IRDA(Investment)Amendment Regulations~2004

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.. INSURANCE REGULATORY AND DEVELOPMENT AUTHORITY NOTIFICATION Hyderabad. the l st January, 2004 Insurance Regulatory and Development Authority (Investment) (Amendment) Regulations, 2004 F.No.IRDA/Reg./1 /2004 - In exercise of the powers conferred by Sections 27A, 278, 27D and 1 J.IA of the lnsurance Act, 1938 (./ of 1938). the Authority, in co11sultalio11 with the Insurance Advisory Committee, hereby makes the following regulations to amend the Insurance Regulatory and Development Authority (Investment) Regulations, 2000, namely:- (. Short Title and commencement.-( I) These regulations may be called the Insurance Regulatory and Development Authority (Investment) (Amendment) Regulations, 2004. (2) They shall come into force on the date of their publication in the Official Gazette. 2. In regulation 2 of the Insurance Regulatory and Development Authority (Investment) Regulations, 2000, the following new clauses shall be added, after clause (c): "(ca) 'Group· means: (i) Mo or more individuals, associations of individuals, firms, trusts, trustees or bodies corporate (excluding Financial Institutions) or any combination thereof which exercises, or is established Lo be in a position to exercise, comrol. directly or indirectly, over any body corporate, firm or frost, or (ii) Associated persons. as may be stipulated by the Authority, from time to time, by issuance of guidelines in this behalf. (cb) 'Financial Derivatives' means a derivative as defined under clause (aa) of section 2 of the Securities Contracts (Regulation) Act. 1956, and includes a contract which derives its value from interest rates of underlying debt securities and such other derivative contracts as may be stipulated by the Authority.from time to time." 3. For the existing Note 2, appended at the end of Regulation 5 of the Insurance Regulatory and Development Authority (TnvesLment) Regulations, 2000, the following shall be substituted:- "2. Subject to exposure limits mentioned in the Table above, an Insurer shall not have investments of more than 5% in aggregate of its Controlledfunds in the case of a life insurer or 5% in aggregate of its assets in the case of non-life insurer in the companies belonging to the promoters' groups. For the purposes of this regulation "group ·· shall have the same meaning as defined wider these Regulations. All investments in this category shall specifically be referred to the Authority." 4 3 fJ'll / O '-I - 3 17 18 TIIE GAZETTE OF INDIA: EXTRAORDINARY (PART ID----SF.C. 4) 4. For the existing Regulation 6 of the Insurance Regulatory and Development Authoritv (Investment) Regulations, 2000, the following shall be substituted:- "6. Returns to be submitted by an lnsurer.-Every insurer sha{I submil to the Authority the following returns within such time, at such Intervals and verified I certified in such manner as indicated there against. No. Form No Ducriptlon Periodicity Time limit/or Verified/ of returns submission Certified by Statement of lnvestme11ts and Within 30 days from Principal Officer Income on lnvestme11ts the date of Boards / Clue/of I. Form I Yearly approval of Audited (Investments) Accounts Statement of Dow11 Graded Withi11 21 days of the Pri11c1pal Officer 2. Form2 Investments Quarterly end of each quarter /Clue/of (Investments) Statement of /,westment of ' Within 1 I days of the Principal Officer J Form 3A Controlled Fund (life) - Q11arterly end of each quarter I C/uefof Compliance Report ( /nvcstme11ts) Stateme11t of l11l'estment of Total IV/thm 21 days of the Pr111c1pal OJJicer .J. Form 38 Assets (General) Compliance Quarterly end of each quarter I Chief of Report (Investment~) Except,on Report 011 /11str11me111s ll'itliin 21 days of the Principal Officer 5 Form JC 11ot complying with "AA" or Quarterly end of each quarter I Chief of "AAA" grade - Compliance (lnveslmems) Report Exposure /Prudential Investment Wirl11n 3() days from Principal Officer .Vorms - Compliance Certificate the date of Boards 1 Chief of 6. Form 4 )'early approval of Audited (lm·estments) Accounts Sta1eme111 of /nve.stment S11b1ecr ro Withm 30 days from Prmcipal Officer Exposure Norms the date of Boards Chief of 7. Form 4A Yearl)' approval of Audited (lm·estment.<) Accounts Stateme111 of Investment Within 1 I days of the Pri11c1pa/ Officer 8 Form5 Reconci/,011011 Quarterly end of each quarier / Chief of (lm·estments) S1a1eme111 of lvlutuol Fund · Within 21 days of th, Principal OJ]icer 9 Form 5A lnl'estments Quarterly end of each quarter I Chit1fof (Investments) Certificate under Sec/ton 28(]A), WitJrm 21 days of the Prmc,pal Officer /0 Form6 28(28) and 288(3) of the Quurterfy end of each quarter Clue/of /11s11ra11ce .-let, 1938 (lnvestmt:nts) C'onfirmat,0,1 of /nvestmt:11, Within ] I days of the Principal Of]icer II. Form 7 Porifoho De1a1ls Quarterly end of each quarter I Chiefaj (lnreslments) " .. - [ 'WT III-~ 4] 5. After Regulation IO of the Insurance Regulatory and Development Authority (Investment) Regulations. 2000, the following new regulation shaJI be added:- "11. Dealing in Financial Der4va1ives.- (I) Every Insurer carrying on the business of life insurance or general insurance may deal in financial derivatives only to the exrent permitted and in accordance with the guidelines issued by the Authority in this regard from time to Lime. (2) Any margin or unamortized premium paid by any insurer in connection with the financial derivatives to the extent they are reflected as asset position in the Balance Sheet of the Insurer in accordance with the guidelines issued by the Authority, shall be treated as "Approved Investment" under Schedule I and Schedule II 10 these Regulations, only to the extent the derivatives position constitutes a hedge for the underlying investment or portfolio which itself is treated as an approved investment under these Regulations. All other margin or unamortized premium paid, lo the extent reflected in the Balance Sheet of the Insurer in accordance with the guidelines issued by the Authority in this regard from tinie to time, shall be treated as "Other than Approved Investments". 6. In Schedule l to the Insurance Regulatory and Development Authority (Investment) Regulations, 2000, in item (b) thereof, the following shall be inserted as sub-item (iia) after sub- item (ii):- "(iia) Collateralised Borrowing an,d Lending Obligation (CBLO) created by the Clearing Co,poration of India Limited and recognised by the Reserve Bank of India as a money 1~1arket instrument I investment. " 7. In Schedule II to the Insurance Regulatory and Development Authority (lnvestment) Regulations, 2000, in item (b) thereof, the following shall be inserted as sub-item (iia) after sub-item (ii):- .. (iia) Collatera/ised Borrowing and Lending Obligation (CBLO) created by the Clearing Corporation of India Limited and recognised by the Reserve Bank of India as a money market Instrument I investment. " 8. For the existing FORM I, FORM 2, FORM 3A, FORM 38 and FORM JC appended at the end of the Insurance Regulatory and- Development Authority (Investment) Regulations, 2000, the following shall be substituted:- 19 FORM - 1 COMPANY NAME&. CODE: STATEMENT AS ON : STATiMENT OF INVESfMENT AND INCOME ON INVESTMENT PERIODICITY OF SUIMISSION . YEARlY f NO. CATEGORY OF INVESfMENT l : --- TOTAL CEIITIFICATION CAT CODE INVESfMENT (lt1 . ) NAME OF THE FUND : CURRENT YEAlt INCOME ON INVESTMENT [Its.) · GltOSS YIELD(,:;) 1 NET YIElD (,:;)2 C-crufl~ ,t,a, tin.· mfom,uti(,n gnw, h,.:n::ln un: f:flnYd unJ t..umpldc to th,,• hf.I hf ltt) A.,w,11 l11Jg~ unJ llrllt!/ mwl no1h1nj: hu~ H~n cone.u/,:J u, ,.-,,ppN~,ul DATE: (\o,I~: c·u,ego.l) ,,flmT\1/flf!nl .Jt...,llht!u,~r<i11U.Jt1ltM., I /Q he u,kulatcd u, pr,,.nh,J tn /RJU (A,wanul R<!"IN) R<K'Jlul/nn•, 2(/(HI untkr """''"" J(I) t1t1 un AnmhJIIM!d /,us,; 1 )t<IJ m:1t<JJ<,r lu., • /1t1h< cu;.: of L,J, 1,.,,,,.,,.,,,. Bw1n<>.>. FOAAl-1 ;/,u/1 k pr,pur<d rn re'f'"I 0J,u<h/11ntf lb. I~ WII• PREVIOUS YfAlt INVESTMENT (Its.) INCOMEOH ~ INVESTMENT _tits¾ GROSS YIELD (,-) 1 NET YIELD (")2 -r ~- -+- • - • --- ---~-- +-- - SIGNATURE FULL NAME &. DESIGNATION ~ ~ I ~ I I i 1 ,..., ! !1l ,.,.. ~ FORM - 2 COM,ANY NAME &. CODE: STATEMENT AS ON : STATEMENT OF DOWN GRADED INVESTMENTS ,ERIODICITY OF SUIMISSION : QUARTERLY NAME OF THE FUND : - - .. ---·- - - ~ OUNT ~ --- - - -- -- - - - Rs. I" La/tits CAT (AS PEA DATE OF ORIGINAL DATE OF NO l"ARTICULARS OF INVESTMENT CODE BALANCE I l"URCHASE RATING AGENCY GRADE CUHENT GRADE DOWNGRADE REMARKS -+- ~ SHEET)_ _J_ _ ~- _ __ ___ _ __ ____ _ ~----~- A. DU~HE QUAlrTH ,_ I : t- - - • --- - --- - ! - - -------~---- ______ _J_ __ --- -- . --- --- ----------·----- -- ----- -·- ----- ---------+ - ~ --___ I - ----1-_-_-_-_-_-_-_--_-:_-_-_-_--... ~~~~~~~~~~~~~:•~~~~~~~~-~~~~~.~--~~~ ----- - -----------!---- -- -•I-- - ~ ~ --- - . -- • - --- -- .... --~---- -- - --- -- --_ -_ ---~~ --~~-= ~ -~ -·~ ---=-· -~- ~-: - - - - --- .L.._ . ---~ --- -- -~-'--- - ~-----'--------- - ----'~- • - -" --- CUTIFICATION Ct:rllf/t:d that the 1nfnrniolton g,wn Mrt:in art: c:nrn,,·t and coniplt:lt: to the ht:.,, of my lmowlt:dgt: and ht:lt,:f and nothing ho.J b.,,:n c:0111:colctl or supprea.,,:d DATE: t:!QI£. I Provide detod, ,>/ Do,.-,, <irodi:d lnw:stn..:nt, during ti..: Quarter. 1 ProVldl! cktotl• of Down Graded Jn..,e.<1men1< 0$ on 1l,e reporting dot,: SIGNATURE FULL NAME&. DESIGNATION J ltwe.<lfllt:111• c:11rn:n1/y upgrad.:d, wl,/ch "'"'' lt.\lcd as 0014-11 Cir<Ukd d11rln,; carltl!r Quartor ,hall Ix: delutcd from tht! C1m111/a11w /,sting 4 In 1/ic c:asc "' l.tfc lnsuront:e Hu,ui,,.u. FORM-1 _,t,o/1 /,,: propurl!d In tV-•rec:t ,,{ each fund s "C ATCO/J£~ ,t,,,11 ht: o..• per Gmdclm,:, j - ...... T i """ ...... ~ ~ 1 I ~ 22 THE GAZETTE OF INDIA: EXTRAORDINARY FORM• 3A COMrANY NAMl a. COOE: STATIMl:NT .U ON: STATEMENT Of INVUTMlNI ASSEJS (-D-lt>dloJ rOIIODICIIY Of SUIMIS$IOH : QUAl!tll.!..._ INvtSTMfNT ASSETS A- UfE ,UN.D 1GovlSK,,riliet 2 IGo•I Secunlle, o, Olhw OP!"O•ed Secunltti lincl I above) 3 App,o .. d lmr o 11nfio Struclure and SOC.k31 S.Ctor lnlra Sln,ciu,-e SodolSec:tor -f PEICENTAGf ASrHIEG. 25X t Holleulhon J_ 50,: SH b (ii Olhett· gove,ned by Exposure Nom-a j Nol ·(i) Ou! ol above~. • Ama<,nl Invested ,n "Oll>e< l~n HCHd/r,g l App,oved Inv ihal nol exceed •~• JS,C IOTAl Uf£fUN0 lOO!f. I. PENSION GEHEIIAL ANNUIIY FUND Govl Secunhm 2 Govl Secunt~ Of Ott,er opp,oved Sec:unhes 11nc1 I above) 3 Solance Inv la be In Approved lnvestmenl TOTAl rENSION. GENEIAL ANNUIIT FUND C. GIOUr SCHEME EXCLUDING GIOUP PENSION I ANNUITY Govt Sec.urlllel 2 1Govl S.Cunhes or OlhO' a-.,ved Secunhm l]ncl I oboveJ 3 Solance Inv To be 1n Approved Investment TOTAl GIOUr SCHEME EXCLUDING G1ou, PENSION/ ANNUlrt D UNIUD UfE INSUIANCE fUN.D Approved. lnves!menls I 2 Olhe, lhot, App,oved lnvestmenl TOT Al UNKED ure INSUIANCE fUND Cf!UFIC/llrQH t'm11k.J ,,. .. , rlt,, j,.J4WWf1'~""' l(i~n >-~•n.,,... """,...'-' oN '"'"pl'"''',,, 11tti, ~ul of MJ· ,t,,,.,..,,~ unJlt..lu1l1t1J,tullH1t,:_J..n lt.ttn 4.dlfC..~•·Jur Oll'f"'Y-t•..,J r PEICOOAGE AS PEI IEG. ~ Hol leu lhon 20,: Hor,. .. lhon .f0% + Hot exc.-.dtng 6'),S, 100" PEICENTAGE AS rn IEG Hol leu lllon 2011: Hotlieu lhOtt -'0" Nol exc-N'dlng '°" JOO,: rERCfNTAGE AS PU UG Hol leu than 15" Hol MO,. lhon 25" 1001\: PART· A f ~ : ·,..-1- · .. [ : PH NON PAA t PH NON rAR PH NON PAR SIGNATURE DA!E: fUll NAME I DEllGNATION 4 i ~ TOTAl (SH• PH) TO!AI (SH• rH) TO!Al (SH • rHJ TOIAl (SH • PH) l ~ I + +- (PART ill-SEC. 4] Rs.l•IAA., MICT/ ACTUAL !f. IEAIISA8lE VALUE - + 0 MU/ ACTUAl -ii\ RfAUSAllf VAIUE MKI I ACTUAi !f. IEAU.SA81E VAIUE MKI/ ACTUl\l -ii\ IEAllSAOIE VAIUE .. FORM - 3A ,.. COMPANY NAME a. C ODE: PART • I STATEMENT AS ON : SlATEMENT OF NON-INVESTMENT ASSETS (Bu1/neu within Indio} PERIODICITY OF SUBMISSION : QUARTERLY FOR THE QUARTER ENDED ; - 1 REAL ESTATE {NOT HElD AS INVESTMENT ASSET} - - - 2 FIXED ASSETS ... l 3 LOANS (OTHER THAN POLJCY LOANS} 4 CASH. SANK BALANCE & REM/TT ANCE IN TRANSIT 5 ADVANCE TO I DEPOSIT WITH OTHERS I 6 DEPOSIT WITH CEDING COMPANIES 7 PREPAID EXPENSES - 8 ADVANCES TO OFFICERS AND DIRECTORS 9 ADVANCE TAX & TAX DEDUCTED AT SOURCE (NET OF PROVISION/ ,----- 10 OUTSTANDING INTEREST (ON INVESTMENTS} ~ 11 INTEREST ON LOANS OUTSTANDING - 12 OUTSTANDING PREMIUM 13 FOREIGN AGENT BALANCE 14 AMOUNT DUE FROM OTHER INSURERS (NET/ I - - 15 IAGENT BALANCE 16 1DUE FROM SUBSIDIARIES 17 TRUST I SEMI-TRUST ACCOUNT - - ,_ - 18 OTHER ACCOUNTS {INTER OfFICE AND CONTROL ACCOUNTS/ 19 FAIR VALUE CHANGE ACCOUNT 20 STOCK OF STATIONERY 21 OTHERS (SPECIFY} CEIITIFICATION < ·~m/,cd that Ilk· 111fnn11,111,m ,iH·M l,,•n,/n 11n: cnrr<•~t 1111d ,:r,mpf,:t,• 111 ti,,.• /Jt!,t of 111v k11<111A·dµI! u11J hd,rf wlcl 11111/1111,: ltU.• hc,·11 nm,·,:u/,:d 1,r .,11pprc.n cd I XX/XX/XXXX SCH. REF AMOUNT I . 4 - - -~ -- r - i I I I J I t -r--- I ) I 1 ~ t -- - I I J_ t . I f i . I - SIG.NATURE DATE: FULL NAME &. DESIGNATION Note: H1w1t-11p of mtl1wd1ml /1,:111; 1111cl,•r .,,,..1, nfthl! <1fom't! /wad, shall hi! pnll'ld<'J a< Sd,~tluft• an,l 11., refere11<:t! h,: met1110,1ed tun/a "Sd, /1,:j" 23 24 THE GAZETTE OF INDlA: EXTRAORDINARY FOIM • 31 COMPANY NAME AHO COOE SfATEMfNT AS ON · STATEMfNT Of IHYUTMENT A.Uffl jlullneu ....,,, lndlo} PEIIIOOICITY Of SUIMISSION : QUARTOI.\' INVUTMEHT ASSffl - l - . PUCENTAGE i---,- ~ .. ,,_ 1 Central Go•I Secufilles . 20" .. Go-,,t Seo,nt,es o, Olher Guaanteed Secun,.,. linc:t 11,e I 2 obo•el i------'- 3 Houiing ond loons to SG to, Housing ond Fi-e f;ght,ng +-Equ,pmen'1 ◄ App,..-lm, 0 Intro Slruclure and SOCiOl Sector (iJ tn• a S&ucture 1lil Socio! Sector . Im b Others • governed by Exposure Norms • ~ Iii Oul ot obo•e ~ -Amounl ln•ested ,n "Olhet lhon Apptoved Inv ,hol not exceed ~- TOTAl INVESTMENT ASSETS Cfflf/CAIIQN C'"rtJ/llJ 1hul 11,c 111/rll'lnUlr-,n ,:tn:,i h,:n·mul\' uwt\''-' u,.J,..,""'1,1,.,,. Ir> Ilk· lte,111/ lN.~ /r:,wwlrJ,._., unJ ""lwf unJ "'"lr,"11 ltu, I,«,, n--rukJ ,.,. 'Uf'f"'"'"" OATE: Holleu #,an JO" Hol leu lflon 5" I I Nolleu #Ion 10" I Nol uc-dinf 55" 1(10.,. AMOUNT AS PH IEG. TOTAL SH '" (SH•PH) I I- I >-- 1 1 I I I I I : SIGNATURE fUU NAME I. OfSIGNATION , ..... Fl>IIII-J/1 (l'◄ltT~/ ""11/ /.,, t,~ 111 r1t,, """""-" .\Jto:1 " " tit, Bui.--., .Ii/wt"-"• ~.,•,-.It uJ.-uJ..-Jtmrl.Jn,: ""111 ,_, .>1ef"JNl<IJ utt.ldr..·J [PART III-SEC. 4) l "ACTUAL MAIUTVALUE I I t I ['I.Wl Ill ~ 4] FORM - 3B ,;m, q'i'f ~ ; ~ COMPANY NAME ANO CODE · STATEMENT AS ON ; STATEMENT Of NON-INV~SlMENT ASSETS (Busineu within Indio) PERIODICITY OF SUBMISSION : QUARTERLY PARTICULARS REAL ESTATE (NOT HELD AS INVESTMENT ASSET/ 2 FIXED ASSETS J LOANS 4 CASH. BANK BALANCE & REMITTANCE IN TRANSIT S ADVANCES TO I DEPOSIT WITH OTHERS 6 DEPOSIT WITH CEDING COMPANIES 7 PREPAID EXPENSES 8 ADVANCES TO OFFICERS AND DIRECTORS 9 ADVANCE TAX & TAX DEDUCTED AT SOURCE (NE1 OF PROVJSION} 10 OUTSTANDING INTEREST (ON INVESTMENTS/ 11 INTEREST OF LOANS OUTSTANDING r 12 OUTSTANDING PREMIUM 13 FOREIGN AGENTS BALANCES 14 AMOUNT DUE FROM OTHER INSURERS (NET} 15 AGENT'S BALANCES J6 DUE FROM SUBSIDIARIES 17 TRUST I SEMI-TRUST ACCOUNT 18 OTHER ACCOUNTS (INTER OFFICE AND CONTROL AC'r:OUNTSJ I 19 FAIR VAWE CHANGE ACCOUNT - - -- 20 STOCK OF STATTONERY 21 OTHERS /SPECIFY/ ---------- CERTIFICATION Ctm{ied 1ha1 the uiformt111011 gmm frerem are r:orrer:t a11d r:umpll!te 10 the best of 111_1 k1101rledgc and ~Im/ ond 11otl,111g hm bu11 co11ualt•d or 511ppressed DATE: XX/ XX/XXXX SCH REF SIGNATURE FUll NAME & DESIGNATION PART· B R1. /11 l.11Al11 AMOUNT J Note: Brealc-11p of mdil'ld11al llenrs u11dtr each of the ab,m! head.1 shall be prowded m Schedule 011d ,ts re/ertllC'I! be me1111011eJ 101der ·-:,•·h Ref' FORM - 3C COMPANY NAME & CODE: STATEMENT AS ON : EXCEPTIONAL INVESTMENTS CAPABLE OF BEING RATED AND COMPLYING WITH "AA" GRADE ANO IN CASE OF DEBT INSTRUMENTS ISSUED BY All lNDIA FINANCIAL INSTITUTIONS. NOT COMPLYING WITH "AAA" GRADE . COMPLIANCE REPORT PERIODICITY OF SUBMISSION : QUARTERLY A . LIFE FUND NO PARTICULARS OF INVESTMENT B. PENSION AND GENERAL ANNUITY FUND ~ CAT I CODE Rs. In Ln/,./15 AMOUNT RATING AGENCY RATING GRAD DATE OF APPROVAL BY INVESTMENT OF INSTRUMENT COMMITTEE AND REASONS THEREOF NO l CAT RATING GRAD DATE OF APPROVAL BY INVESTMENT PARTICUL<RS O,ONVESTMENT -- -j-coo~ . -AMO~-~ - :•TING AG~~CY _"f_"'SnUMENT COMMITTEE ANO REMONSTHEREOf C . UNIT LINKED LIFE INSURANCE FUND NO PARTICULARS OF INVESTMENT 0 . GENERAL INSURANC E BUSINESS CAT CODE NO PARTICUL<RS °' ONVmMENT - --t c';;';, C ERTIFICATION t ·,•rt1/1 ... •d th,11 the 111/or111111111n ,:11·,•11 lwrt'ln C1re n,rr,/,·I u11t.l ,·nn1plt11t: In 11,,~ h,:M u/ 11n· J..1undl•tl;;,• 1111d /)(.•fie•/ t.11td 1111tl1111,: luu ht·t...·11 to11,.;. .. •oh·cl or ,upf>rt.·.,.~,:d Date: l:::!!!1£. ••, • I I"< '(I/)/;'' ,l,ol/ lit• 11., /'<.'r C ;,,1t/l.•l,11i!., AMOUNT RATING A G ENC Y RATING GRAD DATE OF APPROVAL BY INVESTMENT OF INSTRUMENT COMMITTEE AND REASONS THEREOF AMOUNT RATING AGENCY RATING GRAD DATE OF APPROVAL BY INVESTMENT OF INSTRUMENT COMMITTEE AND REASONS THEREOF SIGNATURE FULL NAME & DESIGNATION .... ,~ j ! ~ ~ > I z ~ i-=tj I;;, :~ :::: I Fl .£: ' 9. In the existing FORM 4 appended at the end of the Insurance Regulatory and Development Authority (Investment) Regulations, 2000. for the words, ••in the MRTP Act, 1969" as occurring in Column (3) of the Table, al Serial No. I & [I thereof, the words, "de.fined under sub-clause (ca) of clause 1 C?f these Regulations " shall bl: substituted. I 0. After fORM 4, the following ne\\, Forms shall be inserted as FORM 4A. fORM S. FORM SA. FORM 6 FORM· 4A COMPANY NAME, CODE: STATEMENT AS ON STATEMENT Of INVESTMENTS SUBJECTTO EXPOSURE NORMS PERIODICITY OF SUBMISSION YEARLY NAME OF THE FUND : AMOUNT AS PER BALANCE SHEET DEBENTURE NO INDUSTRY SECTOR PREFERENCE COMPANY NAME SHARE / CONVERTIBLE CONVERTIBLE PARTLY CONVERTIBLE EQUITY SHARE PORTION NON NON-. CONVERTIBLE CONVERTIBLE PORTION INDUSTRY SUB-TOTAL GRANDTOTAl LOANS (SHORT TERM / MEDIUM / LONGTl:RM) OTHER INVESTMENT SUBJEC.T TO EXPOSURE NORMS --=----=~----==-----==-----=~--------==--- % TO TOTAL INVESTMENTS CERTIFICA[ION t ,•r11/i,:,,/ IIMI 1/,l· mtarmalWn J!1''1·11 l,-,n,•111 tm.•, orn.•,·I m,iJ nmrpl,·1'• ,,, 1hr b,1,1 t>J ,,~, !JmMl~llt.,.: UJJ..I hthr:J ,mJ ,,,,,Im')! /,-11 hr>,·n ,·,11,cc-ul,:J ,u-. ,ur,,rr!<,,·J SIGNATURE and FORM 7:- INV.ESTMENT IN GRou, Of COMPANIES GROUP NAME WHETHER PROMOTER GROUP OR NOT FUU NAME , DESIGNATION DATE· Note I ,,, ''"· ,u,,· ,,, ,.,_, .. ~ l11fori1n,,· H,i,luc '"' H JR.\f.J.f ,,,,.,,, ~ rrt'{"ln."tl Ill"'-'-'/''' f of rad, June/ l 1-:i-,: It<. I• l_.,Mn %TO TOTAL INVESTMENTS ,......, ~ ::l I ~ -1-- j ~ J I t1 FOl!M • 5 rANY NAMF & COO£ AllMllll I\S l')N • ~lAflMU,T Of IIIV(SlMENI RECONCILIAIION (Busme.tS within lndit• ru1001c,ry 0~ W8MISSl')N · QUA~TERlY COi CATEGORY OF INVESTMENT A CENTRAL GOVERNMENT SECURlrlES 8 C STArE GOVERNMENT .I OTHER Al'l'ROVED SECURmES / OTHER GUARANTEED SECURITIES HOUSING SECTOR INVESTMENTS D INFRASTRUCTURE / SOCIAL SECTOR INVESTMENT'S E INVESTMENT SUBJECT TO EXPOSURE NORMS F OTHER THAN APPROVED INVESTMENTS CERTIFICATION CAI CODE 01' IAl FACE VALUE IOOK VALUE NAME OF THE FUND · PUR. FOR THE PERIOD FACE VALUE ... IOOK VALUE SALES FOR THE PUIOD FACE IOOK VALUE VALUE I - - ! t ( 'a111,i:J 1h01 11,,• 111/omumon x1n.·11 lh·n.·m ''"' c:11rr,·, 1 '''"', om1,h.·1,• '" th-./ J~•JI of m.1 Ju,m1-lcJg1,.• mW Jt..·l11.-/ dtrJ nmhtn}l /tu., h,•"·n ,.,,,,,..,.,,lt,J nr JIIJ>Pl"l'n,:J oat .. , NOTE . t, huln ,,Jm,/ ( ·a11.•1,:i>r1t•t 11,ukr , . .,, I, nf 11h' u/>41\"t· .\lttJOr J,,,uJ, ;,·/"'m/J It,· /1:rt..:d II /11 t/w Ulh' o/ I.ti~' lmmim"' l11om1..•u I OJl\J.J ,IH1ll lk• /ll'l'/N.ll"t!J Ill l'l'"/"'-'l"f 0/ t·ttth flmJ (. r,·11ma, '"''' J,.•,ml, ,,, ul/ Ji,:.urn ,1p/"''"ffl'J,!. UI ,,,,._, -td111HJ1kll/ ( 'uln,1111 <lmul,J ht• /INH'uh•,f "-' ,m .-lm1,•t1tl'l" IO 1/11.lf s,u,,•11h'lll " h.k·h '""·""''' ot ,., >H.A (-,t _.1,,,11 ft,• lml,,.nl lu ,,, • ,,,., .... _,,,.11ul11111 ,,,.,,., Ill r.➔Hf .. A ,,, 1-l J}l\ I -.: t Fl Jlt\l~JH E. ""c :-11 C ·, JI I/-"' ,thu/1 h.,· 4H Jh'I" t ;,ml.·lin1,.•., ·~ ,,. '~"-""~ ADJUSTMENTS CL IAL FACE VALUE IOOK VALUE Total (A) Total (I) FACE VALUE IOOK VALUE ----- 1. Total (A+I) I , Talal(C) Total (D) 2. Total (C+DJ ) Total (E) -- Total (f) I - - T 3. Total (E+f) --------- SIGNATUU -------- f UL L NAME I. DESIGNATION ~ ~ i ~ ~ > I ~ ~ '-;a ~ t::l I !ll "'- \, FORM• SA COMPANY NAME I. CODE: STATEMENT AS ON : STATEMENT Of MUTUAl FUND INVESTMENTS PERIODICITY Of SUIMISSION : QUARTERLY .... NAME Of THE FUND • CAT IRAND 01' IAl l'URCHIASE DURING THE QUARTER SALES DURING THE QUARTER PARTICULARS CODE NM\l: UNITS Ol'NA\I AMT UNITS NA\/ AMT UNITS NA\/ Si-m; ~LAN • ME OMGS - . I - - ~ 0 0 l;!HT l l~~QME E!!~l1 • ME OMDI I . . • . ... _ - - - 0 0 lseR1AL PLAN • MF OMSP T - . ♦ + I . . I - 1 " I 0 • 0 !UQ!,!10 f!,!N0 • MF 0Ml.F I ' l : I C r - 0 0 OTMFn . MF OMOT ·- . ~- I - I 0 0 CEIITIFICA TION t ,:n1p~J th"' ,1~ tnf"m'""'"' ,..., • ..,,., hcrvm un..• nJtnc.·r um/ ,;.om;>ltrt m '"'' 1't.•J.1 1d nr_r l:nmdeJi~ unJ ~/tr/ a,Hl 1w1h1ng JHJ,• /k~n t'tmt:f!olcJ ur JU/JJJIY-U~J Oat•: t'Qis ...t. hr!n, - f )thcf"' • AIJ, uUI It.: llf'/'1/lt-r,blr fi,r Af11l11l,I Nmcl Jr,w,tm""" nmclt· JlrUJr ta ( "11tul«1r No /,R/JA < ·11< /NI fKJ .. 1'101..fJJ W.uc,I Jr,1/11-~hr,,ur,, ]Of.13 IL /,t 1/,,: t·ci,f nf ltft,: /m1,rr111,11: l1mlnt!~3. FOR.\f.j,I ~hull h..· l'"'-"J"1rcJ m ~,,,c:,:t Pf Mt 11 fmRl (." l-.'11,-I, '!tnh-1tJi1,1l "fFC)ft\/-J . .f ,hall M lmJ.nl ,on, n1m..•,,,.,n,lm>: ht!,,J m FOl{Af .. j CQSTOF SAlES •· , 0 t 0 ' • . I .. 0 1 I O' . ' 0 ~ 1 c::: lls. /n l,11lr/u CL IAl AS ON: XX/XX/XXXX MARKET \/AWE IOOK ASON UNffS NA\/ VALUE XX/XX/XXXX I ~ ~ L...J . - • Total (A) 0 0 - . - - - .. - Total (I) 0 0 j ;- ~--- - -- ~ Talat (5) 0 0 J - - - ~ - - - - - - I Total (6) 0 0 -- - - Total (7) 0 0 Total (1 to 7) ________ _ SIGNATURE FUU NAME I. DESIGNATION ~ FORM· 6 COMPANY NAME ANO CODE ASON: CERTIFICATE UNDER SECTION 28(2A) / 28(28) / 288(3) OFT.HE INSURANCE ACT. 1938 PERIODICITY OF SU8MISSION : QUARTERLY NAME OF THE FUND : 1 - - ---- ---- - - - Rs. In Laklts UNDER THE CUSTODY OF - - INVESTMENT PARTICULARS BANK (RS)" SELF (RS) OTHERS (RS)" TOTAL (RS) SHARE HOLDERS POLICYHOLDERS SHARE HOLDERS POLICYHOLDERS SHARE HOLDERS POLICYHOLDERS SH + PH Central Go,cmmcnl S«urmes Central Government and other Guaranteed Secunl1l-S - --- Housing 8; Loans 10 S1.11e Go,-crnmenl for Hou~mg ---~ lnframu~1urc / Social Sl-clor IO\CSlmcnis Appro,cd ln,estmenls Other than Appro,cd Investment TOTAL I -r -r -r ______._ -4-- + .... We cerllty lhol the obove mentiOned securities ore held free of ony encumblonce. chorge. hvpolhecolion. or lien os on the obove dole. CHAIRMAN PRINCIPAL OFFICER Note. I ,1/11, ·•·11,e S.:c11n1ttJ tu be sho1111 al Cum mg Crur on th,· ahon, dull! * R,•i:m1<·t/1<111011 .,1<11t111.:11r shall bi: cJll<tdted /or ~.,p/0111111/.? th.: d,jfe1~11a b,·111.:.:11 Book, u11d C11m>J1u11 Otlm .1 Ctmjicutt. 111 the cast of 1-!it lm111011u l1llfi11e.s.r, I-OR \/-6 shall ht 111epur~d 111 rtl(J<!CI of euchfi111d ·,, <' DIRECTOR ~ ~ ! 0 "Tl ~ ii> i z ~ 'i -l s t fi I~ FORM - 7 COMPANY NAME & CODE: STATEMENT AS ON: CONFIRMATION OF INVESTMENT PORTFOLIO DETAILS PERIODICITY OF SUBMISSION : QUARTERLY NO DESCRIPTION ~r CONFIRMATION (YES/ NO) 2 Details of Approved Investments I Other Investments which have matured for payment and maturity amount is outstanding along with particulars of defaulted amount and period for which said default has continued: ___ ___ ___ _ ______ +- Any Investment as at (/), which subsequent to maturity have been rolled over· ______ _ ~ ___ _ 3 4 In respect of lnves1menrs where periodic income hm·e fallen due, details of ,merest payment ,n default, along with period/or which such default have persisted: Details of steps taken to recover the defaulted amounts. and the provis1011ing done I proposed m the accounts against such defaults.· CE_B_TIFICATION Cerli/ied that the information given herein are correct and complete to the best of my knowledge and belief and nothing has been concealed or suppressed Date: Note: If any of the confirmalion is in the affirmative. details be provided SIGNATURE FULL NAME & DESIGNATION ~ 1 l PRABODH CHANDER, Designated Officer Printed by the Manag~r. Govt. of India Press, Ring Road, Mayapuri. New Delhi-I 10064 and Published by the Controller of Publications, Delhi• I I 0054 1 T ~ .j.. ~ ~ 1 ! ....