RTA Mutual Fund Exam Important Points

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  • QRTAs, servicing Mutual Funds investors, must have Investor Service center in at least 100 cities based on investor population pertaining to the Mutual Funds clients they service.
  • QRTAs shall have online capabilities for investor queries, complaints and their redressal.
  • QRTAs, handling corporate registry functions, shall develop facility for providing services for managing Shareholders General Meetings including shareholders voting/ poll process and web streaming of all Annual General Meetings (AGMs) of all their listed client companies. QRTAs shall also look forward to providing other value added services and when required by SEBI.
  • QRTAs must publish on its website, the service standards (eg: turnaround time for services rendered).
  • QRTAs should also carry out stakeholder/ investor satisfaction surveys annually, and the same should also be published on the website before March 31, every year.

NISM RTA MUTUAL FUND

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