Mutual Fund Registration
Mutual Fund Registration– Overview
In India, a Mutual Fund must be registered with the Securities and Exchange Board of India (SEBI) under the SEBI (Mutual Funds) Regulations, 1996 before it can launch schemes and raise money from investors. The registration is typically granted to an Asset Management Company (AMC), which manages the funds, and a Trustee Company, which oversees compliance and investor protection.
Setting up a mutual fund requires meeting strict eligibility norms, such as sponsor track record, net worth requirements, trustee approval, AMC incorporation, and SEBI licensing. Non-compliance or incorrect structuring can delay approval or result in regulatory rejection.
At Cardiff Services, we provide end-to-end Mutual Fund Registration Services in India, assisting sponsors and AMCs with structuring, SEBI application, documentation, and post-registration compliance.
Why Choose Cardiff Services for Mutual Fund Registration
At Cardiff Services, we recognize that setting up a mutual fund is a high-stakes, compliance-heavy process. Our experts provide complete support from sponsor assessment and AMC setup to SEBI licensing and ongoing compliance.
We go beyond registration—we assist with fund structuring, investor documentation, and SEBI inspections, ensuring your mutual fund business is regulator-ready and investor-trusted. With Cardiff Services, your mutual fund gains a strong foundation, long-term compliance framework, and growth potential.
Key Features of Mutual Fund Registration Support
Sponsor Advisory: Guidance on eligibility criteria, track record, and financial requirements.
Trust & AMC Setup: Assistance in incorporating trustee company and AMC under Companies Act.
Application Filing: Preparation and submission of SEBI mutual fund registration application.
Policy Framework: Drafting compliance manual, investment policies, and risk management framework.
SEBI Compliance: Ensuring compliance with net worth, governance, and fiduciary obligations.
Ongoing Advisory: Support in scheme approvals, compliance filings, and SEBI inspections.
Documents Required for Mutual Fund Registration
Incorporation documents of sponsor, trustee, and AMC (MOA, AOA, COI).
Net worth certificate of sponsor (₹50 crore minimum required).
Track record of sponsor in financial services (at least 5 years).
Board resolutions approving mutual fund setup.
Trustee company details, directors’ KYC, and declarations.
AMC incorporation details and infrastructure proof.
Draft trust deed and investment management agreement.
Compliance policies (risk management, KYC/AML, grievance redressal).
Audited financial statements of sponsor and AMC.
Details of key personnel (fund managers, compliance officers).
Step-by-Step Procedure for Mutual Fund Registration
Sponsor Eligibility Review – Verify sponsor’s track record, financial soundness, and credibility.
Incorporation of Trustee & AMC – Set up companies as per SEBI requirements.
Document Preparation – Draft trust deed, IMAs, policies, and compliance records.
Application Filing with SEBI – Submit registration application with supporting documents.
SEBI Scrutiny & Clarifications – Respond to queries and update documents as required.
Grant of Registration – Obtain SEBI approval and Certificate of Registration.
Post-Registration Compliance – File scheme approvals, launch offer documents, and maintain compliance calendar.
Frequently Asked Questions
A company name search ensures that your chosen business name is unique, legally compliant, and not already registered with Companies House UK. It helps you avoid legal disputes, trademark issues, and confusion in the Cardiff business market.
If your desired name is already registered, you’ll need to choose a different name or modify it. Using a taken name could result in rejection by Companies House or potential legal issues. Our experts can help you brainstorm alternative names that are compliant and market-ready.
It’s not advisable to use a name that’s too similar to another company, especially within the same industry. Similar names can confuse customers and risk trademark disputes. A company name search helps you identify these risks early.
For a company name search in Cardiff, you may need:
Proposed company name
Business entity type (Ltd, LLP, Partnership, etc.)
Jurisdiction (Cardiff / UK)
Owner or shareholder details (if applicable)
Business description
A “high probability” result means your proposed company name is likely to be available, but further checks are recommended. This is why our detailed Cardiff Company Name Search Report includes both identical and similar names for clarity.
Certain words are restricted under UK law (e.g., “bank,” “insurance,” “government”). If you want to use them, you’ll need special approval from regulatory bodies. We guide you through this process if your Cardiff business requires such terms