Reg 42 — Retail Schemes Reg 43 — Eligible FMEs and Filing of Offer Document Reg 44 — Minimum number of Investors Reg 45 — Nature and Structure of Scheme Reg 46 — Permissible investments Reg 47 — Restrictions on Investment and AUM of the Scheme Reg 48 — Disclosures to Investors Reg 49 — Borrowing Reg 50 — Valuation Reg 51 — Computation of NAV Reg 52 — Contribution by the FME in the scheme Reg 53 — Reg 54 — Definitions Reg 55 — Eligible FMEs and Filing of Placement Memorandum Reg 56 — Nature and Structure of Scheme Reg 57 — Permissible Investments Reg 58 — Scheme corpus, eligible investors, investment conditions Reg 59 — Borrowing Reg 60 — Other requirements Reg 61 — Exchange Traded Funds Reg 62 — Equity Index based ETF Reg 63 — Debt Index based ETF Reg 64 — Commodity based ETFs Reg 65 — Gold ETF Reg 66 — Silver ETF Reg 67 — Actively Managed ETFs Reg 68 — Market Makers Reg 69 — Computation of NAV Reg 70 — Redemption of ETFs to Investors Reg 71 — Disclosures to investors Reg 72 — Reg 73 — Eligible FME and Clients Reg 74 — Disclosures Reg 75 — Portfolio Management Agreement. Reg 76 — Report to the Client Reg 77 — Dealing with Client Funds Reg 78 — Investment Restrictions Reg 79 — General Obligations Reg 80 — Advisory Services Reg 81 — Multi-Family Office Reg 82 — Investment Trust in IFSCs Reg 83 — Definitions Reg 84 — Registration Reg 85 — Trust Reg 86 — Sponsor Reg 87 — Investment Manager Reg 88 — Trustee Reg 89 — Adherence to the Fit and Proper criteria and other responsibilities Reg 90 — Currency Reg 91 — Offer of units of Investment Trust Reg 92 — Private Placement with listing Reg 93 — Private Placement without listing Reg 94 — Public Issues Reg 95 — Offer Document or Placement Memorandum Reg 96 — Continuous obligations and Disclosure Requirements Reg 97 — Investment Conditions Reg 98 — Additional conditions in case of InvIT Reg 99 — Additional conditions in case of REIT Reg 100 — Distribution policy Reg 101 — Borrowings and deferred payments Reg 102 — Valuation of assets Reg 103 — Surrender of certificate by an Investment Trust whose units are not listed Reg 104 — Eligibility Conditions Reg 105 — Permissible Activities Reg 106 — Permissible investments Reg 107 — Borrowing Reg 108 — Listing of open-ended schemes Reg 109 — Listing of close ended scheme Reg 110 — Listing of ETFs Reg 111 — Listing of Investment Trust Reg 112 — Approval by Recognised Stock Exchange for Listing Reg 113 — Disclosures Reg 114 — Secondary Listing of an ETF or Investment Trust listed in India or Foreign Jurisdiction Reg 115 — Suspension of Listing and Trading Reg 116 — Delisting by Recognised Stock Exchange Reg 117 — Voluntary Delisting Reg 118 — Code of Conduct Reg 119 — Maintenance of books of account, records and other documents Reg 120 — Information to the Authority Reg 121 — Business Continuity Plan Reg 122 — Cyber Security and Cyber Resilience Reg 123 — Risk Management and Internal Controls Reg 124 — Guaranteed returns Reg 125 — Change in control Reg 126 — Payment of Fees Reg 127 — Advertisements Reg 128 — Fees and Expenses of the Schemes. Reg 129 — Appointment of Investment Committee Reg 130 — Merger, demerger or restructuring of schemes Reg 131 — Winding up of the Scheme Reg 132 — Appointment of Custodian Reg 133 — Redemption of Close ended scheme Reg 134 — Scheme Annual Report Reg 135 — Auditor’s report Reg 136 — Other disclosures to the investors Reg 137 — Restrictions on business activities of the FME Reg 138 — Inspection Reg 139 — Obligations of FME on inspection Reg 140 — Appointment of auditor or valuer Reg 141 — Submission of report Reg 142 — Action by the Authority upon inspection. Reg 143 — Suspension, cancellation of registration or any other actions Reg 144 — Power to relax strict enforcement of the regulations Reg 145 — Regulatory or Innovation Sandbox and Fund Lab Reg 146 — Power to specify norms, procedures, issue clarifications and remove difficulties Reg 147 — Delegation of powers Reg 148 — Repeal and Savings
Regulation Reg 1 — Short title and commencement Reg 2 — Definitions Reg 3 — Obligation to seek registration Reg 4 — Eligibility Conditions Reg 5 — Legal form of the applicant Reg 6 — Track Record and Reputation of Fairness Reg 7 — Appointment of Principal Officers and other Key managerial personnel(s) (KMP) Reg 8 — Net worth requirements Reg 9 — Fit and proper requirements Reg 10 — Infrastructure Requirements Reg 11 — Furnishing of Information Reg 12 — Consideration of application and Grant of Certificate of Registration Reg 13 — Terms and conditions of registration Reg 14 — Rejection of application Reg 15 — Period of validity Reg 16 — Surrender of registration Reg 17 — Constitution of the Fund / Scheme Reg 18 — Venture Capital Schemes Reg 19 — Filing of Placement Memorandum Reg 20 — Eligible Investors Reg 21 — Nature and structure of Scheme Reg 22 — Permissible investments Reg 23 — Restrictions on Investment and Corpus of the Scheme Reg 24 — Disclosures to investors Reg 25 — Borrowing Reg 26 — Valuation Reg 27 — Computation of NAV Reg 28 — Contribution by the FME in the scheme Reg 29 — Co-investment and Leverage Reg 30 — Restricted Schemes (Non-Retail Schemes) Reg 31 — Eligible FMEs and Filing of Placement Memorandum Reg 32 — Eligible Investors Reg 33 — Nature and Structure of Scheme Reg 34 — Permissible investments Reg 35 — Restrictions on Investment and Corpus of the Scheme Reg 36 — Disclosures to investors Reg 37 — Borrowing Reg 38 — Valuation Reg 39 — Computation of NAV Reg 40 — Contribution by the FME in the scheme Reg 41 — Co-investment and Leverage Reg 42 — Retail Schemes Reg 43 — Eligible FMEs and Filing of Offer Document Reg 44 — Minimum number of Investors Reg 45 — Nature and Structure of Scheme Reg 46 — Permissible investments Reg 47 — Restrictions on Investment and AUM of the Scheme Reg 48 — Disclosures to Investors Reg 49 — Borrowing Reg 50 — Valuation Reg 51 — Computation of NAV Reg 52 — Contribution by the FME in the scheme Reg 53 — Reg 54 — Definitions Reg 55 — Eligible FMEs and Filing of Placement Memorandum Reg 56 — Nature and Structure of Scheme Reg 57 — Permissible Investments Reg 58 — Scheme corpus, eligible investors, investment conditions Reg 59 — Borrowing Reg 60 — Other requirements Reg 61 — Exchange Traded Funds Reg 62 — Equity Index based ETF Reg 63 — Debt Index based ETF Reg 64 — Commodity based ETFs Reg 65 — Gold ETF Reg 66 — Silver ETF Reg 67 — Actively Managed ETFs Reg 68 — Market Makers Reg 69 — Computation of NAV Reg 70 — Redemption of ETFs to Investors Reg 71 — Disclosures to investors Reg 72 — Reg 73 — Eligible FME and Clients Reg 74 — Disclosures Reg 75 — Portfolio Management Agreement. Reg 76 — Report to the Client Reg 77 — Dealing with Client Funds Reg 78 — Investment Restrictions Reg 79 — General Obligations Reg 80 — Advisory Services Reg 81 — Multi-Family Office Reg 82 — Investment Trust in IFSCs Reg 83 — Definitions Reg 84 — Registration Reg 85 — Trust Reg 86 — Sponsor Reg 87 — Investment Manager Reg 88 — Trustee Reg 89 — Adherence to the Fit and Proper criteria and other responsibilities Reg 90 — Currency Reg 91 — Offer of units of Investment Trust Reg 92 — Private Placement with listing Reg 93 — Private Placement without listing Reg 94 — Public Issues Reg 95 — Offer Document or Placement Memorandum Reg 96 — Continuous obligations and Disclosure Requirements Reg 97 — Investment Conditions Reg 98 — Additional conditions in case of InvIT Reg 99 — Additional conditions in case of REIT Reg 100 — Distribution policy Reg 101 — Borrowings and deferred payments Reg 102 — Valuation of assets Reg 103 — Surrender of certificate by an Investment Trust whose units are not listed Reg 104 — Eligibility Conditions Reg 105 — Permissible Activities Reg 106 — Permissible investments Reg 107 — Borrowing Reg 108 — Listing of open-ended schemes Reg 109 — Listing of close ended scheme Reg 110 — Listing of ETFs Reg 111 — Listing of Investment Trust Reg 112 — Approval by Recognised Stock Exchange for Listing Reg 113 — Disclosures Reg 114 — Secondary Listing of an ETF or Investment Trust listed in India or Foreign Jurisdiction Reg 115 — Suspension of Listing and Trading Reg 116 — Delisting by Recognised Stock Exchange Reg 117 — Voluntary Delisting Reg 118 — Code of Conduct Reg 119 — Maintenance of books of account, records and other documents Reg 120 — Information to the Authority Reg 121 — Business Continuity Plan Reg 122 — Cyber Security and Cyber Resilience Reg 123 — Risk Management and Internal Controls Reg 124 — Guaranteed returns Reg 125 — Change in control Reg 126 — Payment of Fees Reg 127 — Advertisements Reg 128 — Fees and Expenses of the Schemes. Reg 129 — Appointment of Investment Committee Reg 130 — Merger, demerger or restructuring of schemes Reg 131 — Winding up of the Scheme Reg 132 — Appointment of Custodian Reg 133 — Redemption of Close ended scheme Reg 134 — Scheme Annual Report Reg 135 — Auditor’s report Reg 136 — Other disclosures to the investors Reg 137 — Restrictions on business activities of the FME Reg 138 — Inspection Reg 139 — Obligations of FME on inspection Reg 140 — Appointment of auditor or valuer Reg 141 — Submission of report Reg 142 — Action by the Authority upon inspection. Reg 143 — Suspension, cancellation of registration or any other actions Reg 144 — Power to relax strict enforcement of the regulations Reg 145 — Regulatory or Innovation Sandbox and Fund Lab Reg 146 — Power to specify norms, procedures, issue clarifications and remove difficulties Reg 147 — Delegation of powers Reg 148 — Repeal and Savings