MODULE 5 · SEBI COMPLIANCE

SEBI Compliance

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SEBI Reports

Regulatory Filings (QAR / AAR)

SEBI-mandated Quarterly Activity Reports and Annual Activity Reports for AIF compliance. Track filing status against due dates.

AML

AML Due Diligence

Anti-Money Laundering assessments per investor. Tracks PEP status, beneficial ownership, risk rating, custodian reporting, and STR filings.

Investor	Risk Rating	Land Border	>50% Threshold	Beneficial Owner	Risk Date	Custodian Reported	STR Filed	Actions

CTR

Compliance Test Reports

Annual compliance test reports submitted to the trustee. Each report contains a regulatory checklist of pass/fail items.

Alerts

Equity Threshold Alerts

SEBI regulation requires custodian notification when equity stake exceeds thresholds. Track breach, notification, and resolution.

Company	Threshold %	Stake %	Breach Date	Custodian Deadline	Custodian Notified	Custodian Ref	Resolved	Actions

Calendar

Compliance Calendar

All regulatory filing deadlines, recurring compliance tasks, and ad-hoc obligations in one place.

PPM

PPM Amendments

Track all amendments to the Private Placement Memorandum. SEBI requires filing within 21 days of approval and investor notification with an exit window.

Circulars

SEBI Circulars

Track SEBI circulars and their fund-specific action items. Each circular generates compliance actions that must be tracked to completion.