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STATEMENT OF ADDITIONAL
INFORMATION
This Statement of Additional Information (SAI) contains details of DSP BlackRock Mutual Fund, its constitution, and certain tax, legal and general information. It is incorporated by
reference and is legally a part of the Scheme Information Document (SID)].
This SAI is dated July 12, 2017
1
INDEX
SECTION I – Information about Sponsor, AMC and Trustee company................................................................................................... 2
	A.	 Constitution of DSP BlackRock Mutual Fund (‘Mutual Fund’)....................................................................................... ………..2
	B.	 Sponsor............................................................................................................................................................................................................ 2
	C.	 The Trustee..................................................................................................................................................................................................... 2
	D.	 Asset Management Company.................................................................................................................................................................... 5
SECTION II – Service Providers............................................................................................................................................................................ 16
SECTION III – Condensed Financial Information (CFI).................................................................................................................................. 17
SECTION IV – How to Apply?...................................................................................................................................................................................38
	 A.	 Purchase........................................................................................................................................................................................................ 44
	 B.	 Redemption and Switch............................................................................................................................................................................ 44
	 C.	 Suspension of purchase and redemption of units...................................................................................................................... 44
	 D.	 Suspension of Sale/Switches into the scheme under special circumstances................................................................ 44
SECTION V – Rights of Unitholders of the Scheme.................................................................................................................................... 45
SECTION VI – Investment Valuation Norms for Securities and Other Assets................................................................................ 45
SECTION VII – Procedure and Manner of Recording Investment Decisions..................................................................................... 51
SECTION VIII – Tax & legal & General Information.................................................................................................................................... 51
	 A.	 TAX BENEFITS OF INVESTING IN THE MUTUAL FUND................................................................................................................................. 51
	 B.	 Legal Information...................................................................................................................................................................................... 57
		1.	 Nomination Facility.............................................................................................................................................................................. 57
		2.	 Transfer of Units................................................................................................................................................................................ 57
		3.	 Transmission.......................................................................................................................................................................................... 57
		4.	“On Behalf of Minor” Accounts....................................................................................................................................................... 58
		5.	 Duration of the Scheme..................................................................................................................................................................... 59
		6.	 Procedure and Manner of Winding Up......................................................................................................................................... 59
		7.	 KYC Requirements and Requirements of Prevention of Money Laundering Act....................................................... 59
		 8.	 Pledge of Units for Loans............................................................................................................................................................... 60
		 9.	 Compliance under Foreign Account Tax Compliance Act (FATCA)..................................................................................... 60
		 10.	Ultimate Beneficial Ownership....................................................................................................................................................... 61
		 11.	ACTS DONE IN GOOD FAITH..................................................................................................................................................................... 61
		 12.	POWER TO MAKE RULES.......................................................................................................................................................................... 62
		 13.	POWER TO REMOVE DIFFICULTIES......................................................................................................................................................... 62
	 C.	 General Information................................................................................................................................................................................. 62
		1.	 Inter-Scheme Transfer of Investments..................................................................................................................................... 62
		2.	 Associate Transactions.................................................................................................................................................................... 62
		3.	 Stock Lending by the Mutual Fund................................................................................................................................................ 63
		4.	 Borrowing by the Mutual Fund...................................................................................................................................................... 63
		5.	 Unclaimed Redemption and Dividend Amount............................................................................................................................ 63
		6.	 Documents Available for Inspection........................................................................................................................................... 63
		7.	 Investor Grievances Redressal Mechanism............................................................................................................................. 63
		8.	Website.....................................................................................................................................................................................................64
2
SECTION I – INFORMATION ABOUT
SPONSOR, AMC AND TRUSTEE
COMPANY
A.	 Constitution of DSP BlackRock Mutual
Fund (‘MUTUAL FUND’/’FUND’)
DSP BlackRock Mutual Fund has been constituted as a trust on
December 16, 1996 in accordance with the provisions of the Indian Trusts
Act, 1882. DSP ADIKO Holdings Pvt. Ltd. & DSP HMK Holdings Pvt. Ltd.
(collectively) and BlackRock Inc. (BlackRock) are the Sponsors, and
DSP BlackRock Trustee Company Pvt. Ltd. is the Trustee to the Fund.
The Trust Deed has been registered under the Indian Registration Act,
1908. The Mutual Fund was registered with SEBI on January 30, 1997
under the Registration Code MF/036/97/7.
B.	Sponsor
The Mutual Fund is sponsored by DSP ADIKO Holdings Pvt. Ltd. &
DSP HMK Holdings Pvt. Ltd. (collectively) and BlackRock. DSP ADIKO
Holdings Pvt. Ltd. & DSP HMK Holdings Pvt. Ltd. (collectively) and
BlackRock are the Settlors of the Mutual Fund trust. The Settlors have
entrusted a sum of Rs. 1 lakh to the Trustee as the initial contribution
towards the corpus of the Mutual Fund.
(i)	Brief activities of the Sponsors
(a)	 DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt.
Ltd.
DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt. Ltd.
are companies incorporated in 1983 under the Companies Act,
1956 and are also registered with the Reserve Bank of India as
non deposit taking Non-Banking Finance Companies. These
companies have been functioning as investment companies.
(b)	BlackRock
BlackRock is a premier provider of global investment management
services to institutional and retail clients around the world.
Headquartered in New York, BlackRock serves clients from
offices in 30 countries, maintaining a major presence in North
and South America, Europe, Asia, Australia, and the Middle East
and Africa. With approximately 13,000 employees, BlackRock
offers clients in-depth local knowledge and understanding, while
leveraging the strength of their global presence and infrastructure
to deliver focused investment solutions. It offers investment
solutions through a variety of product structures, including
individual and institutional separate accounts, mutual funds,
the industry-leading iShares®
exchange-traded funds and other
pooled investment vehicles.
Since its founding in 1988, BlackRock has sought to better
serve clients by anticipating and responding to changes and
advancementsintheinvestmentindustry,whilecontinuallyseeking
to broaden and deepen our investment and risk management
capabilities. BlackRock has assets under management of
over US$5.4 trillion at March 31, 2017. Its core business is
in providing diversified investment management services to
institutional and individual investors through various investment
vehicles. Investment management services primarily consist
of the active management of fixed income, cash management
and equity client accounts, the management of a number of
open-end and closed end mutual fund families, and other non-
U.S. equivalent retail products serving the institutional and retail
markets, and the management of alternative funds developed to
serve various customer needs. In addition, BlackRock provides
risk management, strategic advisory and enterprise investment
system services to a broad base of clients worldwide through BlackRock Solutions®
.
(ii) Financial Performance of the Sponsors (Past three years)
Net Worth Total Income Profit after Tax Assets Under Management
Particulars Period INR Crores (In USD Billion) (In INR Billion)
BlackRock # Jan 16-Dec 16 197,735 310,05 21,555 5,148 349,831
Jan 15-Dec 15 189,049 30,934 22,186 4,645 314,186
Jan 14-Dec 14 1,73,313 71,147 20,671 4,652 294,611
DSP Adiko Holdings Pvt.
Ltd
Apr 15-Mar 16 1012 50 21
N.A.
Apr 14-Mar 15 991 75 56
Apr 13-Mar 14 935 72 49
DSP HMK Holdings Pvt.
Ltd.
Apr 15-Mar 16 1031 51 19
Apr 14-Mar 15 1013 78 59
Apr 13 -Mar 14 954 73 51
#
Converted at the RBI reference rate on December 31 of the relevant year.
C.	The Trustee
DSP BlackRock Trustee Company Pvt. Limited (‘Trustee’), through its Board of Directors, shall discharge its obligations as trustee to the Mutual Fund.
The Trustee ensures that the transactions entered into by DSP BlackRock Investment Managers Pvt. Ltd. (‘AMC or DSPBRIM’), are in accordance
with the SEBI (Mutual Funds) Regulations, 1996 (‘Regulations’) and also reviews the activities carried on by the AMC.
3
(i)	 Details of Trustee Directors:
Name Age Qualification Brief Experience
Mr. Shitin D. Desai
Independent Director
70 B. Com. Mr. Shitin Desai is a veteran with more than 40 years of experience in the
banking and financial services sector.
He served as a Consultant to “Bank of America Merrill Lynch.”
Before this he served as an Executive Vice Chairman of “DSP Merrill Lynch
Ltd.” and is one of its Founding Directors.
He is the Chairman and Independent Director on the Board of “Julius Baer
Wealth Advisors (India) Pvt. Ltd.”
HeisalsoanIndependentDirectorontheBoardof“ShardaCropchemLimited.”
He is a Director on the Board of “Piramal Fund Management Pvt. Ltd.”(Real
Estate), and also a Director of “Piramal Glass Ltd.”
He is also a Director on the Board of “Foundation for Promotion of Sports
& Games”, a Non Profit organisation (Section 25) Company which assists
potential athletes to achieve their dream and win Olympic Gold Medals.
He is also a Member of the Advisory Board of ‘Kherwadi Social Welfare
Association’ (KSWA), which is one of the largest NGOs providing livelihoods
to underprivileged youth by making them economically independent through
vocational training.
He was also a member on the Committee on Takeovers appointed by SEBI,
Investor Education and Protection Fund constituted by Ministry of Corporate
Affairs, the RBI Capital Market Committee, Advisory Group of Securities
Market of RBI and Insider Trading Committee.
Mr. S. S. Thakur
Independent Director
87 M.Com., CAIIB Mr. S. S. Thakur was the Chairman of HDFC Bank Ltd., where his
responsibilities included providing non-executive/advisory services relating
to corporate planning, internal audit, inspection, foreign exchange etc. He
was also the Chairman of Central Depository Services (India) Ltd. and serves
on the Board of Directors of various other companies.
He also held the position of Controller of Foreign Exchange, Reserve Bank
of India, from 1982 to 1987. He was also employed with the United Nations
Development Programme as Senior Advisor and was deputed to Bank of
Zambia (Zambia’s Central Bank) at Lusaka, from 1988 to 1993, where he
held the position of Advisor to the Governor, Bank of Zambia.
Ms. Tarjani Vakil
Independent Director
80 M.A. Ms. Tarjani Vakil retired as the Chairman and Managing Director of Export
Import Bank of India in 1996, after 40 years in development banking. She
is the 1st Lady to head a Financial institution in India. She joined IDBI at its
inception in 1965 and worked for 17 years in various departments. She has
been on the Board of Directors of IDBI, LIC, GIC, ECGC, STCI and a number
of private sector. She is currently on the Board of some public companies in
the Finance Sector.
Mr. S. Doreswamy
Independent Director
79 B.Sc., B.L. Mr. S. Doreswamy is a financial consultant, with an experience of about 35
years in commercial banking, preceded by practice as a High court Advocate
for about three years. He started his banking career with Canara Bank and
moved on Dena Bank, where he served for nearly twenty four years, in
various capacities, including as Chairman and Managing Director. His last
assignment was as the Chairman and Managing Director of the Central Bank
of India, one of the largest public sector banks in the country, and during
his highly successful stint of four years there, he steered the bank towards
registering a significant turnaround in its operations and high levels of profit.
He is on the Board of several companies of repute such as CEAT Ltd. and
Future Enterprised Ltd.
4
•	 The Trustee shall be bound to make such disclosures to the unit
holders as are essential in order to keep them informed about
any information, which may have an adverse bearing on their
investments.
•	 The Trustee shall provide or cause to provide such information to
the unit holders and SEBI, as may be specified by SEBI from time
to time.
•	 The Trustee shall act in the best interest of unit holders.
•	 The Trustee, in carrying out its responsibilities under the Trust
Deed and the Regulations, shall maintain arm's length relationship
with other companies, institutions or financial intermediaries or
any body corporate with which it is associated.
•	 A Director of the Trustee shall not participate in the meetings of
the Trustee or in any decision making process in respect of any
investments for the Mutual Fund in which he may be interested.
•	 The Trustee shall abide by the code of conduct specified in the
Regulations.
•	 The Trustee may amend the Trust Deed with the prior approval
of SEBI, and the unit holders where it affects the interest of unit
holders.
•	 The Trustee may, subject to the Regulations, prescribe terms and
make rules for the purpose of giving effect to the provisions of the
schemes with power to the Investment Manager to add to, alter or
amend all or any of the terms and rules that may be framed from
time to time. However, the Trustee may alter/modify/change the
Fundamental Attributes of the schemes or the trust or fees and
expenses payable or any other change which would modify the
schemes or affect the interest of the unit holders, in accordance
with the applicable Regulations from time to time.
(ii)	Responsibilities and Duties of the Trustee
Responsibilities and Duties of the Trustee under the Trust Deed and
the Regulations.
•	 The Trustee has exclusive ownership of the Trust Fund and holds
the same in trust and for the benefit of unit holders.
•	 The Trustee shall ensure that the Mutual Fund and the
schemes floated thereunder and managed by the AMC are in
accordance with the Trust Deed and the Regulations, directions
and guidelines issued by SEBI, the stock exchanges and other
regulatory agencies.
•	 The Trustee shall ensure that the transactions concerning the
Mutual Fund are in accordance with the Trust Deed and the
Regulations.
•	 The Trustee shall ensure that the investment of the Trust Fund
and unit Capital of each scheme is made only in the permitted
securities and within limits prescribed by the Trust Deed, the
Regulations, and the Scheme Information Document of the
scheme concerned.
•	 The Trustee shall hold in safe custody and preserve the properties
of the Mutual Fund and the various schemes of the Mutual Fund.
•	 The Trustee shall ensure that the income due to be paid to
the schemes is collected and properly accounted for and shall
claim any repayment of tax and holding any income received in
trust for the holders in accordance with the Trust Deed and the
Regulations.
•	 The Trustee shall not acquire or allow the AMC to acquire any
asset out of the Trust Fund, which involves assumption of
unlimited liability or results in encumbrance of Trust Fund.
Name Age Qualification Brief Experience
Mr. T. S. Krishna Murthy
Independent Director
77 B.A., B.L., M.Sc. Mr. T. S. Krishna Murthy, a former Chief Election Commissioner of India, has
had a long and distinguished career in the Government of India, spanning
over 36 years. After an initial stint of about 2 years in Bank of India Ltd. as
a probationary officer, he joined the Indian Revenue Service in 1963. He
served the Income Tax department in various capacities and was also on
deputation to Hindustan Shipyard, Visakhapatnam, International Monetary
Fund etc. He was also appointed Secretary, Department of Company Affairs,
Government of India, in 1997. In that capacity he took an active interest in
Investor Protection & Education, apart from giving a push to computerization
& company law reforms. He joined the Election Commission of India in 2000
and was Chief Election Commissioner of India when he supervised the first
Parliament Elections in 2004 with Electronic Voting Machines throughout the
country. He is also serving on the Board of a few Companies in finance sector
& some NGOs mainly relating to Education.
Mr. S.S.N. Moorthy
Independent Director
66 M.A., LL.B., Rank
Holder in M.A. from
Kerala University
Mr. S.S.N. Moorthy was a member of Securities Appellate Tribunal in
Mumbai during the period January 2011 to December 2012. He also served
as Chairman of Board of Central Board of Direct Taxes, New Delhi during
January 2009 to December 2010. During August 2008 to January 2009,
he was a member of Central Board of Direct Taxes, New Delhi and during
July 2006 to August 2008 he served as Director General of Income Tax
(Investigation). During July 1997 to July 2006, he served a position as a
Commissioner at Income Tax Department, Tamil Nadu & Kerala. He is also a
retired officer from Indian Revenue Service
5
•	 The Trustee shall call for a meeting of the unit holders of a scheme, as required by the Regulations for the time being in force, whenever it is
required by SEBI to do so in the interest of the unit holders, or if the Trustee determines to prematurely redeem the units or wind up the scheme.
•	 If any difficulty arises in giving effect to the provisions of the schemes, the Trustee may do anything not inconsistent with such provisions,
subject to the Regulations, which appear to be necessary, desirable or expedient, for the purpose of removing such difficulty.
The Trustee also shall exercise due diligence in the following manner:
(a)	General Due Diligence:
•	 The Trustee shall be discerning in the appointment of the directors on the Board of the AMC.
•	 The Trustee shall review the desirability of continuance of the AMC if substantial irregularities are observed in any of the schemes and
shall not allow the AMC to float new schemes.
•	 The Trustee shall ensure that the trust property is properly protected, held and administered by proper persons and by a proper number
of such persons.
•	 The Trustee shall ensure that all service providers are holding appropriate registrations from SEBI or concerned regulatory authority.
•	 The Trustee shall arrange for test checks of service contracts.
•	 The Trustee shall immediately report to SEBI of any special developments in the Mutual Fund.
(b)	 Specific Due Diligence:
•	 Obtain internal audit reports at regular intervals from independent auditors appointed by the Trustee.
•	 Obtain compliance certificates at regular intervals from the AMC.
•	 Hold meetings of Trustee more frequently.
•	 Consider the reports of the independent auditor and compliance reports of the AMC at the meetings of trustees for appropriate action.
•	 Maintain records of the decisions of the Trustee at their meetings and of the minutes of the meetings.
•	 Prescribe and adhere to a code of ethics by the Trustee, AMC and its personnel.
•	 Communicate in writing to the AMC of the deficiencies and checking on the rectification of deficiencies.
Notwithstanding the aforesaid, the Trustee shall not be held liable for acts done in good faith if they have exercised adequate due diligence
honestly.
(iii)	 Supervisory Role of the Trustee
During the financial year 2016-17 (April to March), the Trustee has held six Board Meetings and during the period April, 2017 to June 2017, the
Trustee has held two meetings. The supervisory role of the Trustee is discharged by receiving continuous feedback from the AMC on matters of
importance, through bi-monthly, quarterly and half yearly reports, and a review of the Mutual Fund’s operation at Board Meetings. In addition, the
Trustee receives feedback and reports on quarterly and six monthly basis from the Independent Auditors appointed by it in accordance with the
Regulations.
D. Asset Management Company
DSP BlackRock Investment Managers Pvt. Ltd. (‘AMC’) is a company incorporated under the Companies Act, 1956 on May 13, 1996, having its
registered office at Mafatlal Centre, 10th Floor Nariman Point, Mumbai – 400 021. The AMC has been appointed as the asset management company
to the Mutual Fund by the Trustee, vide Investment Management Agreement (IMA) dated December 16, 1996, and executed between the Trustee and
the AMC.
(i)	 Shareholding Pattern
	 BlackRock Advisors Singapore Pte. Ltd., a wholly owned subsidiary of BlackRock Inc. holds 40% of the shareholding of the AMC and the balance
60% shares are held by DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt. Ltd.
(ii)	 Other Business Activities
	TheAMC offers non-binding investment advisory services to BlackRock India Equities Fund (Mauritius) Limited and BlackRockAsset Management
North Asia Limited for investment in Indian securities in terms of approval granted by SEBI. The AMC also offers investment advisory services to
DSP BlackRock Investment Managers (Mauritius) Limited, a wholly owned subsidiary of the AMC, which is an asset management company to
an offshore fund based in Mauritius. The AMC also provides non binding investment management advice and trade execution related services
to onshore funds. The AMC also serves as Sponsor to DSP BlackRock Pension Fund Managers Pvt. Ltd. (DSPBRPFMC) as per Pension Fund
Regulatory & Development Authority of India (PFRDA) (Registration of Pension Funds for Private Sector) Guidelines 2012. The AMC shall, in
accordance with SEBI approval, act as Investment Managers to DSP BlackRock Alternative Investment Fund Category III (DSPBRAIF – C - III)
(SEBI registration no. IN/AIF3/13-14/0059). Further, DSP BlackRock Trustee Company Pvt. Ltd., act as Trustees to the DSPBRAIF - C - III. The
AMC has systems in place to ensure that there is no conflict of interest between the aforesaid activities.
6
(iii)	 Details of AMC Directors:
Name Age Qualification Brief Experience
Mr. Hemendra M. Kothari
Associate Director
70 B.Com. Mr. Hemendra Kothari represents the fourth generation of a family of
prominent stockbrokers and was the ex-President of the Bombay Stock
Exchange. He has over 40 years of working experience in the financial
services industry and is currently the Chairman of DSP BlackRock
Investment Managers Private Limited, which is a joint-venture between the
DSP Group and BlackRock, the world’s largest asset management firm.
He was the Founder of DSP Financial Consultants Limited which
later became DSP Merrill Lynch, where he served as Chairman till his
retirement in 2009.
He is a Member of the Governing Council of the National Investment and
Infrastructure Fund (NIIF), which was created by the Government of India,
to maximize economic impact through infrastructure development.
He serves on the Investment Advisory Committee of the Army Group
Insurance Fund.
He is a Member of the Asia Advisory Board of Euromoney Institutional
Investor.
He has also served as a Member on various boards & committees viz The
National Institute of Securities Market (NISM), set up by the Securities and
Exchange Board of India (SEBI), the Corporatisation & Demutalisation of
Stock Exchanges Committee, the Infrastructure Financing, Department
of Economic Affairs (Infrastructure), Ministry of Finance, the Standing
Committee on Money Markets, Reserve Bank of India and the India
Hydrocarbon Vision-2025 committee, set up by the Prime Minister’s
Office, Government of India.
He is a Member of the Indo-UK Roundtable which was established by
The British Foreign & Commonwealth Office and The Ministry of External
Affairs, Government of India.
He is the Founder, Chairman & Managing Trustee of the Wildlife
Conservation Trust (WCT), a non-religious and non-political, not-for-profit
trust. WCT endeavours to strengthen the protection of forest ecosystems
and mitigate climate change. It currently works in 110 national parks and
sanctuaries across 19 states in India and at the heart of its work is the
development of communities who live in and around India’s Protected
Areas. WCT is a Partner in Panthera’s Global Alliance for the conservation
of wild cats and their habitat.
He is a Member of the State Board for Wildlife of Rajasthan under the
Chairmanship of the Chief Minister. He also served as a Member of the
State Board of Maharashtra.
He is also a Member of the National Tiger Conservation Authority (NTCA),
appointed by the Government of India
HeisalsoaMemberoftheAdvisoryCounciloftheGlobalTigerForum(GTF).
He is a Member of The Energy and Resources Institute (TERI) Governing
Council.
He is the proposed India Chairman of The Nature Conservancy, the
formation of which is underway.
He is the founder of The Hemendra Kothari Foundation (HKF), a
philanthropic organization which assists other NGOs, particularly in the
areas of education, healthcare, art, culture, heritage and sports.
He has other interests include travel & sports with a passion for cricket
and football.
Mr. Ranjan Pant
Independent Director
57 B.E. (Hons.) (BITS Pilani),
MBA (Wharton School)
Mr. Ranjan Pant is a global Management Consultant advising CEO/
Boards on Strategy and Change Management. He was a Partner at
Bain & Company, where he led the worldwide Utility Practice. He was
also Director,Corporate Business Development, at General Electric
headquarters. He is an Independent Director in several companies.
7
Name Age Qualification Brief Experience
Dr. Omkar Goswami
Independent Director
60 Masters in Economics
(Delhi School of
Economics), D.Phil.
(Ph.D) from Oxford
Dr. Omkar Goswami is the Founder and Chairman of CERG Advisory Pvt.
Ltd. CERG is the acronym for the Corporate and Economic Research
Group and primarily provides corporate advisory services, consulting
services and research for companies and industries in India and abroad.
He taught and researched economics for 18 years at various universities in
India and abroad. In March 1997 he became the Editor of Business India.
From August 1998 up to March 2004, he was the Chief Economist of the
Confederation of Indian Industry — the apex industry organisation of India.
From 1993 onwards, he has served on several government committees
on corporate governance, bankruptcy and company laws, infrastructure,
tax reforms, and others. He has also been a consultant to the World Bank,
the IMF, the ADB and the OECD. He serves as an Independent Director
on the Boards of Dr. Reddy’s Laboratories Ltd., Crompton Greaves Ltd.,
Hindustan Construction Company Ltd., Ambuja Cements Ltd. and other
companies. He is also a non-executive independent director on the board
of Bajaj Auto Limited
Other than his regular columns for newspapers and magazines, he has
authored three books and over 70 research papers on economic history,
industrial economics, public sector, bankruptcy laws and procedures,
macroeconomic policy, corporate governance, public finance, tax
enforcement and legal reforms.
Mr. Piyush Mankad
Independent Director
75 B.A.(Hon) (Delhi
University),
Masters (History) (Delhi
University), Diploma in
Development Studies
(Development
Economics&
Sociology), University of
Cambridge
Mr. Piyush Mankad is a retired civil servant with a distinguished career
of over forty years in the prestigious Indian Administrative Service, which
he joined in 1964, topping his batch. Some of the important positions
that he has held include Counselor (economic) in the Indian Embassy,
Tokyo; Controller of Capital Issues, Ministry of Finance; Finance
Secretary, Government of India; and Executive Director for India and four
other countries and Board Member, Asian Development Bank, Manila,
which was his last assignment till July 2004. His areas of experience
and expertise include, among others, public finance and policy; capital
market regulation and development; promotion of industry, F.D.I. and
infrastructure; and public administration.
In addition to his Directorship on DSPBR Investment Managers, he has
also been serving as Independent Director on the Boards and Committees
of various reputed companies of Mahindra group. He recently retired as
Independent Director from the various companies of Tata group.
Mr. Uday Khanna
Independent Director
67 B.Com, FCA Mr.Uday Khanna is currently the non-executive Chairman of Bata India
Ltd. He also serves on the Boards of Castrol India Ltd., Pfizer Ltd., DSP
BlackRock Investment Managers Pvt. Ltd. Pidilite Industries Ltd. & Kotak
Mahindra Bank.
He was Managing Director & CEO Lafarge India from July 1, 2005 to July
2011 and subsequently the Non-Executive Chairman till September 24,
2014.He joined the Lafarge Group in Paris on 1st June 2003 as Senior
Vice President for Group Strategy, after a long experience of almost 30
years with Hindustan Lever/Unilever in a variety of financial, commercial
and general management roles both nationally and internationally.
His last position before joining Lafarge, was Senior Vice President
Finance, Unilever - Asia, based in Singapore. He has earlier been on the
Board of Hindustan Unilever as Director –Exports after having served as
Financial Controller and Treasurer of the company. He has also worked
as Vice Chairman of Lever Brothers in Nigeria and General Auditor for
Unilever-North America based in the USA.
He was also the President of the Indo-French Chamber of Commerce &
Industry in 2008 & 2009 and the President of the Bombay Chamber of
Commerce & Industry in 2012-2013. He is the recipient of “Ordre National
du Merite” from the President of the Republic of France for his role in
promoting Indo-French trade relations. He is also the Joint Managing
Trustee & Treasurer of the Indian Cancer Society and is Director on the
Governing Board of the Anglo-Scottish Education Society – Cathedral
School.
8
Name Age Qualification Brief Experience
Ms. Susan L. Wagner
Associate Director
56 BA degree, magna cum
laude, in English and
economics from Wellesley
College, MBA degree
in finance from the
University of Chicago
Ms. Susan L. Wagner Director since 2012, retired as a Vice Chairman
of BlackRock in June 2012. In addition to serving as Vice Chairman,
She has also served as a member of BlackRock’s Global Executive
Committee and Global Operating Committee. She had previously served
as BlackRock’s Chief Operating Officer and Head of Corporate Strategy.
Mr. Ryan David Stork
Associate Director
45 BA Degree in Finance
from the University of
Massachusetts, Amherst
Ryan Stork is BlackRock’s Chairman, Asia Pacific. He is responsible
for all business activities in the region, which includes Greater China,
Japan, Australia, Singapore, India and Korea. He is also a member of
BlackRock’s Global Executive, Global Operating Committees and Global
Talent Sub-Committee.
Prior to moving to Hong Kong, He was the global head of the Aladdin
Business within BlackRock Solutions in New York. Aladdin is BlackRock’s
fully integrated investment management technology platform. Within
the Aladdin Business, he was responsible for client relationships and
business development as well as implementation and delivery of Aladdin
services and its third-party investment accounting business.
Prior to taking over the Aladdin Business, he was deputy head of
BlackRock’s Europe, Middle East and Africa institutional business
from 2005 to 2008. Based in London, he was responsible for business
development and client service across the region. From 1999 to 2005, he
worked within the institutional business leading the client service effort for
BlackRock’s Financial Institutions Group.
Before joining BlackRock in 1999, he was a portfolio manager at
PennCorp Financial Group, a life insurance holding company, where he
had oversight over asset allocation and external asset managers. He
began his career in investments at Conning Asset Management. He is a
member of the New York Society of Financial Analysts. He earned a BA
degree in finance from the University of Massachusetts, Amherst
9
Name Age Qualification Brief Experience
Mr. S. Ramadorai
Independent Director
73 B.Sc. from Delhi
University
BE in Electronics and
Telecommunications from
Indian Institute of Science,
Bangalore
MS in Computer Science
from University of
California
Mr. Ramadorai has been in public service since February 2011. Mr.
Ramadorai is currently Chairman of AirAsia (India), Tata Advanced
Systems Limited, Tata Technologies Limited and Tata STRIVE, which is
the Tata Group’s CSR skill development initiative that aims to address the
pressing national need of skilling youth for employment, entrepreneurship
and community enterprise. Recently, in March 2016, he retired as the
Chairman of the Bombay Stock Exchange (BSE Limited) after having
served for a period of 6 years on the board. He continues to be an
Independent Director on the Boards of Hindustan Unilever Limited, Asian
Paints Limited and Piramal Enterprises Limited.
He was Chairman of National Skill Development Agency (NSDA) in
the rank of a Cabinet Minister. He was also Chairman of the National
Skill Development Corporation (NSDC), a one of its kind, Public
Private Partnership in India, under the Ministry of Skill Development &
Entrepreneurship.
He took over as the CEO of Tata Consultancy Services (TCS) in 1996
when the company’s revenues were at $ 155 million and since then led
the company through some of its most exciting phases, including its going
public in 2004. In October 2009, he retired as CEO, leaving a $ 6 billion
global IT services company to his successor. He was then appointed as
the Vice Chairman and held office until he retired in October 2014, after
an association of over 4 decades with the company.
Given his keen passion to work for the social sector and community
initiatives, he also serves as the Chairman on the Council of Management
at the National Institute of Advanced Studies (NIAS) and the Chairman
of the Governing Board at the Tata Institute of Social Sciences (TISS).
He is also the President of the Society for Rehabilitation of Crippled
Children (SRCC) which is building a super speciality children’s hospital
in Mumbai. In recognition of Ramadorai’s commitment and dedication
to the IT industry he was awarded the Padma Bhushan (India's third
highest civilian honour) in January 2006. In April 2009, he was awarded
the CBE (Commander of the Order of the British Empire) by Her Majesty
Queen Elizabeth II for his contribution to the Indo-British economic
relations. In 2016, he was also awarded The Economic Times - Lifetime
Achievement Award for his glorious contribution to Tata Consultancy
Services. Ramadorai is a well recognized global leader and technocrat
who has participated in the Indian IT journey from a mere idea in 1960’s
to a mature industry today.
Ramadorai captured this exciting journey in a wonderfully personalized
book titled 'The TCS Story...and beyond' which was published in 2011 and
remained on top of the charts for several months
Mr. David Graham
Associate Director
62 Chartered Accountant David Graham, Senior Advisor to BlackRock in the Asia Pacific. He was
appointed to this position in April 2016.
David spent 22 years with BlackRock including his years with Merrill Lynch
Investment Managers and Mercury Asset Management. His last role was
Head of the Family Offices, Charities and Endowments business in EMEA.
Between2009and2013,DavidwasresponsibleforBlackRock'sjointventuresin
India and China and responsible for the coverage ofAsian institutions in London.
Previously, he had been head of client relationships in the EMEA Pacific region
having been involved with the firm's business development in Asia and Europe
since joining the firm in 1992. During this time, he also served on the boards of
different subsidiary companies in Asia and Europe as well as on the boards of
joint ventures in India, China and Thailand.
David was previously an Asian investment manager with Lazards in
London, Hong Kong and Tokyo and between 1977 and 1984 was with
Deloitte Haskins & Sells (now PwC), in London and Sydney. He qualified
as a Chartered Accountant in 1981.
He currently also holds position of a Director in Templeton Emerging
Markets Investment Trust Plc.
Mr. Andrew Reynolds
Associate Director
53 BSc degree in engineering
and Mcom in business
management at Pretoria
University in South Africa.
Post graduate in BA from
Johannesburg University
Mr. Reynolds has extensive experience in the financial services industry.
Before joining BlackRock in 2014, from July 2000 to March 2013, he served
as Global COO and Chief Executive Officer Asia of CLSA. He was an
executive director of the main board of CLSA and served on all the boards
of CLSA across Asia, USA and London. Mr. Reynolds also played an
integral part in the negotiation of the sale of CLSA to CITICS. Prior to that,
he was the country manager of Korea for CLSA. Before coming to Asia,
Mr. Reynolds was a managing director at First Rand Bank in South Africa.
10
(iv)	 Duties and Responsibilities of the Asset Management Company (AMC)
Under the Regulations and the Investment Management Agreement, the AMC has, inter-alia, the following duties andresponsibilities:
a.	 The AMC shall take all reasonable steps and exercise due diligence to ensure that the investment of funds pertaining to any Scheme is not
contrary to the provisions of the Regulations and the Trust Deed.
b.	 The AMC shall exercise due diligence and care in all its investment decisions as would be exercised by other persons engaged in the same
business.
c.	 The AMC shall obtain, wherever required under these regulations, prior in-principle approval from the recognized stock exchange(s) where
units are proposed to be listed.
d.	 The AMC shall be responsible for the acts of commissions or omissions by its employees or the persons whose services have been procured
by the AMC.
e.	 The AMC shall submit quarterly reports on the functioning of the Scheme and the compliance with Regulations to the Trustee or at such
intervals as may be required by the Trustee or SEBI.
f.	 The Trustee at the request of the AMC may terminate the assignment of the AMC at any time. Provided that such termination shall become
effective only after the Trustee has accepted the termination of assignment and communicated its decision in writing to the AMC.
g.	 Notwithstanding anything contained in any contract or agreement or termination, the AMC or its directors or other officers shall not be
absolved of any liability to the Mutual Fund for its / their acts of commission or omissions, while holding such position or office.
h.	 The AMC shall not through any broker associated with the Sponsor, purchase or sell securities, which is average of 5% or more of the
aggregate purchases and sale of securities made by the Mutual Fund in all its Scheme or as may be prescribed under SEBI (MF) Regulations.
	 Provided that for the purpose of this clause, aggregate purchase and sale of securities shall exclude sale and distribution of Units issued by the
Mutual Fund. Provided further that the aforesaid limit of 5% shall apply for a block of any three months or as may be prescribed under Regulations.
i.	 The AMC shall not purchase or sell securities through any broker (other than a broker referred to in clause above) which is average of 5% or
more of the aggregate purchases and sale of securities made by the Mutual Fund in all its Scheme or as may be prescribed under Regulations
unless the AMC has recorded in writing the justification for exceeding the limit of 5% or as may be prescribed under Regulations and reports of
all such investments are sent to the Trustee on a quarterly basis. Provided that the aforesaid limit shall apply for a block of any three months
or as may be prescribed under Regulations.
j.	 The AMC shall not utilise the services of the Sponsor or any of its associates, employees or their relatives, for the purpose of any securities
transaction and distribution and sale of securities. Provided that the AMC may utilise such services if disclosure to that effect is made to the
Unit holders and the brokerage or commission paid is also disclosed in the half yearly and annual accounts of the Mutual Fund.
	 Provided further that the Mutual Fund shall disclose at the time of declaring half yearly and yearly results:
•	 any underwriting obligations undertaken by the Scheme for the Mutual Fund with respect to issue of securities of associate companies;
•	 devolvement, if any;
•	 subscription by the Scheme in the issues lead managed by associate companies;
•	 subscription to any issue of equity or debt on private placement basis where the Sponsor or its associate
•	 companies have acted as arranger or manager.
k.	 The AMC shall file with the Trustee the details of transactions in securities by the key personnel of the AMC in their own names or on behalf
of the AMC, and shall report to SEBI, as and when required by SEBI.
l.	 In case the AMC enters into any securities transactions with any of its associates a report to that effect shall be sent to the Trustee at its next
meeting.
m.	 In case any company has invested more than 5 per cent of the Net Asset Value of a Scheme or as may be prescribed under Regulations, the
investment made by that Scheme or by any other Scheme in that company or its subsidiaries shall be brought to the notice of the Trustee by the
AMC and be disclosed in the half yearly and annual accounts of the respective Scheme with justification for such investment. The said disclosure
will be made provided the latter investment has been made within one year of the date of the former investment, calculated on either side.
n.	 The AMC shall file with the Trustee and SEBI:-
•	 detailed bio-data of all its directors alongwith their interest in other companies within fifteen days of their appointment;
•	 any change in the interest of directors every six months; and
•	 a quarterly report to the Trustee giving details and adequate justification about the purchase and sale of the securities of the group
companies of the Sponsor or the AMC as the case may be by the Mutual Fund during the said quarter.
o.	 Each director of the AMC shall file with the Trustee details of his transactions or dealings in securities of such value on a periodical basis as
may be specified under the Regulations from time to time.
p.	 The AMC shall not appoint any person as key personnel who has been found guilty of moral turpitude or convicted of any economic offence
or involved in violation of securities laws.
q.	 The AMC shall appoint registrars and share transfer agents who are registered with SEBI.
	 Provided if the work relating to the transfer of Units is processed in-house, the charge at competitive market rates may be debited to the
Scheme and for rates higher than the competitive market rates, prior approval of the Trustee shall be obtained and reasons for charging
higher rates shall be disclosed in the annual accounts.
r.	 The AMC shall abide by the Code of Conduct as specified in the Regulations.
s.	 The AMC shall -
•	 not act as a Trustee of any mutual fund;
•	 not undertake any other business activities except activities in the nature of portfolio management services, investment management and
advisory services to domestic and offshore funds, pension funds, provident funds, venture capital funds, management of insurance funds,
financial consultancy and exchange of research on commercial basis if any of such activities are not in conflict with the activities of the
Mutual Fund without the prior approval of the Trustee and SEBI. Provided that the AMC may itself or through its subsidiaries undertake
such activities if it satisfies SEBI that the key personnel of the AMC, the systems, back office, bank and securities accounts are segregated
activity wise and there exist systems to prohibit access to inside information of various activities. Provided further thatAMC shall meet capital
adequacy requirements, if any, separately for each such activity and obtain separate approval, if necessary under the relevant regulations;
11
•	 not invest in any of its Scheme unless full disclosure of its intention to invest has been made in the Scheme Information Document (SID);
	 Provided that the AMC shall not be entitled to charge any fees on its investment in that Scheme;
	 – not acquire any assets out of theTrust Fund which involves the assumption of any liability which is unlimited or which may result in encumbrance
of the Scheme property in any way.
t.	 The Managing Director of the AMC shall ensure that the Mutual Fund complies with all the provisions of Regulations, 1996 and the guidelines
or circulars issued in relation thereto from time to time and that the investments made by the fund managers are in the interest of the unit
holders and shall also be responsible for the overall risk management function of the Mutual Fund.
u.	 The AMC for each scheme shall keep and maintain proper books of account, records and documents, for each scheme so as to explain its
transactions and to disclose at any point of time the financial position of each scheme and in particular give a true and fair view of the state of
affairs of the Fund and intimate to the SEBI the place where such books of account, records and documents are maintained.
The AMC shall maintain and preserve for a period of eight years its books of account, records and documents.
(v)	 Information on Key Personnel and Employees of the AMC, Personnel of Investment Department (involved in Equity Research and Fund
Management) and relevant experience
Name Designation Age Qualifications
Total no. of years
of Experience
Brief Experience
Mr. Kalpen Parekh President 43 MMS (Finance),
BE Chemical
Over 19 years in
Sales & Distribution,
Asset Management
Treasury
From May 26, 2017 onwards : President, DSPBRIM
From February 2017 to May 25, 2017: Joint President,
DSPBRIM
January 2016 to January 2017 : Managing Director,
IDFC Asset Management Company Limited
December 2010 to January 2016: Chief Executive
Officer, IDFC Asset Management Company Limited
From February 2008 to October 2010 : Head - Sales
& Distribution, Birla Sun Life Asset Management
Company Limited
From 1999 to 2008: Joint Head – Retail Sales &
Distribution, ICICI Prudential Asset Management
Company Limited
From 1998 to 1999: Dealer, Money Market, L&T
Finance
Mr. Ramamoorthy
Rajagopal
Chief Operating
Officer
49 B.Com. ICWA,
CFA (ICFAI)
Over 23 years
of experience
in Finance and
Operations
From April 21, 2017 to present : Chief Operating
Officer, DSPBRIM
From March 2002 to April 20, 2017: DSPBRIM –
joined as Chief Financial Officer, EVP and Chief
Administrative Officer.
From April 1996 to February 2002: DSP Merrill
Lynch Limited – worked in core finance and product
finance as Manager to Vice President.
Mr. Pankaj Sharma Chief Investment
Officer - Fixed Income
47 B.E. (Comp.
Engg.),
PGDBM (XLRI,
Jamshedpur)
More than 23
years of global
and regional
experience in asset
management,
investment banking
and retail banking
businesses across
diverse financial
institutions.
May 26, 2017 onwards : Chief Investment Officer
- Fixed Income, DSPBRIM
Jun 15, 2016 till May 25, 2017: DSP BlackRock as
Head of Fixed Income
Jan-07 till Jun 14, 2016: DSP BlackRock as Head
Risk Management & Business Development
Jan-05 to Dec-06: DSP BlackRock as Head Risk
Management & New Products
Jun-03 to Dec-04: DSP BlackRock as
Risk Manager
Jun-02 to May-03: Infosys Technologies as
Head of Pre-Sales and Product Evangelist for
Treasury Product
Apr-93 to Apr-02: Citibank as Division Market Risk
and Treasury Products Manager for Latin America
12
Name Designation Age Qualifications
Total no. of years
of Experience
Brief Experience
Ms. Aditi Kothari Head - Sales and
Marketing
40 Bachelor of
Science in
Economics,
Wharton
School,
University of
Pennsylvania
and MBA
from Harvard
Business
University
Over 12 years in
Mutual Fund industry
From October, 2015 to Present: DSPBRIM - Head -
Sales and Marketing
From January, 2014 to September, 2015 :DSPBRIM
- Co-Head Marketing & E-Business
From October 01, 2011 to December 31, 2013
:DSPBRIM - Business Head – Retail Relationship &
Co-Head Marketing
From September 2007 - September, 2011 -
DSPBRIM - Sr. Vice President, Business Head -
Retail Relationship.
From January 2005 to July 2005 – Vice President
-CorporateStrategy,Planning&BusinessDevelopment,
DSP Merrill Lynch Fund Managers Limited
From August 2003 to December 2004 - Assistant
Vice President- Corporate Strategy, Planning &
Business Development, DSP Merrill Lynch Fund
Managers Limited
From January 2003 To July 2003 - Assistant Vice
President- Corporate Strategy, Planning & Business
Development,DSPMerrillLynchFundManagersLimited
FromJanuary2000toDec2002–Manager-Corporate
Strategy, Planning & Business Development,
DSP Merrill Lynch Fund Managers Limited
Mr. Gaurav Nagori Head – Client
Response &
Operations
41 B.Com. ACA Over 18 years
of experience in
the Mutual Fund
industry
From June 30, 2017 to Present DSPBRIM : Sr. Vice
President, Head - Client Response & Operations
and Chief Financial Officer
From January 2009 to June 29, 2017: DSPBRIM
- Sr. Vice President and Head - Client Response
& Operations. From January 2006 - January
2009: DSPBRIM - Vice President & Head - Client
Response & Operations. From December 2003 to
December 2005:
DSPBRIM – joined as AVP Client Response &
Operations.
From September 1999 to November 2003: Franklin
Templeton Asset Management India (P) Ltd. worked
in Transfer Agency, Customer Service, Operations
and Projects as Manager toAssistant Vice President.
From March 1998 to September 1999: JM Financial
Asset Management India (P) Ltd. Worked in fund
accounting, compliance and investor services as a
manager.
Mr. Anup
Maheshwari
Chief Investment
Officer - Equities
46 B.Com. PGDM Over 22 years
experience in
Equity Research
From May 26, 2017 onwards : Chief Investment
Officer – Equities - DSPBRIM.
From September 1, 2006 till May 25, 2017–
DSPBRIM - joined as Head – Equities & Corporate
Strategy
From December 2005 to April 2006 – Chief
Investment Officer, HSBC Asset Management.
From July 1997 to November 2005 – Served as
Local sub–advisor to Merrill Lynch India Equities
Fund (Mauritius) Limited (the Offshore Fund) and
appointed as a Fund Manager for Equity related
schemes in April 2001.
Dr. Pritesh
Majmudar
Head - Legal &
Compliance
40 B.Com, LLM,
Company
Secretary, Ph.D
(Law), PGDSL
- Government
Law College,
Mumbai
Over 16 years of
experience in the
field of law and
compliance
From December 2007 to present: DSPBRIM – joined
as Manager – Law & Compliance and presently
Senior Vice President Compliance Officer &
Company Secretary, From March 2004 to November
2007: Morgan Stanley Advantage Services Pvt. Ltd.
– worked in law and compliance department as
Senior Associate and Company Secretary.
13
Name Designation Age Qualifications
Total no. of years
of Experience
Brief Experience
Ms. Aparna Karnik Senior Vice President,
Head - Risk &
Quantitative Analysis
39 B.Com, M.M.S.
(Mumbai
University)
Over 13 years of
experience in credit
research and risk
management
From May 2010 to present: DSPBRIM – joined as
AVP, Risk & Quantitative Analysis, presently Head
– Risk & Quantitative Analysis
From April 2007 to May 2010: CRISIL Ltd, Senior
Manager, Corporate & Infrastructure Ratings
From August 2004 to March 2007: CRISIL Ltd,
Manager, Structured Finance Ratings
Mr. Apoorva Shah Executive Vice
President
53 B.Com. PGDM
(IIM
Ahmedabad)
Over 25 years
of experience
in Banking and
Investment
From January 2009 to present: Exec. Vice President,
Investments - DSPBRIM
From April 06 to December 08: Sr. Vice President,
Investments - DSPBRIM
From1998toMarch2006-PortfolioAdvisorandHead
of Products, GPC India, DSP Merrill Lynch Limited.
Mr. M.
Suryanarayanan
Fund Manager 32 B.E.,
PGDM (IIM
Ahmedabad)
Over 8 years of
experience
February 2014 till date: DSPBRIM – Vice President,
Equity Investments July 2011 – January 2014 –
DSPBRIM – Associate Vice President, Product
Management May 2009 – July 2011 - Anand Rathi
Financial Services Ltd – Associate Vice President,
Wealth Management Products May 2008 – Apr 2009
- Anand Rathi Financial Services Ltd – Associate,
Wealth Management Sales.
Mr. Harish Zaveri Fund Manager 49 B.Com &
Diploma of
Business
Finance (ICFAI,
Hyderabad).
Over 21 years of
experience
From July 11, 2011 to present: DSPBRIM – Senior
Vice President
From February 2007 to July 2011: Vice President –
Research - Deutsche Bank AG - Equities
From October, 2005 to February, 2007: Analyst -
HSBCSecuritiesandCapitalMarkets(India) Pvt.Ltd.
From March, 2001 to October, 2005: Senior Vice
President–EquityResearch-EdelweissSecuritiesLtd.
Mr. Vinit Sambre Fund Manager 42 B.Com, FCA Over 18 years
experience
January 2010 to present: Senior Vice President
- DSPBRIM. July 2007 to Dec 2009 - Asst. Vice
President -DSPBRIM November 2005 to June 2007
- Assistant Vice President - Global Private Client
with DSP Merrill Lynch Limited December 2002 to
October 2005 - Sr. Manager-Investment Advisory
Services - IL & FS Investsmart Ltd. June 2000 to
December 2002 – Manager - Equity Research &
Investment - Unit Trust of India Investment Advisory
Services Ltd. March 1999 to May 2000 Worked
-Equity Research Analyst - Kisan Ratilal Choksey
Shares & Securities Pvt. Ltd. April 1998 to February
1999 - Analyst with Credit Rating Information
Services of India Limited (CRISIL) on retainership
basis.
Mr. Atul Bhole Fund Manager 38 M.M.S.
(Finance-
JBIMS), CA
Exams - Clear,
B.Com.
Over 10 Years of
experience
From May 2016 to present: Vice President - DSPBRIM.
From April 2011 to April 2016: Fund Manager –Tata Asset
Management Ltd.
From February 2007 to March 2011: Equity Research
Analyst- Tata Asset Management Ltd.
From November 06 to February 2007: Equity Research
Analyst – JP Morgan Services (India) Pvt. Ltd.
From June 2005 to October 2006: Equity Research Analyst
– State Bank of India (Treasury).
14
Name Designation Age Qualifications
Total no. of years
of Experience
Brief Experience
Mr. Mayur Patel Fund Manager 36 Chartered
Accountant
(CA), B.Com
CFA
Charterholder
Over 10 Years of
experience
From September 2013 to present: Vice President -
DSPBRIM.
From December 2009-August 2013: Senior Equity
Research Analyst – Spark Capital Advisors (Pvt) Ltd
From November 2007 to November 2009: Offshore
Associate - CRISIL, IREVNA.
From January 2005- October 2007: Manager, Finance
– Tata Motors Ltd.
Mr. Suketu Mehta Equity Dealer 46 B.Com. Over 20 years of
experience in stock
broking
From December 2004 to present – DSPBRIM: Vice President, Equity.
From January 2003 to December 2004 – DSP Merrill Lynch
Limited: Dealer, Equity.
From January 2002 to January 2003 – HDFC Securities:
Sales Trader, Equity.
From October 2000 to November 2001 – W.I. Carr Securities:
Sales Trader, Equity.
From January 1994 to September 2000 – LKP Securities Ltd.:
Sales Trader, Equity
Mr. Chirag Darji Equity Dealer 38 B.Com, ACA Over 11 years of
experience
From January 2010 to Present: Assistant Vice
President, Investments – Equity at DSPBRIM.
From February 2008 to December 2009: transferred
to Investments – Equity at DSPBRIM.
From July 2006 to February 2008: Manager, Fund
Administration at DSP Merrill Lynch Limited.
From March, 2005 to June, 2006: Management Trainee,
Fund Administration at DSP Merrill Lynch Limited.
Mr. Laukik Bagwe Fund Manager 40 B.Com.,
PGDBA
(Finance)
Over 15 years of
experience in Fixed
Income Market
From November 2007 to Current: Vice President -
DSPBRIM.
From November 2003 to October 2007 – Derivium
Capital & Securities Pvt. Ltd. – Head Fixed Income
Trading – SLR & NONSLR Broking.
From June 2000 to October 2003 – Birla Sunlife
Securities Ltd. – Manager - SLR & NONSLR Broking.
Mr. Rohit K
Singhania
Fund Manager 40 B.Com, MMS
(Finance)
Over 16 years
experience in
Equity Research
From September, 2005 to current: Senior Vice
President - DSPBRIM.
Joined as Portfolio Analyst in firm’s PMS division.
Transferred to Equities Investment team in June
2009 as Research Analyst.
Previously, he was with HDFC Securities Limited as
a part of its Institutional Equities Research Desk. He
spent 13 months at HDFC Securities as Sr. Equity
Analyst.
Prior to HDFC Securities, he was employed with
IL&FS Investsmart Limited as an Equity Analyst.
Mr. Mehul Jani Vice President 36 CFA, MSc
Banking and
International
Finance,
Bachelor of
Management
Studies
Over 12 years
experience
From October 1, 2008 to current: Vice President
DSPBRIM – Analyst on the Equities team.
From September 2004 to June 2008 -
Associate, Morgan Stanley, London
Exotic product valuations and fund derivatives
trading
15
Name Designation Age Qualifications
Total no. of years
of Experience
Brief Experience
Mr. Jay Kothari Fund Manager 36 MBA (Finance)
– Mumbai
University
Bachelor in
Management
Studies
(Mumbai
University)
Over 13 years
experience
From 2010 to present – Vice President in
Equity Investments and a Product Strategist at
DSPBRIM
From 2005 to 2010 – Mumbai Banking Sales
Head at DSPBRIM
From 2002 to 2003 - Priority Banking division at
Standard Chartered Bank
Mr. Vivek Ved Fund Manager 39 B.Com Over 18 years expe-
rience
From 2006 to present:
DSPBRIM - AVP Fixed Income, 7 years experience
on the fixed income trading desk
From 1997-2006:
DSPBRIM – Manager Marketing.
Mr. Kedar Karnik Fund Manager 36 MMS (Finance),
BE (Electronics
& Telecommuni-
cations)
Over 11 years
experience
From July 2016 to present – Vice President –
DSPBRIM.
From September 2012 to June 2016, Fund Man-
ager – Fixed Income, Axis Asset Management
Company Ltd.
From July 2008 to September 2012, Fund Manager
– Fixed Income, HSBC Asset Management (India)
Pvt. Ltd.
From September 2005 to July 2008, Manager –
Ratings, CRISIL Ltd.
Mr. Vikram Chopra Fund Manager 39 B.Com.
(HONS)
PGDM (MBA)
Over 15 years
experience
From July 2016 to present – Vice President –
DSPBRIM.
From November 2012 – May 2016 – Fund Man-
ager, L&T Mutual Fund
From June 2006– November 2012 – Fund Man-
ager, Fidelity Mutual Fund
From August 2002 – June 2006 – Manager - IDBI
Bank
From June 2001 – August 2002 – Manager - Axis
Bank
Mr. Karan
Mundhra
Fixed Income -
Dealer
27 B.Com.
Chartered
Accountant
(CA)
Over 4 years
experience
From July 2016 to present –Dealer, Fixed Income
– DSPBRIM.
From February 2016 to July 2016 –Manager –
Fixed Income - DSPBRIM
From April 2012 to January 2016 – Manager -
Fund Accounting – DSPBRIM
Ms. Gauri Sekaria Fund Manager 34 Bachelor of
Business
Management
( Finance)
Msc.
International
Securities,
Investment &
Banking
FRM
11 years From January 2017 to present – Fund Manager,
Exchange Traded Fund– DSPBRIM.
From August 2011 to November 2016 - Executive
Director, Goldman Sachs Asset Management India
Ltd.
From September 2005 to August 2011 - Assistant
Vice President – Investments, Benchmark Asset
Management India Private Ltd.
16
SECTION II – SERVICE PROVIDERS
Service provider Name Address SEBI Regn. No.
Custodian
Citibank N.A. Securities & Issuer Services
First International Financial Centre
(FIFC), 11th Floor, Plot Nos. C 54 and
C55, G Block, Bandra Kurla Complex,
Bandra East, Mumbai 400051
IN/CUS/004
Transfer Agent /Registrar/Dividend paying
Agent (‘Registrar’)#
Computer Age Management Services
(Private) Limited
Rayala Towers, 7th Floor - Tower I
No 158 Anna Salai
Chennai - 600 002.
INR000002813
Statutory Auditor
S. R. Batliboi & Co LLP 14th Floor, The Ruby, 29 Senapati Bapat
Marg, Dadar (West), Mumbai – 400 028
N.A.
Legal Counsel
Wadia Ghandy & Co. N. M. Wadia Buildings, 123, Mahatma
Gandhi Road, Mumbai 400 001, India.
N.A.
Fund Accountant
Citibank N.A. Securities & Issuer Services
First International Financial Centre
(FIFC), 11th Floor, Plot Nos. C 54 and
C55, G Block, Bandra Kurla Complex,
Bandra East, Mumbai 400051
IN/CUS/004
Collecting Banker
Citibank N.A. Securities & Issuer Services
First International Financial Centre
(FIFC), 11th Floor, Plot Nos. C 54 and
C55, G Block, Bandra Kurla Complex,
Bandra East, Mumbai 400051
INBI00000037
HDFC Bank HDFC Bank Limited, HDFC Bank House,
Senapati Bapat Marg, Lower Parel (W),
Mumbai - 400013
INBI00000063
The above list of Collecting Banker is indicative and not exhaustive. The AMC reserves the right to change/modify the list of collecting bankers and
appoint other banks as collecting bankers from time to time subject to such banks being registered with SEBI as Collecting Bankers.
#
	The Boards of AMC and Trustee have ensured that the Registrar has adequate capacity to discharge responsibilities with regard to processing of
applications and dispatching unit certificates to unit holders within the time limit prescribed in the Regulations and also has sufficient capacity to
handle investor complaints.
17
Sr.
No.
Scheme Name DSP BlackRock Global Allocation Fund
Date of Allotment 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.2831 *10.3537 - *10.3643 *10.3933 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *10.2831 *10.3537 - *10.3643 *10.3933 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.8398 10.3823 10.3710 10.9529 10.4641 10.4105
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 10.8398 10.3823 10.3710 10.9529 10.4641 10.4105
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 3.14% 2.36% NA 3.55% 2.86% NA
5 Absolute Return (Growth Option) NA NA 3.71% NA NA 4.11%
6 Benchmark Returns 5.83% 5.97% 2.50% 5.83% 5.97% 2.50%
7 Name of Benchmark adopted "36% S&P 500 Composite; 24% FTSE World (ex-US); 24% ML US Treasury
Current 5 Year; 16% Citigroup Non-USD World Government Bond Index"
8 Net Assets end of Period (Rs. Crs) 32.77 37.00 48.35 7.24 7.37 6.62
9 Ratio Recurring Expenses to
Net Assets
2.13% 2.08% 2.07% 1.88% 1.70% 1.45%
10 Standard Benchmark Name Nifty 50 Nifty 50 Nifty 50 Nifty 50 Nifty 50 Nifty 50
11 Standard Benchmark Returns 5.94% -1.21% 7.60% 5.94% -1.21% 7.60%
* Refers to Computed NAV.
SECTION III – CONDENSED FINANCIAL INFORMATION (CFI)
Historical Per Unit Statistics is presented scheme wise for all the schemes launched by DSP BlackRock Mutual Fund during the last three fiscal years (excluding
redeemed schemes) for each of the last three fiscal years.
18
Sr.
No.
Scheme Name DSP BlackRock Constant Maturity 10Y G-Sec Fund
Date of Allotment 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.7055 *10.9068 - *11.7498 *10.9208 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend *10.3670 *10.2867 - *10.3984 *10.2863 -
Quarterly Dividend *10.4050 *10.3081 - *10.4060 *10.3087 -
Dividend *10.3948 *10.3078 - *10.3958 *10.3088 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend 1.298999 0.651300 0.599299 1.350998 0.583600 0.612002
Quarterly Dividend 1.114600 0.641800 0.590400 1.195101 0.660701 0.275100
Dividend 1.169400 0.666000 0.598000 1.198200 0.693700 0.610900
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 13.1154 11.7031 10.9047 13.1979 11.7474 10.9186
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend 10.2623 10.3650 10.2847 10.2675 10.3635 10.2842
Quarterly Dividend 10.5030 10.4030 10.3060 10.4422 10.4038 10.3066
Dividend 10.4730 10.3928 10.3057 10.4741 10.3937 10.3067
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 11.40% 10.96% NA 11.68% 11.24% NA
5 Absolute Return (Growth Option) NA NA 9.05% NA NA 9.19%
6 Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86%
7 Name of Benchmark adopted CRISIL 10 Year Gilt Index
8 Net Assets end of Period (Rs. Crs) 5.65 4.24 4.83 120.43 47.39 60.09
9 Ratio Recurring Expenses to
Net Assets
0.48% 0.47% 0.48% 0.23% 0.22% 0.23%
10 Standard Benchmark Name CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86%
* Refers to Computed NAV.
19
Sr.
No.
Scheme Name DSP BlackRock 3 Years Close Ended Equity Fund
Date of Allotment 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth 9.9390 10.3650 - 9.9920 10.3830 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 9.9390 10.3650 - 9.9920 10.3830 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 13.8980 9.9020 10.2200 14.0200 9.9540 10.2380
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 13.8980 9.9020 10.2200 14.0200 9.9540 10.2380
Unclaimed Dividend Upto 3 years - - 0.0000 0.0000 0.0000 0.0000
Unclaimed Dividend Beyond 3 years - - 0.0000 0.0000 0.0000 0.0000
Unclaimed Redemption Upto 3 years - - 0.0000 0.0000 0.0000 0.0000
UnclaimedRedemptionBeyond3years - - 0.0000 0.0000 0.0000 0.0000
4 Annualised Return (Growth Option) 15.09% -0.73% NA 15.52% -0.34% NA
5 Absolute Return (Growth Option) NA NA 2.20% NA NA 2.38%
6 Benchmark Returns 6.85% -4.31% 1.94% 6.85% -4.31% 1.94%
7 Name of Benchmark adopted NIFTY 500 Index
8 Net Assets end of Period (Rs. Crs) 911.60 649.49 670.36 11.33 8.04 8.27
9 Ratio Recurring Expenses to
Net Assets
2.61% 2.65% 2.76% 2.26% 2.30% 2.27%
10 Standard Benchmark Name Nifty 50
11 Standard Benchmark Returns 3.34% -6.71% -0.04% 3.34% -6.71% -0.04%
* Refers to Computed NAV.
20
Sr.
No.
Scheme Name DSP BlackRock Ultra Short Term Fund
Date of Allotment 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.9464 *10.0828 - *10.9871 *10.0850 -
Daily Dividend *10.0506 *10.0423 - *10.0434 *10.0436 -
Weekly Dividend *10.0421 *10.0766 - *10.0434 *10.0784 -
Monthly Dividend *10.2168 *10.0828 - *11.2943 *11.1347 -
Quarterly Dividend *10.0819 *10.0828 - *10.0838 *10.0850 -
Dividend - - - - - -
2 Dividends (Rs.) Daily Dividend 0.742465 0.817177 0.040520 0.781161 0.860778 0.041352
Weekly Dividend 0.749386 0.860339 0.006244 0.787790 0.896169 0.006591
Monthly Dividend 0.780199 0.700008 - 0.897199 0.799299 -
Quarterly Dividend 0.747599 0.843600 - 0.780300 0.880600 -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.8227 10.9443 10.0808 11.9077 10.9849 10.0828
Daily Dividend 10.0835 10.0487 10.0402 10.0709 10.0414 10.0414
Weekly Dividend 10.0665 10.0402 10.0745 10.0654 10.0414 10.0762
Monthly Dividend 10.2261 10.2149 10.0808 11.3075 11.2920 10.0828
Quarterly Dividend 10.1175 10.0800 10.0807 10.1226 10.0818 10.0828
Dividend - - - - - -
Unclaimed Dividend Upto 3 years 0.0000 - - - - -
Unclaimed Dividend Beyond 3 years 0.0000 - - - - -
Unclaimed Redemption Upto 3 years 0.0000 - - - - -
UnclaimedRedemptionBeyond3years 0.0000 - - - - -
4 Annualised Return (Growth Option) 8.47% 8.88% NA 8.84% 9.26% NA
5 Absolute Return (Growth Option) NA NA 0.81% NA NA 0.83%
6 Benchmark Returns 7.98% 8.48% 0.63% 7.98% 8.48% 0.63%
7 Name of Benchmark adopted 50% of CRISIL Composite CP Index + 50% of CRISIL Composite CD Index
8 Net Assets end of Period (Rs. Crs) 1,488.31 749.58 124.18 2,010.29 778.50 171.90
9 Ratio Recurring Expenses to
Net Assets
0.50% 0.49% 0.50% 0.15% 0.14% 0.15%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.53% 7.88% 0.64% 7.53% 7.88% 0.64%
* Refers to Computed NAV.
21
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 161 - 12M (Maturity Date 27-Apr-2017)
Date of Allotment 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.7817 *10.8884 - *11.8040 *10.8980 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - *10.8884 - *10.7872 *10.8980 -
Dividend *10.7770 *10.8884 - - *10.8980 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - 0.932301 - - 0.942600 -
Dividend - 0.932301 - - 0.942600 -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 12.7220 11.7792 10.8857 12.7588 11.8015 10.8954
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - 10.8857 11.6597 10.7849 10.8954
Dividend 11.6371 10.7747 10.8857 - - 10.8954
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 8.47% 8.71% NA 8.57% 8.81% NA
5 Absolute Return (Growth Option) NA 8.86% NA 8.95%
6 Benchmark Returns 9.33% 9.44% 10.04% 9.33% 9.44% 10.04%
7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 53.55 49.58 59.45 45.35 41.95 110.59
9 Ratio Recurring Expenses to
Net Assets
0.36% 0.39% 0.22% 0.26% 0.34% 0.13%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.91% 8.30% 8.59% 7.91% 8.30% 8.59%
* Refers to Computed NAV.
22
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 162 - 12M (Maturity Date 27-Apr-2017)
Date of Allotment 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.7769 *10.8853 - *11.7992 *10.8950 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - *10.8854 - - *10.8950 -
Dividend *10.7752 *10.8853 - - *10.8950 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - 0.929800 - - 0.940100 -
Dividend - 0.929800 - - 0.940100 -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 12.7177 11.7745 10.8828 12.7545 11.7967 10.8924
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - 10.8828 - - 10.8924
Dividend 11.6360 10.7729 10.8828 - - 10.8924
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 8.46% 8.70% NA 8.57% 8.80% NA
5 Absolute Return (Growth Option) NA NA 8.83% NA NA 8.92%
6 Benchmark Returns 9.32% 9.44% 10.00% 9.32% 9.44% 10.00%
7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 20.12 18.63 36.30 9.11 8.43 14.56
9 Ratio Recurring Expenses to
Net Assets
0.34% 0.39% 0.19% 0.24% 0.29% 0.09%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.92% 8.31% 8.57% 7.92% 8.31% 8.57%
* Refers to Computed NAV.
23
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 163 - 12M (Maturity Date 27-Apr-2017)
Date of Allotment 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.7831 *10.8697 - *11.8053 *10.8792 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - *10.8697 - *10.7961 *10.8792 -
Dividend *10.7857 *10.8697 - - *10.8792 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - 0.924801 - - 0.935100 -
Dividend - 0.924801 - - 0.935100 -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 12.7056 11.7807 10.8671 12.7423 11.8028 10.8766
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - 10.8671 11.6529 10.7938 10.8766
Dividend 11.6301 10.7834 10.8671 - - 10.8766
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 8.47% 8.79% NA 8.58% 8.89% NA
5 Absolute Return (Growth Option) NA NA 8.67% NA NA 8.77%
6 Benchmark Returns 9.30% 9.40% 9.81% 9.30% 9.40% 9.81%
7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 7.96 7.38 30.89 8.03 7.44 118.61
9 Ratio Recurring Expenses to
Net Assets
0.47% 0.34% 0.22% 0.37% 0.22% 0.12%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.91% 8.30% 8.43% 7.91% 8.30% 8.43%
* Refers to Computed NAV.
24
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 164 - 12M (Maturity Date 16-May-2017)
Date of Allotment 12-May-14 12-May-14 12-May-14 12-May-14 12-May-14 12-May-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.7205 *10.8191 - *11.7417 *10.8278 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - *10.8278 -
Dividend - *10.8191 - *10.7343 *10.8279 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - 0.937601 -
Dividend - 0.927501 - - 0.937601 -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 12.6608 11.7181 10.8166 12.6964 11.7393 10.8253
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - 10.8253
Dividend - - 10.8166 11.6073 10.7321 10.8253
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 8.51% 8.76% NA 8.62% 8.87% NA
5 Absolute Return (Growth Option) NA NA 8.17% NA NA 8.25%
6 Benchmark Returns 9.25% 9.32% 9.09% 9.25% 9.32% 9.09%
7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 32.08 29.69 30.98 11.68 10.80 15.75
9 Ratio Recurring Expenses to
Net Assets
0.26% 0.32% 0.09% 0.16% 0.21% 0.00%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.85% 8.22% 7.80% 7.85% 8.22% 7.80%
* Refers to Computed NAV.
25
Sr.
No.
Scheme Name DSP BlackRock Dual Advantage Fund - Series 29 - 40M
Date of Allotment 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.4165 *11.3025 - *10.4952 *11.3310 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *10.4165 *11.3025 - - - -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.2852 10.4617 10.7610 11.4273 10.5405 10.7880
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 11.2852 10.4617 10.7610 - - -
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 4.95% 3.05% NA 5.47% 3.56% NA
5 Absolute Return (Growth Option) NA 7.61% NA 7.88%
6 Benchmark Returns 10.31% 9.00% 7.74% 10.31% 9.00% 7.74%
7 Name of Benchmark adopted CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 109.84 101.83 104.74 0.77 0.71 0.72
9 Ratio Recurring Expenses to
Net Assets
2.00% 2.00% 2.00% 1.50% 1.50% 1.50%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.79% 8.22% 4.57% 7.79% 8.22% 4.57%
* Refers to Computed NAV.
26
Sr.
No.
Scheme Name DSP BlackRock FTP - Series 44 - 36M
Date of Allotment 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *11.5131 *10.6154 - *11.6005 *10.6426 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *11.5131 *10.6154 - *11.6005 *10.6426 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 12.5079 11.5107 10.6131 12.6366 11.5979 10.6402
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 12.5079 11.5107 10.6131 12.6366 11.5979 10.6402
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 9.32% 9.75% NA 9.76% 10.30% NA
5 Absolute Return (Growth Option) NA NA 6.13% NA NA 6.40%
6 Benchmark Returns 10.87% 10.72% 7.77% 10.87% 10.72% 7.77%
7 Name of Benchmark adopted CRISIL Composite Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 42.49 39.11 36.06 18.82 17.27 15.84
9 Ratio Recurring Expenses to
Net Assets
0.38% 0.74% 0.74% 0.12% 0.24% 0.24%
10 Standard Benchmark Name CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86%
* Refers to Computed NAV.
27
Sr.
No.
Scheme Name DSP BlackRock Dual Advantage Fund - Series 34 - 36M
Date of Allotment 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *9.6694 *10.1391 - *9.7256 *10.1472 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *9.6694 *10.1391 - *9.7256 *10.1471 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.2693 9.7032 9.8985 10.3806 9.7595 9.9062
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 10.2693 9.7032 9.8985 10.3806 9.7595 9.9062
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 1.24% -2.57% NA 1.75% -2.08% NA
5 Absolute Return (Growth Option) NA NA -1.02% NA NA -0.94%
6 Benchmark Returns 8.37% 5.10% 0.25% 8.37% 5.10% 0.25%
7 Name of Benchmark adopted CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 80.43 76.00 77.52 2.99 2.81 2.85
9 Ratio Recurring Expenses to
Net Assets
2.00% 2.00% 2.00% 1.50% 1.50% 1.50%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.53% 7.86% 1.36% 7.53% 7.86% 1.36%
* Refers to Computed NAV.
28
Sr.
No.
Scheme Name DSP BlackRock Dual Advantage Fund - Series 35 - 36M
Date of Allotment 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *9.6181 *10.0628 - *9.6711 *10.0677 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *9.6181 *10.0628 - *9.6711 *10.0677 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.1754 9.6503 9.9922 10.2826 9.7033 9.9970
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 10.1754 9.6503 9.9922 10.2826 9.7033 9.9970
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 0.83% -3.19% NA 1.34% -2.70% NA
5 Absolute Return (Growth Option) NA NA -0.08% NA NA -0.03%
6 Benchmark Returns 8.63% 5.39% 0.25% 8.63% 5.39% 0.25%
7 Name of Benchmark adopted CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 136.81 129.75 134.35 2.75 2.59 2.67
9 Ratio Recurring Expenses to
Net Assets
2.00% 2.00% 2.01% 1.50% 1.50% 1.51%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.58% 7.97% 1.02% 7.58% 7.97% 1.02%
* Refers to Computed NAV.
29
Sr.
No.
Scheme Name DSP BlackRock Dual Advantage Fund - Series 36 - 36M
Date of Allotment 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15
Financial Year 16-17 15-16 14-15 16-17 15-16 14-15
Plans Regular
Plan
Regular
Plan
Regular
Plan
Direct Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *9.6381 *10.1019 - *9.6882 *10.1038 -
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend *9.6381 *10.1019 - *9.6882 *10.1038 -
2 Dividends (Rs.) Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend - - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.2745 9.6704 9.7048 10.3796 9.7206 9.7066
Daily Dividend - - - - - -
Weekly Dividend - - - - - -
Monthly Dividend - - - - - -
Quarterly Dividend - - - - - -
Dividend 10.2745 9.6704 9.7048 10.3796 9.7206 9.7066
Unclaimed Dividend Upto 3 years - - - - - -
Unclaimed Dividend Beyond 3 years - - - - - -
Unclaimed Redemption Upto 3 years - - - - - -
UnclaimedRedemptionBeyond3years - - - - - -
4 Annualised Return (Growth Option) 1.34% -3.18% NA 1.84% -2.69% NA
5 Absolute Return (Growth Option) NA NA -2.95% NA NA -2.93%
6 Benchmark Returns 8.84% 5.61% 0.16% 8.84% 5.61% 0.16%
7 Name of Benchmark adopted CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 94.15 88.61 88.93 5.74 5.38 5.37
9 Ratio Recurring Expenses to
Net Assets
2.00% 2.00% 2.02% 1.50% 1.50% 1.52%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.56% 7.95% 0.53% 7.56% 7.95% 0.53%
* Refers to Computed NAV.
30
Sr.
No.
Scheme Name DSP BlackRock Dual Advantage Fund - Series 39 - 36M
Date of Allotment 28-Sep-15 28-Sep-15 28-Sep-15 28-Sep-15
Financial Year 16-17 15-16 16-17 15-16
Plans Regular Plan Regular Plan Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.1654 - *10.1913 -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend *10.1654 - *10.1913 -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.4395 10.1751 11.5259 10.2008
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend 11.4395 10.1751 11.5259 10.2008
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) 9.34% NA 9.88% NA
5 Absolute Return (Growth Option) NA 1.75% NA 2.01%
6 Benchmark Returns 10.78% 3.90% 10.78% 3.90%
7 Name of Benchmark adopted CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 24.48 21.78 2.86 2.53
9 Ratio Recurring Expenses to
Net Assets
2.25% 2.25% 1.75% 1.75%
10 Standard Benchmark Name Crisil 1 Year
T-Bill Index
Crisil 1 Year
T-Bill Index
Crisil 1 Year
T-Bill Index
Crisil 1 Year
T-Bill Index
11 Standard Benchmark Returns 7.26% 3.72% 7.26% 3.72%
* Refers to Computed NAV.
31
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 192 - 36M
Date of Allotment 12-Jan-16 12-Jan-16 12-Jan-16 12-Jan-16
Financial Year 16-17 15-16 16-17 15-16
Plans Regular Plan Regular Plan Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.2454 - *10.2532 -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend *10.2454 - *10.2532 -
Dividend *10.2454 - *10.2533 -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.2600 10.2430 11.3058 10.2507
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend 11.2600 10.2430 11.3058 10.2507
Dividend 11.2600 10.2430 11.3058 10.2507
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) 10.25% NA 10.62% NA
5 Absolute Return (Growth Option) NA 2.43% NA 2.51%
6 Benchmark Returns 10.93% 2.12% 10.93% 2.12%
7 Name of Benchmark adopted CRISIL Composite Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 76.81 69.87 12.97 11.76
9 Ratio Recurring Expenses to
Net Assets
1.55% 1.00% 1.22% 0.65%
10 Standard Benchmark Name CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 12.34% 2.98% 12.34% 2.98%
* Refers to Computed NAV.
32
Sr.
No.
Scheme Name DSP BlackRock FMP - Series 195 - 36M
Date of Allotment 26-Feb-16 26-Feb-16 26-Feb-16 26-Feb-16
Financial Year 16-17 15-16 16-17 15-16
Plans Regular Plan Regular Plan Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth *10.1455 - *10.1489 -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend *10.1455 - *10.1489 -
Dividend *10.1455 - *10.1489 -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.1349 10.1435 11.1776 10.1468
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend 11.1349 10.1435 11.1776 10.1468
Dividend 11.1349 10.1435 11.1776 10.1468
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) 10.33% NA 10.72% NA
5 Absolute Return (Growth Option) NA 1.43% NA 1.47%
6 Benchmark Returns 12.69% 2.58% 12.69% 2.58%
7 Name of Benchmark adopted CRISIL Composite Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 44.52 40.56 6.61 6.00
9 Ratio Recurring Expenses to
Net Assets
0.53% 0.92% 0.17% 0.57%
10 Standard Benchmark Name CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 13.75% 2.91% 13.75% 2.91%
* Refers to Computed NAV.
33
Sr.
No.
Scheme Name DSP BlackRock Equity Savings Fund
Date of Allotment 28-Mar-16 28-Mar-16 28-Mar-16 28-Mar-16
Financial Year 16-17 15-16 16-17 15-16
Plans Regular Plan Regular Plan Direct Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth 10.053 - 10.054 -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend 10.053 - 10.054 -
Quarterly Dividend 10.053 - 10.054 -
Dividend 10.053 - 10.054 -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend 0.512000 - 0.512000 -
Quarterly Dividend 0.511000 - 0.221000 -
Dividend 0.621000 - 0.566000 -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.4150 10.0670 11.5390 10.0680
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend 10.8820 10.0670 11.0080 10.0680
Quarterly Dividend 10.8830 10.0670 11.3060 10.0680
Dividend 10.7930 10.0670 10.9750 10.0680
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) 14.03% NA 15.26% NA
5 Absolute Return (Growth Option) NA 0.67% NA 0.68%
6 Benchmark Returns 12.88% 0.70% 12.88% 0.70%
7 Name of Benchmark adopted 30% Nifty 500 + 70% CRISIL Liquid Fund Index
8 Net Assets end of Period (Rs. Crs) 357.13 156.53 236.43 2.75
9 Ratio Recurring Expenses to
Net Assets
2.47% 1.89% 1.22% 1.40%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 7.16% 0.06% 7.16% 0.06%
* Refers to Computed NAV.
34
Sr.
No.
Scheme Name
DSP BlackRock Dual Advantage
Fund - Series 44 - 39M
DSP BlackRock Dual Advantage
Fund - Series 45 - 38M
Date of Allotment 18-Apr-16 18-Apr-16 19-May-16 19-May-16
Financial Year 16-17 16-17 16-17 16-17
Plans Regular Plan Direct Regular Plan Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth - - - -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 11.0945 11.1577 11.1935 11.2420
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend 11.0945 11.1577 11.1935 11.2420
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) NA NA NA NA
5 Absolute Return (Growth Option) 10.95% 11.58% 11.94% 12.42%
6 Benchmark Returns 10.99% 10.99% 10.97% 10.97%
7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL MIP Blended Index
8 Net Assets end of Period (Rs. Crs) 51.08 0.99 55.76 0.94
9 Ratio Recurring Expenses to
Net Assets
2.10% 1.50% 2.00% 1.50%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index Crisil 1 Year T-Bill Index
11 Standard Benchmark Returns 6.65% 6.65% 6.10% 6.10%
* Refers to Computed NAV.
35
Sr.
No.
Scheme Name
DSP BlackRock Dual Advantage
Fund - Series 46 - 36M
DSP BlackRock
FMP - Series 196 - 37M
Date of Allotment 11-Jul-16 11-Jul-16 30-Jun-16 30-Jun-16
Financial Year 16-17 16-17 16-17 16-17
Plans Regular Plan Direct Regular Plan Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth - - - -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.4277 10.4653 10.8281 10.8619
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - 10.8281 -
Dividend 10.4277 - 10.8281 -
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) NA NA NA NA
5 Absolute Return (Growth Option) 4.28% 4.65% 8.28% 8.62%
6 Benchmark Returns 7.89% 7.89% 8.45% 8.45%
7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL Composite Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 46.25 1.06 204.35 55.31
9 Ratio Recurring Expenses to
Net Assets
2.00% 1.50% 1.18% 0.76%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 4.95% 4.95% 9.77% 9.77%
* Refers to Computed NAV.
36
Sr.
No.
Scheme Name
DSP BlackRock Dual Advantage
Fund - Series 49 - 42M
DSP BlackRock
FMP - Series 204 - 37M
Date of Allotment 11-Nov-16 11-Nov-16 9-Mar-17 9-Mar-17
Financial Year 16-17 16-17 16-17 16-17
Plans Regular Plan Direct Regular Plan Direct
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth - - - -
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
2 Dividends (Rs.) Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - - -
Dividend - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.3645 10.3844 10.0678 10.0684
Daily Dividend - - - -
Weekly Dividend - - - -
Monthly Dividend - - - -
Quarterly Dividend - - 10.0678 -
Dividend 10.3645 - 10.0678 10.0684
Unclaimed Dividend Upto 3 years - - - -
Unclaimed Dividend Beyond 3 years - - - -
Unclaimed Redemption Upto 3 years - - - -
UnclaimedRedemptionBeyond3years - - - -
4 Annualised Return (Growth Option) NA NA NA NA
5 Absolute Return (Growth Option) 3.64% 3.84% 0.68% 0.68%
6 Benchmark Returns 3.22% 3.22% 1.58% 1.58%
7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL Composite Bond Fund Index
8 Net Assets end of Period (Rs. Crs) 44.48 0.95 16.77 132.83
9 Ratio Recurring Expenses to
Net Assets
2.25% 1.75% 0.32% 0.22%
10 Standard Benchmark Name Crisil 1 Year T-Bill Index CRISIL 10 Year Gilt Index
11 Standard Benchmark Returns 2.32% 2.32% 1.50% 1.50%
* Refers to Computed NAV.
37
Sr.
No.
Scheme Name
DSP BlackRock FMP -
Series 205 - 37M
DSP BlackRock FMP -
Series 209 - 37M
DSP
BlackRock
Treasury Bill
Fund
Date of Allotment 23-Mar-17 23-Mar-17 30-Mar-17 30-Mar-17 30-Sep-99
Financial Year 16-17 16-17 16-17 16-17 16-17
Plans Regular Plan Direct Regular Plan Direct Unclaimed
1 NAV at the beginning of the
year
(as on April 1) (Rs.)
Growth - - - - -
Daily Dividend - - - - -
Weekly Dividend - - - - -
Monthly Dividend - - - - -
Quarterly Dividend - - - - -
Dividend - - - - -
2 Dividends (Rs.) Daily Dividend - - - - -
Weekly Dividend - - - - -
Monthly Dividend - - - - -
Quarterly Dividend - - - - -
Dividend - - - - -
3 NAV at the end of the year
(as on March 31) (Rs.)
Growth 10.0570 10.0575 10.0114 10.0115 -
Daily Dividend - - - - -
Weekly Dividend - - - - -
Monthly Dividend - - - - -
Quarterly Dividend 10.0570 - 10.0114 10.0115 -
Dividend - 10.0575 10.0114 10.0115 -
Unclaimed Dividend Upto 3 years - - - - 10.6153
Unclaimed Dividend Beyond 3 years - - - - 10.0000
Unclaimed Redemption Upto 3 years - - - - 10.6153
UnclaimedRedemptionBeyond3years - - - - 10.0000
4 Annualised Return (Growth Option) NA NA NA NA NA
5 Absolute Return (Growth Option) 0.57% 0.57% 0.11% 0.11% 6.15%
6 Benchmark Returns 0.64% 0.64% 0.06% 0.06% 6.36%
7 Name of Benchmark adopted
CRISIL Composite Bond
Fund Index
CRISIL Composite Bond
Fund Index
CRISIL
Composite
T-Bill Index
8 Net Assets end of Period (Rs. Crs) 13.53 88.77 27.73 43.89 16.09
9 Ratio Recurring Expenses to
Net Assets
0.41% 0.16% 0.45% 0.20% 0.34%
10 Standard Benchmark Name
CRISIL 10 Year Gilt Index CRISIL 10 Year Gilt Index
Crisil 1 Year
T-Bill Index
11 Standard Benchmark Returns 1.07% 1.07% -0.02% -0.02% 6.53%
* Refers to Computed NAV.
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin
Additional Information of DSP BlackRock Mutual Fund- Wishfin

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Additional Information of DSP BlackRock Mutual Fund- Wishfin

  • 1. STATEMENT OF ADDITIONAL INFORMATION This Statement of Additional Information (SAI) contains details of DSP BlackRock Mutual Fund, its constitution, and certain tax, legal and general information. It is incorporated by reference and is legally a part of the Scheme Information Document (SID)]. This SAI is dated July 12, 2017
  • 2. 1 INDEX SECTION I – Information about Sponsor, AMC and Trustee company................................................................................................... 2 A. Constitution of DSP BlackRock Mutual Fund (‘Mutual Fund’)....................................................................................... ………..2 B. Sponsor............................................................................................................................................................................................................ 2 C. The Trustee..................................................................................................................................................................................................... 2 D. Asset Management Company.................................................................................................................................................................... 5 SECTION II – Service Providers............................................................................................................................................................................ 16 SECTION III – Condensed Financial Information (CFI).................................................................................................................................. 17 SECTION IV – How to Apply?...................................................................................................................................................................................38 A. Purchase........................................................................................................................................................................................................ 44 B. Redemption and Switch............................................................................................................................................................................ 44 C. Suspension of purchase and redemption of units...................................................................................................................... 44 D. Suspension of Sale/Switches into the scheme under special circumstances................................................................ 44 SECTION V – Rights of Unitholders of the Scheme.................................................................................................................................... 45 SECTION VI – Investment Valuation Norms for Securities and Other Assets................................................................................ 45 SECTION VII – Procedure and Manner of Recording Investment Decisions..................................................................................... 51 SECTION VIII – Tax & legal & General Information.................................................................................................................................... 51 A. TAX BENEFITS OF INVESTING IN THE MUTUAL FUND................................................................................................................................. 51 B. Legal Information...................................................................................................................................................................................... 57 1. Nomination Facility.............................................................................................................................................................................. 57 2. Transfer of Units................................................................................................................................................................................ 57 3. Transmission.......................................................................................................................................................................................... 57 4. “On Behalf of Minor” Accounts....................................................................................................................................................... 58 5. Duration of the Scheme..................................................................................................................................................................... 59 6. Procedure and Manner of Winding Up......................................................................................................................................... 59 7. KYC Requirements and Requirements of Prevention of Money Laundering Act....................................................... 59 8. Pledge of Units for Loans............................................................................................................................................................... 60 9. Compliance under Foreign Account Tax Compliance Act (FATCA)..................................................................................... 60 10. Ultimate Beneficial Ownership....................................................................................................................................................... 61 11. ACTS DONE IN GOOD FAITH..................................................................................................................................................................... 61 12. POWER TO MAKE RULES.......................................................................................................................................................................... 62 13. POWER TO REMOVE DIFFICULTIES......................................................................................................................................................... 62 C. General Information................................................................................................................................................................................. 62 1. Inter-Scheme Transfer of Investments..................................................................................................................................... 62 2. Associate Transactions.................................................................................................................................................................... 62 3. Stock Lending by the Mutual Fund................................................................................................................................................ 63 4. Borrowing by the Mutual Fund...................................................................................................................................................... 63 5. Unclaimed Redemption and Dividend Amount............................................................................................................................ 63 6. Documents Available for Inspection........................................................................................................................................... 63 7. Investor Grievances Redressal Mechanism............................................................................................................................. 63 8. Website.....................................................................................................................................................................................................64
  • 3. 2 SECTION I – INFORMATION ABOUT SPONSOR, AMC AND TRUSTEE COMPANY A. Constitution of DSP BlackRock Mutual Fund (‘MUTUAL FUND’/’FUND’) DSP BlackRock Mutual Fund has been constituted as a trust on December 16, 1996 in accordance with the provisions of the Indian Trusts Act, 1882. DSP ADIKO Holdings Pvt. Ltd. & DSP HMK Holdings Pvt. Ltd. (collectively) and BlackRock Inc. (BlackRock) are the Sponsors, and DSP BlackRock Trustee Company Pvt. Ltd. is the Trustee to the Fund. The Trust Deed has been registered under the Indian Registration Act, 1908. The Mutual Fund was registered with SEBI on January 30, 1997 under the Registration Code MF/036/97/7. B. Sponsor The Mutual Fund is sponsored by DSP ADIKO Holdings Pvt. Ltd. & DSP HMK Holdings Pvt. Ltd. (collectively) and BlackRock. DSP ADIKO Holdings Pvt. Ltd. & DSP HMK Holdings Pvt. Ltd. (collectively) and BlackRock are the Settlors of the Mutual Fund trust. The Settlors have entrusted a sum of Rs. 1 lakh to the Trustee as the initial contribution towards the corpus of the Mutual Fund. (i) Brief activities of the Sponsors (a) DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt. Ltd. DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt. Ltd. are companies incorporated in 1983 under the Companies Act, 1956 and are also registered with the Reserve Bank of India as non deposit taking Non-Banking Finance Companies. These companies have been functioning as investment companies. (b) BlackRock BlackRock is a premier provider of global investment management services to institutional and retail clients around the world. Headquartered in New York, BlackRock serves clients from offices in 30 countries, maintaining a major presence in North and South America, Europe, Asia, Australia, and the Middle East and Africa. With approximately 13,000 employees, BlackRock offers clients in-depth local knowledge and understanding, while leveraging the strength of their global presence and infrastructure to deliver focused investment solutions. It offers investment solutions through a variety of product structures, including individual and institutional separate accounts, mutual funds, the industry-leading iShares® exchange-traded funds and other pooled investment vehicles. Since its founding in 1988, BlackRock has sought to better serve clients by anticipating and responding to changes and advancementsintheinvestmentindustry,whilecontinuallyseeking to broaden and deepen our investment and risk management capabilities. BlackRock has assets under management of over US$5.4 trillion at March 31, 2017. Its core business is in providing diversified investment management services to institutional and individual investors through various investment vehicles. Investment management services primarily consist of the active management of fixed income, cash management and equity client accounts, the management of a number of open-end and closed end mutual fund families, and other non- U.S. equivalent retail products serving the institutional and retail markets, and the management of alternative funds developed to serve various customer needs. In addition, BlackRock provides risk management, strategic advisory and enterprise investment system services to a broad base of clients worldwide through BlackRock Solutions® . (ii) Financial Performance of the Sponsors (Past three years) Net Worth Total Income Profit after Tax Assets Under Management Particulars Period INR Crores (In USD Billion) (In INR Billion) BlackRock # Jan 16-Dec 16 197,735 310,05 21,555 5,148 349,831 Jan 15-Dec 15 189,049 30,934 22,186 4,645 314,186 Jan 14-Dec 14 1,73,313 71,147 20,671 4,652 294,611 DSP Adiko Holdings Pvt. Ltd Apr 15-Mar 16 1012 50 21 N.A. Apr 14-Mar 15 991 75 56 Apr 13-Mar 14 935 72 49 DSP HMK Holdings Pvt. Ltd. Apr 15-Mar 16 1031 51 19 Apr 14-Mar 15 1013 78 59 Apr 13 -Mar 14 954 73 51 # Converted at the RBI reference rate on December 31 of the relevant year. C. The Trustee DSP BlackRock Trustee Company Pvt. Limited (‘Trustee’), through its Board of Directors, shall discharge its obligations as trustee to the Mutual Fund. The Trustee ensures that the transactions entered into by DSP BlackRock Investment Managers Pvt. Ltd. (‘AMC or DSPBRIM’), are in accordance with the SEBI (Mutual Funds) Regulations, 1996 (‘Regulations’) and also reviews the activities carried on by the AMC.
  • 4. 3 (i) Details of Trustee Directors: Name Age Qualification Brief Experience Mr. Shitin D. Desai Independent Director 70 B. Com. Mr. Shitin Desai is a veteran with more than 40 years of experience in the banking and financial services sector. He served as a Consultant to “Bank of America Merrill Lynch.” Before this he served as an Executive Vice Chairman of “DSP Merrill Lynch Ltd.” and is one of its Founding Directors. He is the Chairman and Independent Director on the Board of “Julius Baer Wealth Advisors (India) Pvt. Ltd.” HeisalsoanIndependentDirectorontheBoardof“ShardaCropchemLimited.” He is a Director on the Board of “Piramal Fund Management Pvt. Ltd.”(Real Estate), and also a Director of “Piramal Glass Ltd.” He is also a Director on the Board of “Foundation for Promotion of Sports & Games”, a Non Profit organisation (Section 25) Company which assists potential athletes to achieve their dream and win Olympic Gold Medals. He is also a Member of the Advisory Board of ‘Kherwadi Social Welfare Association’ (KSWA), which is one of the largest NGOs providing livelihoods to underprivileged youth by making them economically independent through vocational training. He was also a member on the Committee on Takeovers appointed by SEBI, Investor Education and Protection Fund constituted by Ministry of Corporate Affairs, the RBI Capital Market Committee, Advisory Group of Securities Market of RBI and Insider Trading Committee. Mr. S. S. Thakur Independent Director 87 M.Com., CAIIB Mr. S. S. Thakur was the Chairman of HDFC Bank Ltd., where his responsibilities included providing non-executive/advisory services relating to corporate planning, internal audit, inspection, foreign exchange etc. He was also the Chairman of Central Depository Services (India) Ltd. and serves on the Board of Directors of various other companies. He also held the position of Controller of Foreign Exchange, Reserve Bank of India, from 1982 to 1987. He was also employed with the United Nations Development Programme as Senior Advisor and was deputed to Bank of Zambia (Zambia’s Central Bank) at Lusaka, from 1988 to 1993, where he held the position of Advisor to the Governor, Bank of Zambia. Ms. Tarjani Vakil Independent Director 80 M.A. Ms. Tarjani Vakil retired as the Chairman and Managing Director of Export Import Bank of India in 1996, after 40 years in development banking. She is the 1st Lady to head a Financial institution in India. She joined IDBI at its inception in 1965 and worked for 17 years in various departments. She has been on the Board of Directors of IDBI, LIC, GIC, ECGC, STCI and a number of private sector. She is currently on the Board of some public companies in the Finance Sector. Mr. S. Doreswamy Independent Director 79 B.Sc., B.L. Mr. S. Doreswamy is a financial consultant, with an experience of about 35 years in commercial banking, preceded by practice as a High court Advocate for about three years. He started his banking career with Canara Bank and moved on Dena Bank, where he served for nearly twenty four years, in various capacities, including as Chairman and Managing Director. His last assignment was as the Chairman and Managing Director of the Central Bank of India, one of the largest public sector banks in the country, and during his highly successful stint of four years there, he steered the bank towards registering a significant turnaround in its operations and high levels of profit. He is on the Board of several companies of repute such as CEAT Ltd. and Future Enterprised Ltd.
  • 5. 4 • The Trustee shall be bound to make such disclosures to the unit holders as are essential in order to keep them informed about any information, which may have an adverse bearing on their investments. • The Trustee shall provide or cause to provide such information to the unit holders and SEBI, as may be specified by SEBI from time to time. • The Trustee shall act in the best interest of unit holders. • The Trustee, in carrying out its responsibilities under the Trust Deed and the Regulations, shall maintain arm's length relationship with other companies, institutions or financial intermediaries or any body corporate with which it is associated. • A Director of the Trustee shall not participate in the meetings of the Trustee or in any decision making process in respect of any investments for the Mutual Fund in which he may be interested. • The Trustee shall abide by the code of conduct specified in the Regulations. • The Trustee may amend the Trust Deed with the prior approval of SEBI, and the unit holders where it affects the interest of unit holders. • The Trustee may, subject to the Regulations, prescribe terms and make rules for the purpose of giving effect to the provisions of the schemes with power to the Investment Manager to add to, alter or amend all or any of the terms and rules that may be framed from time to time. However, the Trustee may alter/modify/change the Fundamental Attributes of the schemes or the trust or fees and expenses payable or any other change which would modify the schemes or affect the interest of the unit holders, in accordance with the applicable Regulations from time to time. (ii) Responsibilities and Duties of the Trustee Responsibilities and Duties of the Trustee under the Trust Deed and the Regulations. • The Trustee has exclusive ownership of the Trust Fund and holds the same in trust and for the benefit of unit holders. • The Trustee shall ensure that the Mutual Fund and the schemes floated thereunder and managed by the AMC are in accordance with the Trust Deed and the Regulations, directions and guidelines issued by SEBI, the stock exchanges and other regulatory agencies. • The Trustee shall ensure that the transactions concerning the Mutual Fund are in accordance with the Trust Deed and the Regulations. • The Trustee shall ensure that the investment of the Trust Fund and unit Capital of each scheme is made only in the permitted securities and within limits prescribed by the Trust Deed, the Regulations, and the Scheme Information Document of the scheme concerned. • The Trustee shall hold in safe custody and preserve the properties of the Mutual Fund and the various schemes of the Mutual Fund. • The Trustee shall ensure that the income due to be paid to the schemes is collected and properly accounted for and shall claim any repayment of tax and holding any income received in trust for the holders in accordance with the Trust Deed and the Regulations. • The Trustee shall not acquire or allow the AMC to acquire any asset out of the Trust Fund, which involves assumption of unlimited liability or results in encumbrance of Trust Fund. Name Age Qualification Brief Experience Mr. T. S. Krishna Murthy Independent Director 77 B.A., B.L., M.Sc. Mr. T. S. Krishna Murthy, a former Chief Election Commissioner of India, has had a long and distinguished career in the Government of India, spanning over 36 years. After an initial stint of about 2 years in Bank of India Ltd. as a probationary officer, he joined the Indian Revenue Service in 1963. He served the Income Tax department in various capacities and was also on deputation to Hindustan Shipyard, Visakhapatnam, International Monetary Fund etc. He was also appointed Secretary, Department of Company Affairs, Government of India, in 1997. In that capacity he took an active interest in Investor Protection & Education, apart from giving a push to computerization & company law reforms. He joined the Election Commission of India in 2000 and was Chief Election Commissioner of India when he supervised the first Parliament Elections in 2004 with Electronic Voting Machines throughout the country. He is also serving on the Board of a few Companies in finance sector & some NGOs mainly relating to Education. Mr. S.S.N. Moorthy Independent Director 66 M.A., LL.B., Rank Holder in M.A. from Kerala University Mr. S.S.N. Moorthy was a member of Securities Appellate Tribunal in Mumbai during the period January 2011 to December 2012. He also served as Chairman of Board of Central Board of Direct Taxes, New Delhi during January 2009 to December 2010. During August 2008 to January 2009, he was a member of Central Board of Direct Taxes, New Delhi and during July 2006 to August 2008 he served as Director General of Income Tax (Investigation). During July 1997 to July 2006, he served a position as a Commissioner at Income Tax Department, Tamil Nadu & Kerala. He is also a retired officer from Indian Revenue Service
  • 6. 5 • The Trustee shall call for a meeting of the unit holders of a scheme, as required by the Regulations for the time being in force, whenever it is required by SEBI to do so in the interest of the unit holders, or if the Trustee determines to prematurely redeem the units or wind up the scheme. • If any difficulty arises in giving effect to the provisions of the schemes, the Trustee may do anything not inconsistent with such provisions, subject to the Regulations, which appear to be necessary, desirable or expedient, for the purpose of removing such difficulty. The Trustee also shall exercise due diligence in the following manner: (a) General Due Diligence: • The Trustee shall be discerning in the appointment of the directors on the Board of the AMC. • The Trustee shall review the desirability of continuance of the AMC if substantial irregularities are observed in any of the schemes and shall not allow the AMC to float new schemes. • The Trustee shall ensure that the trust property is properly protected, held and administered by proper persons and by a proper number of such persons. • The Trustee shall ensure that all service providers are holding appropriate registrations from SEBI or concerned regulatory authority. • The Trustee shall arrange for test checks of service contracts. • The Trustee shall immediately report to SEBI of any special developments in the Mutual Fund. (b) Specific Due Diligence: • Obtain internal audit reports at regular intervals from independent auditors appointed by the Trustee. • Obtain compliance certificates at regular intervals from the AMC. • Hold meetings of Trustee more frequently. • Consider the reports of the independent auditor and compliance reports of the AMC at the meetings of trustees for appropriate action. • Maintain records of the decisions of the Trustee at their meetings and of the minutes of the meetings. • Prescribe and adhere to a code of ethics by the Trustee, AMC and its personnel. • Communicate in writing to the AMC of the deficiencies and checking on the rectification of deficiencies. Notwithstanding the aforesaid, the Trustee shall not be held liable for acts done in good faith if they have exercised adequate due diligence honestly. (iii) Supervisory Role of the Trustee During the financial year 2016-17 (April to March), the Trustee has held six Board Meetings and during the period April, 2017 to June 2017, the Trustee has held two meetings. The supervisory role of the Trustee is discharged by receiving continuous feedback from the AMC on matters of importance, through bi-monthly, quarterly and half yearly reports, and a review of the Mutual Fund’s operation at Board Meetings. In addition, the Trustee receives feedback and reports on quarterly and six monthly basis from the Independent Auditors appointed by it in accordance with the Regulations. D. Asset Management Company DSP BlackRock Investment Managers Pvt. Ltd. (‘AMC’) is a company incorporated under the Companies Act, 1956 on May 13, 1996, having its registered office at Mafatlal Centre, 10th Floor Nariman Point, Mumbai – 400 021. The AMC has been appointed as the asset management company to the Mutual Fund by the Trustee, vide Investment Management Agreement (IMA) dated December 16, 1996, and executed between the Trustee and the AMC. (i) Shareholding Pattern BlackRock Advisors Singapore Pte. Ltd., a wholly owned subsidiary of BlackRock Inc. holds 40% of the shareholding of the AMC and the balance 60% shares are held by DSP ADIKO Holdings Pvt. Ltd. and DSP HMK Holdings Pvt. Ltd. (ii) Other Business Activities TheAMC offers non-binding investment advisory services to BlackRock India Equities Fund (Mauritius) Limited and BlackRockAsset Management North Asia Limited for investment in Indian securities in terms of approval granted by SEBI. The AMC also offers investment advisory services to DSP BlackRock Investment Managers (Mauritius) Limited, a wholly owned subsidiary of the AMC, which is an asset management company to an offshore fund based in Mauritius. The AMC also provides non binding investment management advice and trade execution related services to onshore funds. The AMC also serves as Sponsor to DSP BlackRock Pension Fund Managers Pvt. Ltd. (DSPBRPFMC) as per Pension Fund Regulatory & Development Authority of India (PFRDA) (Registration of Pension Funds for Private Sector) Guidelines 2012. The AMC shall, in accordance with SEBI approval, act as Investment Managers to DSP BlackRock Alternative Investment Fund Category III (DSPBRAIF – C - III) (SEBI registration no. IN/AIF3/13-14/0059). Further, DSP BlackRock Trustee Company Pvt. Ltd., act as Trustees to the DSPBRAIF - C - III. The AMC has systems in place to ensure that there is no conflict of interest between the aforesaid activities.
  • 7. 6 (iii) Details of AMC Directors: Name Age Qualification Brief Experience Mr. Hemendra M. Kothari Associate Director 70 B.Com. Mr. Hemendra Kothari represents the fourth generation of a family of prominent stockbrokers and was the ex-President of the Bombay Stock Exchange. He has over 40 years of working experience in the financial services industry and is currently the Chairman of DSP BlackRock Investment Managers Private Limited, which is a joint-venture between the DSP Group and BlackRock, the world’s largest asset management firm. He was the Founder of DSP Financial Consultants Limited which later became DSP Merrill Lynch, where he served as Chairman till his retirement in 2009. He is a Member of the Governing Council of the National Investment and Infrastructure Fund (NIIF), which was created by the Government of India, to maximize economic impact through infrastructure development. He serves on the Investment Advisory Committee of the Army Group Insurance Fund. He is a Member of the Asia Advisory Board of Euromoney Institutional Investor. He has also served as a Member on various boards & committees viz The National Institute of Securities Market (NISM), set up by the Securities and Exchange Board of India (SEBI), the Corporatisation & Demutalisation of Stock Exchanges Committee, the Infrastructure Financing, Department of Economic Affairs (Infrastructure), Ministry of Finance, the Standing Committee on Money Markets, Reserve Bank of India and the India Hydrocarbon Vision-2025 committee, set up by the Prime Minister’s Office, Government of India. He is a Member of the Indo-UK Roundtable which was established by The British Foreign & Commonwealth Office and The Ministry of External Affairs, Government of India. He is the Founder, Chairman & Managing Trustee of the Wildlife Conservation Trust (WCT), a non-religious and non-political, not-for-profit trust. WCT endeavours to strengthen the protection of forest ecosystems and mitigate climate change. It currently works in 110 national parks and sanctuaries across 19 states in India and at the heart of its work is the development of communities who live in and around India’s Protected Areas. WCT is a Partner in Panthera’s Global Alliance for the conservation of wild cats and their habitat. He is a Member of the State Board for Wildlife of Rajasthan under the Chairmanship of the Chief Minister. He also served as a Member of the State Board of Maharashtra. He is also a Member of the National Tiger Conservation Authority (NTCA), appointed by the Government of India HeisalsoaMemberoftheAdvisoryCounciloftheGlobalTigerForum(GTF). He is a Member of The Energy and Resources Institute (TERI) Governing Council. He is the proposed India Chairman of The Nature Conservancy, the formation of which is underway. He is the founder of The Hemendra Kothari Foundation (HKF), a philanthropic organization which assists other NGOs, particularly in the areas of education, healthcare, art, culture, heritage and sports. He has other interests include travel & sports with a passion for cricket and football. Mr. Ranjan Pant Independent Director 57 B.E. (Hons.) (BITS Pilani), MBA (Wharton School) Mr. Ranjan Pant is a global Management Consultant advising CEO/ Boards on Strategy and Change Management. He was a Partner at Bain & Company, where he led the worldwide Utility Practice. He was also Director,Corporate Business Development, at General Electric headquarters. He is an Independent Director in several companies.
  • 8. 7 Name Age Qualification Brief Experience Dr. Omkar Goswami Independent Director 60 Masters in Economics (Delhi School of Economics), D.Phil. (Ph.D) from Oxford Dr. Omkar Goswami is the Founder and Chairman of CERG Advisory Pvt. Ltd. CERG is the acronym for the Corporate and Economic Research Group and primarily provides corporate advisory services, consulting services and research for companies and industries in India and abroad. He taught and researched economics for 18 years at various universities in India and abroad. In March 1997 he became the Editor of Business India. From August 1998 up to March 2004, he was the Chief Economist of the Confederation of Indian Industry — the apex industry organisation of India. From 1993 onwards, he has served on several government committees on corporate governance, bankruptcy and company laws, infrastructure, tax reforms, and others. He has also been a consultant to the World Bank, the IMF, the ADB and the OECD. He serves as an Independent Director on the Boards of Dr. Reddy’s Laboratories Ltd., Crompton Greaves Ltd., Hindustan Construction Company Ltd., Ambuja Cements Ltd. and other companies. He is also a non-executive independent director on the board of Bajaj Auto Limited Other than his regular columns for newspapers and magazines, he has authored three books and over 70 research papers on economic history, industrial economics, public sector, bankruptcy laws and procedures, macroeconomic policy, corporate governance, public finance, tax enforcement and legal reforms. Mr. Piyush Mankad Independent Director 75 B.A.(Hon) (Delhi University), Masters (History) (Delhi University), Diploma in Development Studies (Development Economics& Sociology), University of Cambridge Mr. Piyush Mankad is a retired civil servant with a distinguished career of over forty years in the prestigious Indian Administrative Service, which he joined in 1964, topping his batch. Some of the important positions that he has held include Counselor (economic) in the Indian Embassy, Tokyo; Controller of Capital Issues, Ministry of Finance; Finance Secretary, Government of India; and Executive Director for India and four other countries and Board Member, Asian Development Bank, Manila, which was his last assignment till July 2004. His areas of experience and expertise include, among others, public finance and policy; capital market regulation and development; promotion of industry, F.D.I. and infrastructure; and public administration. In addition to his Directorship on DSPBR Investment Managers, he has also been serving as Independent Director on the Boards and Committees of various reputed companies of Mahindra group. He recently retired as Independent Director from the various companies of Tata group. Mr. Uday Khanna Independent Director 67 B.Com, FCA Mr.Uday Khanna is currently the non-executive Chairman of Bata India Ltd. He also serves on the Boards of Castrol India Ltd., Pfizer Ltd., DSP BlackRock Investment Managers Pvt. Ltd. Pidilite Industries Ltd. & Kotak Mahindra Bank. He was Managing Director & CEO Lafarge India from July 1, 2005 to July 2011 and subsequently the Non-Executive Chairman till September 24, 2014.He joined the Lafarge Group in Paris on 1st June 2003 as Senior Vice President for Group Strategy, after a long experience of almost 30 years with Hindustan Lever/Unilever in a variety of financial, commercial and general management roles both nationally and internationally. His last position before joining Lafarge, was Senior Vice President Finance, Unilever - Asia, based in Singapore. He has earlier been on the Board of Hindustan Unilever as Director –Exports after having served as Financial Controller and Treasurer of the company. He has also worked as Vice Chairman of Lever Brothers in Nigeria and General Auditor for Unilever-North America based in the USA. He was also the President of the Indo-French Chamber of Commerce & Industry in 2008 & 2009 and the President of the Bombay Chamber of Commerce & Industry in 2012-2013. He is the recipient of “Ordre National du Merite” from the President of the Republic of France for his role in promoting Indo-French trade relations. He is also the Joint Managing Trustee & Treasurer of the Indian Cancer Society and is Director on the Governing Board of the Anglo-Scottish Education Society – Cathedral School.
  • 9. 8 Name Age Qualification Brief Experience Ms. Susan L. Wagner Associate Director 56 BA degree, magna cum laude, in English and economics from Wellesley College, MBA degree in finance from the University of Chicago Ms. Susan L. Wagner Director since 2012, retired as a Vice Chairman of BlackRock in June 2012. In addition to serving as Vice Chairman, She has also served as a member of BlackRock’s Global Executive Committee and Global Operating Committee. She had previously served as BlackRock’s Chief Operating Officer and Head of Corporate Strategy. Mr. Ryan David Stork Associate Director 45 BA Degree in Finance from the University of Massachusetts, Amherst Ryan Stork is BlackRock’s Chairman, Asia Pacific. He is responsible for all business activities in the region, which includes Greater China, Japan, Australia, Singapore, India and Korea. He is also a member of BlackRock’s Global Executive, Global Operating Committees and Global Talent Sub-Committee. Prior to moving to Hong Kong, He was the global head of the Aladdin Business within BlackRock Solutions in New York. Aladdin is BlackRock’s fully integrated investment management technology platform. Within the Aladdin Business, he was responsible for client relationships and business development as well as implementation and delivery of Aladdin services and its third-party investment accounting business. Prior to taking over the Aladdin Business, he was deputy head of BlackRock’s Europe, Middle East and Africa institutional business from 2005 to 2008. Based in London, he was responsible for business development and client service across the region. From 1999 to 2005, he worked within the institutional business leading the client service effort for BlackRock’s Financial Institutions Group. Before joining BlackRock in 1999, he was a portfolio manager at PennCorp Financial Group, a life insurance holding company, where he had oversight over asset allocation and external asset managers. He began his career in investments at Conning Asset Management. He is a member of the New York Society of Financial Analysts. He earned a BA degree in finance from the University of Massachusetts, Amherst
  • 10. 9 Name Age Qualification Brief Experience Mr. S. Ramadorai Independent Director 73 B.Sc. from Delhi University BE in Electronics and Telecommunications from Indian Institute of Science, Bangalore MS in Computer Science from University of California Mr. Ramadorai has been in public service since February 2011. Mr. Ramadorai is currently Chairman of AirAsia (India), Tata Advanced Systems Limited, Tata Technologies Limited and Tata STRIVE, which is the Tata Group’s CSR skill development initiative that aims to address the pressing national need of skilling youth for employment, entrepreneurship and community enterprise. Recently, in March 2016, he retired as the Chairman of the Bombay Stock Exchange (BSE Limited) after having served for a period of 6 years on the board. He continues to be an Independent Director on the Boards of Hindustan Unilever Limited, Asian Paints Limited and Piramal Enterprises Limited. He was Chairman of National Skill Development Agency (NSDA) in the rank of a Cabinet Minister. He was also Chairman of the National Skill Development Corporation (NSDC), a one of its kind, Public Private Partnership in India, under the Ministry of Skill Development & Entrepreneurship. He took over as the CEO of Tata Consultancy Services (TCS) in 1996 when the company’s revenues were at $ 155 million and since then led the company through some of its most exciting phases, including its going public in 2004. In October 2009, he retired as CEO, leaving a $ 6 billion global IT services company to his successor. He was then appointed as the Vice Chairman and held office until he retired in October 2014, after an association of over 4 decades with the company. Given his keen passion to work for the social sector and community initiatives, he also serves as the Chairman on the Council of Management at the National Institute of Advanced Studies (NIAS) and the Chairman of the Governing Board at the Tata Institute of Social Sciences (TISS). He is also the President of the Society for Rehabilitation of Crippled Children (SRCC) which is building a super speciality children’s hospital in Mumbai. In recognition of Ramadorai’s commitment and dedication to the IT industry he was awarded the Padma Bhushan (India's third highest civilian honour) in January 2006. In April 2009, he was awarded the CBE (Commander of the Order of the British Empire) by Her Majesty Queen Elizabeth II for his contribution to the Indo-British economic relations. In 2016, he was also awarded The Economic Times - Lifetime Achievement Award for his glorious contribution to Tata Consultancy Services. Ramadorai is a well recognized global leader and technocrat who has participated in the Indian IT journey from a mere idea in 1960’s to a mature industry today. Ramadorai captured this exciting journey in a wonderfully personalized book titled 'The TCS Story...and beyond' which was published in 2011 and remained on top of the charts for several months Mr. David Graham Associate Director 62 Chartered Accountant David Graham, Senior Advisor to BlackRock in the Asia Pacific. He was appointed to this position in April 2016. David spent 22 years with BlackRock including his years with Merrill Lynch Investment Managers and Mercury Asset Management. His last role was Head of the Family Offices, Charities and Endowments business in EMEA. Between2009and2013,DavidwasresponsibleforBlackRock'sjointventuresin India and China and responsible for the coverage ofAsian institutions in London. Previously, he had been head of client relationships in the EMEA Pacific region having been involved with the firm's business development in Asia and Europe since joining the firm in 1992. During this time, he also served on the boards of different subsidiary companies in Asia and Europe as well as on the boards of joint ventures in India, China and Thailand. David was previously an Asian investment manager with Lazards in London, Hong Kong and Tokyo and between 1977 and 1984 was with Deloitte Haskins & Sells (now PwC), in London and Sydney. He qualified as a Chartered Accountant in 1981. He currently also holds position of a Director in Templeton Emerging Markets Investment Trust Plc. Mr. Andrew Reynolds Associate Director 53 BSc degree in engineering and Mcom in business management at Pretoria University in South Africa. Post graduate in BA from Johannesburg University Mr. Reynolds has extensive experience in the financial services industry. Before joining BlackRock in 2014, from July 2000 to March 2013, he served as Global COO and Chief Executive Officer Asia of CLSA. He was an executive director of the main board of CLSA and served on all the boards of CLSA across Asia, USA and London. Mr. Reynolds also played an integral part in the negotiation of the sale of CLSA to CITICS. Prior to that, he was the country manager of Korea for CLSA. Before coming to Asia, Mr. Reynolds was a managing director at First Rand Bank in South Africa.
  • 11. 10 (iv) Duties and Responsibilities of the Asset Management Company (AMC) Under the Regulations and the Investment Management Agreement, the AMC has, inter-alia, the following duties andresponsibilities: a. The AMC shall take all reasonable steps and exercise due diligence to ensure that the investment of funds pertaining to any Scheme is not contrary to the provisions of the Regulations and the Trust Deed. b. The AMC shall exercise due diligence and care in all its investment decisions as would be exercised by other persons engaged in the same business. c. The AMC shall obtain, wherever required under these regulations, prior in-principle approval from the recognized stock exchange(s) where units are proposed to be listed. d. The AMC shall be responsible for the acts of commissions or omissions by its employees or the persons whose services have been procured by the AMC. e. The AMC shall submit quarterly reports on the functioning of the Scheme and the compliance with Regulations to the Trustee or at such intervals as may be required by the Trustee or SEBI. f. The Trustee at the request of the AMC may terminate the assignment of the AMC at any time. Provided that such termination shall become effective only after the Trustee has accepted the termination of assignment and communicated its decision in writing to the AMC. g. Notwithstanding anything contained in any contract or agreement or termination, the AMC or its directors or other officers shall not be absolved of any liability to the Mutual Fund for its / their acts of commission or omissions, while holding such position or office. h. The AMC shall not through any broker associated with the Sponsor, purchase or sell securities, which is average of 5% or more of the aggregate purchases and sale of securities made by the Mutual Fund in all its Scheme or as may be prescribed under SEBI (MF) Regulations. Provided that for the purpose of this clause, aggregate purchase and sale of securities shall exclude sale and distribution of Units issued by the Mutual Fund. Provided further that the aforesaid limit of 5% shall apply for a block of any three months or as may be prescribed under Regulations. i. The AMC shall not purchase or sell securities through any broker (other than a broker referred to in clause above) which is average of 5% or more of the aggregate purchases and sale of securities made by the Mutual Fund in all its Scheme or as may be prescribed under Regulations unless the AMC has recorded in writing the justification for exceeding the limit of 5% or as may be prescribed under Regulations and reports of all such investments are sent to the Trustee on a quarterly basis. Provided that the aforesaid limit shall apply for a block of any three months or as may be prescribed under Regulations. j. The AMC shall not utilise the services of the Sponsor or any of its associates, employees or their relatives, for the purpose of any securities transaction and distribution and sale of securities. Provided that the AMC may utilise such services if disclosure to that effect is made to the Unit holders and the brokerage or commission paid is also disclosed in the half yearly and annual accounts of the Mutual Fund. Provided further that the Mutual Fund shall disclose at the time of declaring half yearly and yearly results: • any underwriting obligations undertaken by the Scheme for the Mutual Fund with respect to issue of securities of associate companies; • devolvement, if any; • subscription by the Scheme in the issues lead managed by associate companies; • subscription to any issue of equity or debt on private placement basis where the Sponsor or its associate • companies have acted as arranger or manager. k. The AMC shall file with the Trustee the details of transactions in securities by the key personnel of the AMC in their own names or on behalf of the AMC, and shall report to SEBI, as and when required by SEBI. l. In case the AMC enters into any securities transactions with any of its associates a report to that effect shall be sent to the Trustee at its next meeting. m. In case any company has invested more than 5 per cent of the Net Asset Value of a Scheme or as may be prescribed under Regulations, the investment made by that Scheme or by any other Scheme in that company or its subsidiaries shall be brought to the notice of the Trustee by the AMC and be disclosed in the half yearly and annual accounts of the respective Scheme with justification for such investment. The said disclosure will be made provided the latter investment has been made within one year of the date of the former investment, calculated on either side. n. The AMC shall file with the Trustee and SEBI:- • detailed bio-data of all its directors alongwith their interest in other companies within fifteen days of their appointment; • any change in the interest of directors every six months; and • a quarterly report to the Trustee giving details and adequate justification about the purchase and sale of the securities of the group companies of the Sponsor or the AMC as the case may be by the Mutual Fund during the said quarter. o. Each director of the AMC shall file with the Trustee details of his transactions or dealings in securities of such value on a periodical basis as may be specified under the Regulations from time to time. p. The AMC shall not appoint any person as key personnel who has been found guilty of moral turpitude or convicted of any economic offence or involved in violation of securities laws. q. The AMC shall appoint registrars and share transfer agents who are registered with SEBI. Provided if the work relating to the transfer of Units is processed in-house, the charge at competitive market rates may be debited to the Scheme and for rates higher than the competitive market rates, prior approval of the Trustee shall be obtained and reasons for charging higher rates shall be disclosed in the annual accounts. r. The AMC shall abide by the Code of Conduct as specified in the Regulations. s. The AMC shall - • not act as a Trustee of any mutual fund; • not undertake any other business activities except activities in the nature of portfolio management services, investment management and advisory services to domestic and offshore funds, pension funds, provident funds, venture capital funds, management of insurance funds, financial consultancy and exchange of research on commercial basis if any of such activities are not in conflict with the activities of the Mutual Fund without the prior approval of the Trustee and SEBI. Provided that the AMC may itself or through its subsidiaries undertake such activities if it satisfies SEBI that the key personnel of the AMC, the systems, back office, bank and securities accounts are segregated activity wise and there exist systems to prohibit access to inside information of various activities. Provided further thatAMC shall meet capital adequacy requirements, if any, separately for each such activity and obtain separate approval, if necessary under the relevant regulations;
  • 12. 11 • not invest in any of its Scheme unless full disclosure of its intention to invest has been made in the Scheme Information Document (SID); Provided that the AMC shall not be entitled to charge any fees on its investment in that Scheme; – not acquire any assets out of theTrust Fund which involves the assumption of any liability which is unlimited or which may result in encumbrance of the Scheme property in any way. t. The Managing Director of the AMC shall ensure that the Mutual Fund complies with all the provisions of Regulations, 1996 and the guidelines or circulars issued in relation thereto from time to time and that the investments made by the fund managers are in the interest of the unit holders and shall also be responsible for the overall risk management function of the Mutual Fund. u. The AMC for each scheme shall keep and maintain proper books of account, records and documents, for each scheme so as to explain its transactions and to disclose at any point of time the financial position of each scheme and in particular give a true and fair view of the state of affairs of the Fund and intimate to the SEBI the place where such books of account, records and documents are maintained. The AMC shall maintain and preserve for a period of eight years its books of account, records and documents. (v) Information on Key Personnel and Employees of the AMC, Personnel of Investment Department (involved in Equity Research and Fund Management) and relevant experience Name Designation Age Qualifications Total no. of years of Experience Brief Experience Mr. Kalpen Parekh President 43 MMS (Finance), BE Chemical Over 19 years in Sales & Distribution, Asset Management Treasury From May 26, 2017 onwards : President, DSPBRIM From February 2017 to May 25, 2017: Joint President, DSPBRIM January 2016 to January 2017 : Managing Director, IDFC Asset Management Company Limited December 2010 to January 2016: Chief Executive Officer, IDFC Asset Management Company Limited From February 2008 to October 2010 : Head - Sales & Distribution, Birla Sun Life Asset Management Company Limited From 1999 to 2008: Joint Head – Retail Sales & Distribution, ICICI Prudential Asset Management Company Limited From 1998 to 1999: Dealer, Money Market, L&T Finance Mr. Ramamoorthy Rajagopal Chief Operating Officer 49 B.Com. ICWA, CFA (ICFAI) Over 23 years of experience in Finance and Operations From April 21, 2017 to present : Chief Operating Officer, DSPBRIM From March 2002 to April 20, 2017: DSPBRIM – joined as Chief Financial Officer, EVP and Chief Administrative Officer. From April 1996 to February 2002: DSP Merrill Lynch Limited – worked in core finance and product finance as Manager to Vice President. Mr. Pankaj Sharma Chief Investment Officer - Fixed Income 47 B.E. (Comp. Engg.), PGDBM (XLRI, Jamshedpur) More than 23 years of global and regional experience in asset management, investment banking and retail banking businesses across diverse financial institutions. May 26, 2017 onwards : Chief Investment Officer - Fixed Income, DSPBRIM Jun 15, 2016 till May 25, 2017: DSP BlackRock as Head of Fixed Income Jan-07 till Jun 14, 2016: DSP BlackRock as Head Risk Management & Business Development Jan-05 to Dec-06: DSP BlackRock as Head Risk Management & New Products Jun-03 to Dec-04: DSP BlackRock as Risk Manager Jun-02 to May-03: Infosys Technologies as Head of Pre-Sales and Product Evangelist for Treasury Product Apr-93 to Apr-02: Citibank as Division Market Risk and Treasury Products Manager for Latin America
  • 13. 12 Name Designation Age Qualifications Total no. of years of Experience Brief Experience Ms. Aditi Kothari Head - Sales and Marketing 40 Bachelor of Science in Economics, Wharton School, University of Pennsylvania and MBA from Harvard Business University Over 12 years in Mutual Fund industry From October, 2015 to Present: DSPBRIM - Head - Sales and Marketing From January, 2014 to September, 2015 :DSPBRIM - Co-Head Marketing & E-Business From October 01, 2011 to December 31, 2013 :DSPBRIM - Business Head – Retail Relationship & Co-Head Marketing From September 2007 - September, 2011 - DSPBRIM - Sr. Vice President, Business Head - Retail Relationship. From January 2005 to July 2005 – Vice President -CorporateStrategy,Planning&BusinessDevelopment, DSP Merrill Lynch Fund Managers Limited From August 2003 to December 2004 - Assistant Vice President- Corporate Strategy, Planning & Business Development, DSP Merrill Lynch Fund Managers Limited From January 2003 To July 2003 - Assistant Vice President- Corporate Strategy, Planning & Business Development,DSPMerrillLynchFundManagersLimited FromJanuary2000toDec2002–Manager-Corporate Strategy, Planning & Business Development, DSP Merrill Lynch Fund Managers Limited Mr. Gaurav Nagori Head – Client Response & Operations 41 B.Com. ACA Over 18 years of experience in the Mutual Fund industry From June 30, 2017 to Present DSPBRIM : Sr. Vice President, Head - Client Response & Operations and Chief Financial Officer From January 2009 to June 29, 2017: DSPBRIM - Sr. Vice President and Head - Client Response & Operations. From January 2006 - January 2009: DSPBRIM - Vice President & Head - Client Response & Operations. From December 2003 to December 2005: DSPBRIM – joined as AVP Client Response & Operations. From September 1999 to November 2003: Franklin Templeton Asset Management India (P) Ltd. worked in Transfer Agency, Customer Service, Operations and Projects as Manager toAssistant Vice President. From March 1998 to September 1999: JM Financial Asset Management India (P) Ltd. Worked in fund accounting, compliance and investor services as a manager. Mr. Anup Maheshwari Chief Investment Officer - Equities 46 B.Com. PGDM Over 22 years experience in Equity Research From May 26, 2017 onwards : Chief Investment Officer – Equities - DSPBRIM. From September 1, 2006 till May 25, 2017– DSPBRIM - joined as Head – Equities & Corporate Strategy From December 2005 to April 2006 – Chief Investment Officer, HSBC Asset Management. From July 1997 to November 2005 – Served as Local sub–advisor to Merrill Lynch India Equities Fund (Mauritius) Limited (the Offshore Fund) and appointed as a Fund Manager for Equity related schemes in April 2001. Dr. Pritesh Majmudar Head - Legal & Compliance 40 B.Com, LLM, Company Secretary, Ph.D (Law), PGDSL - Government Law College, Mumbai Over 16 years of experience in the field of law and compliance From December 2007 to present: DSPBRIM – joined as Manager – Law & Compliance and presently Senior Vice President Compliance Officer & Company Secretary, From March 2004 to November 2007: Morgan Stanley Advantage Services Pvt. Ltd. – worked in law and compliance department as Senior Associate and Company Secretary.
  • 14. 13 Name Designation Age Qualifications Total no. of years of Experience Brief Experience Ms. Aparna Karnik Senior Vice President, Head - Risk & Quantitative Analysis 39 B.Com, M.M.S. (Mumbai University) Over 13 years of experience in credit research and risk management From May 2010 to present: DSPBRIM – joined as AVP, Risk & Quantitative Analysis, presently Head – Risk & Quantitative Analysis From April 2007 to May 2010: CRISIL Ltd, Senior Manager, Corporate & Infrastructure Ratings From August 2004 to March 2007: CRISIL Ltd, Manager, Structured Finance Ratings Mr. Apoorva Shah Executive Vice President 53 B.Com. PGDM (IIM Ahmedabad) Over 25 years of experience in Banking and Investment From January 2009 to present: Exec. Vice President, Investments - DSPBRIM From April 06 to December 08: Sr. Vice President, Investments - DSPBRIM From1998toMarch2006-PortfolioAdvisorandHead of Products, GPC India, DSP Merrill Lynch Limited. Mr. M. Suryanarayanan Fund Manager 32 B.E., PGDM (IIM Ahmedabad) Over 8 years of experience February 2014 till date: DSPBRIM – Vice President, Equity Investments July 2011 – January 2014 – DSPBRIM – Associate Vice President, Product Management May 2009 – July 2011 - Anand Rathi Financial Services Ltd – Associate Vice President, Wealth Management Products May 2008 – Apr 2009 - Anand Rathi Financial Services Ltd – Associate, Wealth Management Sales. Mr. Harish Zaveri Fund Manager 49 B.Com & Diploma of Business Finance (ICFAI, Hyderabad). Over 21 years of experience From July 11, 2011 to present: DSPBRIM – Senior Vice President From February 2007 to July 2011: Vice President – Research - Deutsche Bank AG - Equities From October, 2005 to February, 2007: Analyst - HSBCSecuritiesandCapitalMarkets(India) Pvt.Ltd. From March, 2001 to October, 2005: Senior Vice President–EquityResearch-EdelweissSecuritiesLtd. Mr. Vinit Sambre Fund Manager 42 B.Com, FCA Over 18 years experience January 2010 to present: Senior Vice President - DSPBRIM. July 2007 to Dec 2009 - Asst. Vice President -DSPBRIM November 2005 to June 2007 - Assistant Vice President - Global Private Client with DSP Merrill Lynch Limited December 2002 to October 2005 - Sr. Manager-Investment Advisory Services - IL & FS Investsmart Ltd. June 2000 to December 2002 – Manager - Equity Research & Investment - Unit Trust of India Investment Advisory Services Ltd. March 1999 to May 2000 Worked -Equity Research Analyst - Kisan Ratilal Choksey Shares & Securities Pvt. Ltd. April 1998 to February 1999 - Analyst with Credit Rating Information Services of India Limited (CRISIL) on retainership basis. Mr. Atul Bhole Fund Manager 38 M.M.S. (Finance- JBIMS), CA Exams - Clear, B.Com. Over 10 Years of experience From May 2016 to present: Vice President - DSPBRIM. From April 2011 to April 2016: Fund Manager –Tata Asset Management Ltd. From February 2007 to March 2011: Equity Research Analyst- Tata Asset Management Ltd. From November 06 to February 2007: Equity Research Analyst – JP Morgan Services (India) Pvt. Ltd. From June 2005 to October 2006: Equity Research Analyst – State Bank of India (Treasury).
  • 15. 14 Name Designation Age Qualifications Total no. of years of Experience Brief Experience Mr. Mayur Patel Fund Manager 36 Chartered Accountant (CA), B.Com CFA Charterholder Over 10 Years of experience From September 2013 to present: Vice President - DSPBRIM. From December 2009-August 2013: Senior Equity Research Analyst – Spark Capital Advisors (Pvt) Ltd From November 2007 to November 2009: Offshore Associate - CRISIL, IREVNA. From January 2005- October 2007: Manager, Finance – Tata Motors Ltd. Mr. Suketu Mehta Equity Dealer 46 B.Com. Over 20 years of experience in stock broking From December 2004 to present – DSPBRIM: Vice President, Equity. From January 2003 to December 2004 – DSP Merrill Lynch Limited: Dealer, Equity. From January 2002 to January 2003 – HDFC Securities: Sales Trader, Equity. From October 2000 to November 2001 – W.I. Carr Securities: Sales Trader, Equity. From January 1994 to September 2000 – LKP Securities Ltd.: Sales Trader, Equity Mr. Chirag Darji Equity Dealer 38 B.Com, ACA Over 11 years of experience From January 2010 to Present: Assistant Vice President, Investments – Equity at DSPBRIM. From February 2008 to December 2009: transferred to Investments – Equity at DSPBRIM. From July 2006 to February 2008: Manager, Fund Administration at DSP Merrill Lynch Limited. From March, 2005 to June, 2006: Management Trainee, Fund Administration at DSP Merrill Lynch Limited. Mr. Laukik Bagwe Fund Manager 40 B.Com., PGDBA (Finance) Over 15 years of experience in Fixed Income Market From November 2007 to Current: Vice President - DSPBRIM. From November 2003 to October 2007 – Derivium Capital & Securities Pvt. Ltd. – Head Fixed Income Trading – SLR & NONSLR Broking. From June 2000 to October 2003 – Birla Sunlife Securities Ltd. – Manager - SLR & NONSLR Broking. Mr. Rohit K Singhania Fund Manager 40 B.Com, MMS (Finance) Over 16 years experience in Equity Research From September, 2005 to current: Senior Vice President - DSPBRIM. Joined as Portfolio Analyst in firm’s PMS division. Transferred to Equities Investment team in June 2009 as Research Analyst. Previously, he was with HDFC Securities Limited as a part of its Institutional Equities Research Desk. He spent 13 months at HDFC Securities as Sr. Equity Analyst. Prior to HDFC Securities, he was employed with IL&FS Investsmart Limited as an Equity Analyst. Mr. Mehul Jani Vice President 36 CFA, MSc Banking and International Finance, Bachelor of Management Studies Over 12 years experience From October 1, 2008 to current: Vice President DSPBRIM – Analyst on the Equities team. From September 2004 to June 2008 - Associate, Morgan Stanley, London Exotic product valuations and fund derivatives trading
  • 16. 15 Name Designation Age Qualifications Total no. of years of Experience Brief Experience Mr. Jay Kothari Fund Manager 36 MBA (Finance) – Mumbai University Bachelor in Management Studies (Mumbai University) Over 13 years experience From 2010 to present – Vice President in Equity Investments and a Product Strategist at DSPBRIM From 2005 to 2010 – Mumbai Banking Sales Head at DSPBRIM From 2002 to 2003 - Priority Banking division at Standard Chartered Bank Mr. Vivek Ved Fund Manager 39 B.Com Over 18 years expe- rience From 2006 to present: DSPBRIM - AVP Fixed Income, 7 years experience on the fixed income trading desk From 1997-2006: DSPBRIM – Manager Marketing. Mr. Kedar Karnik Fund Manager 36 MMS (Finance), BE (Electronics & Telecommuni- cations) Over 11 years experience From July 2016 to present – Vice President – DSPBRIM. From September 2012 to June 2016, Fund Man- ager – Fixed Income, Axis Asset Management Company Ltd. From July 2008 to September 2012, Fund Manager – Fixed Income, HSBC Asset Management (India) Pvt. Ltd. From September 2005 to July 2008, Manager – Ratings, CRISIL Ltd. Mr. Vikram Chopra Fund Manager 39 B.Com. (HONS) PGDM (MBA) Over 15 years experience From July 2016 to present – Vice President – DSPBRIM. From November 2012 – May 2016 – Fund Man- ager, L&T Mutual Fund From June 2006– November 2012 – Fund Man- ager, Fidelity Mutual Fund From August 2002 – June 2006 – Manager - IDBI Bank From June 2001 – August 2002 – Manager - Axis Bank Mr. Karan Mundhra Fixed Income - Dealer 27 B.Com. Chartered Accountant (CA) Over 4 years experience From July 2016 to present –Dealer, Fixed Income – DSPBRIM. From February 2016 to July 2016 –Manager – Fixed Income - DSPBRIM From April 2012 to January 2016 – Manager - Fund Accounting – DSPBRIM Ms. Gauri Sekaria Fund Manager 34 Bachelor of Business Management ( Finance) Msc. International Securities, Investment & Banking FRM 11 years From January 2017 to present – Fund Manager, Exchange Traded Fund– DSPBRIM. From August 2011 to November 2016 - Executive Director, Goldman Sachs Asset Management India Ltd. From September 2005 to August 2011 - Assistant Vice President – Investments, Benchmark Asset Management India Private Ltd.
  • 17. 16 SECTION II – SERVICE PROVIDERS Service provider Name Address SEBI Regn. No. Custodian Citibank N.A. Securities & Issuer Services First International Financial Centre (FIFC), 11th Floor, Plot Nos. C 54 and C55, G Block, Bandra Kurla Complex, Bandra East, Mumbai 400051 IN/CUS/004 Transfer Agent /Registrar/Dividend paying Agent (‘Registrar’)# Computer Age Management Services (Private) Limited Rayala Towers, 7th Floor - Tower I No 158 Anna Salai Chennai - 600 002. INR000002813 Statutory Auditor S. R. Batliboi & Co LLP 14th Floor, The Ruby, 29 Senapati Bapat Marg, Dadar (West), Mumbai – 400 028 N.A. Legal Counsel Wadia Ghandy & Co. N. M. Wadia Buildings, 123, Mahatma Gandhi Road, Mumbai 400 001, India. N.A. Fund Accountant Citibank N.A. Securities & Issuer Services First International Financial Centre (FIFC), 11th Floor, Plot Nos. C 54 and C55, G Block, Bandra Kurla Complex, Bandra East, Mumbai 400051 IN/CUS/004 Collecting Banker Citibank N.A. Securities & Issuer Services First International Financial Centre (FIFC), 11th Floor, Plot Nos. C 54 and C55, G Block, Bandra Kurla Complex, Bandra East, Mumbai 400051 INBI00000037 HDFC Bank HDFC Bank Limited, HDFC Bank House, Senapati Bapat Marg, Lower Parel (W), Mumbai - 400013 INBI00000063 The above list of Collecting Banker is indicative and not exhaustive. The AMC reserves the right to change/modify the list of collecting bankers and appoint other banks as collecting bankers from time to time subject to such banks being registered with SEBI as Collecting Bankers. # The Boards of AMC and Trustee have ensured that the Registrar has adequate capacity to discharge responsibilities with regard to processing of applications and dispatching unit certificates to unit holders within the time limit prescribed in the Regulations and also has sufficient capacity to handle investor complaints.
  • 18. 17 Sr. No. Scheme Name DSP BlackRock Global Allocation Fund Date of Allotment 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14 21-Aug-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.2831 *10.3537 - *10.3643 *10.3933 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *10.2831 *10.3537 - *10.3643 *10.3933 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.8398 10.3823 10.3710 10.9529 10.4641 10.4105 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 10.8398 10.3823 10.3710 10.9529 10.4641 10.4105 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 3.14% 2.36% NA 3.55% 2.86% NA 5 Absolute Return (Growth Option) NA NA 3.71% NA NA 4.11% 6 Benchmark Returns 5.83% 5.97% 2.50% 5.83% 5.97% 2.50% 7 Name of Benchmark adopted "36% S&P 500 Composite; 24% FTSE World (ex-US); 24% ML US Treasury Current 5 Year; 16% Citigroup Non-USD World Government Bond Index" 8 Net Assets end of Period (Rs. Crs) 32.77 37.00 48.35 7.24 7.37 6.62 9 Ratio Recurring Expenses to Net Assets 2.13% 2.08% 2.07% 1.88% 1.70% 1.45% 10 Standard Benchmark Name Nifty 50 Nifty 50 Nifty 50 Nifty 50 Nifty 50 Nifty 50 11 Standard Benchmark Returns 5.94% -1.21% 7.60% 5.94% -1.21% 7.60% * Refers to Computed NAV. SECTION III – CONDENSED FINANCIAL INFORMATION (CFI) Historical Per Unit Statistics is presented scheme wise for all the schemes launched by DSP BlackRock Mutual Fund during the last three fiscal years (excluding redeemed schemes) for each of the last three fiscal years.
  • 19. 18 Sr. No. Scheme Name DSP BlackRock Constant Maturity 10Y G-Sec Fund Date of Allotment 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.7055 *10.9068 - *11.7498 *10.9208 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend *10.3670 *10.2867 - *10.3984 *10.2863 - Quarterly Dividend *10.4050 *10.3081 - *10.4060 *10.3087 - Dividend *10.3948 *10.3078 - *10.3958 *10.3088 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend 1.298999 0.651300 0.599299 1.350998 0.583600 0.612002 Quarterly Dividend 1.114600 0.641800 0.590400 1.195101 0.660701 0.275100 Dividend 1.169400 0.666000 0.598000 1.198200 0.693700 0.610900 3 NAV at the end of the year (as on March 31) (Rs.) Growth 13.1154 11.7031 10.9047 13.1979 11.7474 10.9186 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend 10.2623 10.3650 10.2847 10.2675 10.3635 10.2842 Quarterly Dividend 10.5030 10.4030 10.3060 10.4422 10.4038 10.3066 Dividend 10.4730 10.3928 10.3057 10.4741 10.3937 10.3067 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 11.40% 10.96% NA 11.68% 11.24% NA 5 Absolute Return (Growth Option) NA NA 9.05% NA NA 9.19% 6 Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86% 7 Name of Benchmark adopted CRISIL 10 Year Gilt Index 8 Net Assets end of Period (Rs. Crs) 5.65 4.24 4.83 120.43 47.39 60.09 9 Ratio Recurring Expenses to Net Assets 0.48% 0.47% 0.48% 0.23% 0.22% 0.23% 10 Standard Benchmark Name CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86% * Refers to Computed NAV.
  • 20. 19 Sr. No. Scheme Name DSP BlackRock 3 Years Close Ended Equity Fund Date of Allotment 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14 27-Nov-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth 9.9390 10.3650 - 9.9920 10.3830 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 9.9390 10.3650 - 9.9920 10.3830 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 13.8980 9.9020 10.2200 14.0200 9.9540 10.2380 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 13.8980 9.9020 10.2200 14.0200 9.9540 10.2380 Unclaimed Dividend Upto 3 years - - 0.0000 0.0000 0.0000 0.0000 Unclaimed Dividend Beyond 3 years - - 0.0000 0.0000 0.0000 0.0000 Unclaimed Redemption Upto 3 years - - 0.0000 0.0000 0.0000 0.0000 UnclaimedRedemptionBeyond3years - - 0.0000 0.0000 0.0000 0.0000 4 Annualised Return (Growth Option) 15.09% -0.73% NA 15.52% -0.34% NA 5 Absolute Return (Growth Option) NA NA 2.20% NA NA 2.38% 6 Benchmark Returns 6.85% -4.31% 1.94% 6.85% -4.31% 1.94% 7 Name of Benchmark adopted NIFTY 500 Index 8 Net Assets end of Period (Rs. Crs) 911.60 649.49 670.36 11.33 8.04 8.27 9 Ratio Recurring Expenses to Net Assets 2.61% 2.65% 2.76% 2.26% 2.30% 2.27% 10 Standard Benchmark Name Nifty 50 11 Standard Benchmark Returns 3.34% -6.71% -0.04% 3.34% -6.71% -0.04% * Refers to Computed NAV.
  • 21. 20 Sr. No. Scheme Name DSP BlackRock Ultra Short Term Fund Date of Allotment 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15 10-Mar-15 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.9464 *10.0828 - *10.9871 *10.0850 - Daily Dividend *10.0506 *10.0423 - *10.0434 *10.0436 - Weekly Dividend *10.0421 *10.0766 - *10.0434 *10.0784 - Monthly Dividend *10.2168 *10.0828 - *11.2943 *11.1347 - Quarterly Dividend *10.0819 *10.0828 - *10.0838 *10.0850 - Dividend - - - - - - 2 Dividends (Rs.) Daily Dividend 0.742465 0.817177 0.040520 0.781161 0.860778 0.041352 Weekly Dividend 0.749386 0.860339 0.006244 0.787790 0.896169 0.006591 Monthly Dividend 0.780199 0.700008 - 0.897199 0.799299 - Quarterly Dividend 0.747599 0.843600 - 0.780300 0.880600 - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.8227 10.9443 10.0808 11.9077 10.9849 10.0828 Daily Dividend 10.0835 10.0487 10.0402 10.0709 10.0414 10.0414 Weekly Dividend 10.0665 10.0402 10.0745 10.0654 10.0414 10.0762 Monthly Dividend 10.2261 10.2149 10.0808 11.3075 11.2920 10.0828 Quarterly Dividend 10.1175 10.0800 10.0807 10.1226 10.0818 10.0828 Dividend - - - - - - Unclaimed Dividend Upto 3 years 0.0000 - - - - - Unclaimed Dividend Beyond 3 years 0.0000 - - - - - Unclaimed Redemption Upto 3 years 0.0000 - - - - - UnclaimedRedemptionBeyond3years 0.0000 - - - - - 4 Annualised Return (Growth Option) 8.47% 8.88% NA 8.84% 9.26% NA 5 Absolute Return (Growth Option) NA NA 0.81% NA NA 0.83% 6 Benchmark Returns 7.98% 8.48% 0.63% 7.98% 8.48% 0.63% 7 Name of Benchmark adopted 50% of CRISIL Composite CP Index + 50% of CRISIL Composite CD Index 8 Net Assets end of Period (Rs. Crs) 1,488.31 749.58 124.18 2,010.29 778.50 171.90 9 Ratio Recurring Expenses to Net Assets 0.50% 0.49% 0.50% 0.15% 0.14% 0.15% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.53% 7.88% 0.64% 7.53% 7.88% 0.64% * Refers to Computed NAV.
  • 22. 21 Sr. No. Scheme Name DSP BlackRock FMP - Series 161 - 12M (Maturity Date 27-Apr-2017) Date of Allotment 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14 15-Apr-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.7817 *10.8884 - *11.8040 *10.8980 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - *10.8884 - *10.7872 *10.8980 - Dividend *10.7770 *10.8884 - - *10.8980 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - 0.932301 - - 0.942600 - Dividend - 0.932301 - - 0.942600 - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 12.7220 11.7792 10.8857 12.7588 11.8015 10.8954 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - 10.8857 11.6597 10.7849 10.8954 Dividend 11.6371 10.7747 10.8857 - - 10.8954 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 8.47% 8.71% NA 8.57% 8.81% NA 5 Absolute Return (Growth Option) NA 8.86% NA 8.95% 6 Benchmark Returns 9.33% 9.44% 10.04% 9.33% 9.44% 10.04% 7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 53.55 49.58 59.45 45.35 41.95 110.59 9 Ratio Recurring Expenses to Net Assets 0.36% 0.39% 0.22% 0.26% 0.34% 0.13% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.91% 8.30% 8.59% 7.91% 8.30% 8.59% * Refers to Computed NAV.
  • 23. 22 Sr. No. Scheme Name DSP BlackRock FMP - Series 162 - 12M (Maturity Date 27-Apr-2017) Date of Allotment 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14 16-Apr-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.7769 *10.8853 - *11.7992 *10.8950 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - *10.8854 - - *10.8950 - Dividend *10.7752 *10.8853 - - *10.8950 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - 0.929800 - - 0.940100 - Dividend - 0.929800 - - 0.940100 - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 12.7177 11.7745 10.8828 12.7545 11.7967 10.8924 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - 10.8828 - - 10.8924 Dividend 11.6360 10.7729 10.8828 - - 10.8924 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 8.46% 8.70% NA 8.57% 8.80% NA 5 Absolute Return (Growth Option) NA NA 8.83% NA NA 8.92% 6 Benchmark Returns 9.32% 9.44% 10.00% 9.32% 9.44% 10.00% 7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 20.12 18.63 36.30 9.11 8.43 14.56 9 Ratio Recurring Expenses to Net Assets 0.34% 0.39% 0.19% 0.24% 0.29% 0.09% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.92% 8.31% 8.57% 7.92% 8.31% 8.57% * Refers to Computed NAV.
  • 24. 23 Sr. No. Scheme Name DSP BlackRock FMP - Series 163 - 12M (Maturity Date 27-Apr-2017) Date of Allotment 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14 21-Apr-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.7831 *10.8697 - *11.8053 *10.8792 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - *10.8697 - *10.7961 *10.8792 - Dividend *10.7857 *10.8697 - - *10.8792 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - 0.924801 - - 0.935100 - Dividend - 0.924801 - - 0.935100 - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 12.7056 11.7807 10.8671 12.7423 11.8028 10.8766 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - 10.8671 11.6529 10.7938 10.8766 Dividend 11.6301 10.7834 10.8671 - - 10.8766 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 8.47% 8.79% NA 8.58% 8.89% NA 5 Absolute Return (Growth Option) NA NA 8.67% NA NA 8.77% 6 Benchmark Returns 9.30% 9.40% 9.81% 9.30% 9.40% 9.81% 7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 7.96 7.38 30.89 8.03 7.44 118.61 9 Ratio Recurring Expenses to Net Assets 0.47% 0.34% 0.22% 0.37% 0.22% 0.12% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.91% 8.30% 8.43% 7.91% 8.30% 8.43% * Refers to Computed NAV.
  • 25. 24 Sr. No. Scheme Name DSP BlackRock FMP - Series 164 - 12M (Maturity Date 16-May-2017) Date of Allotment 12-May-14 12-May-14 12-May-14 12-May-14 12-May-14 12-May-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.7205 *10.8191 - *11.7417 *10.8278 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - *10.8278 - Dividend - *10.8191 - *10.7343 *10.8279 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - 0.937601 - Dividend - 0.927501 - - 0.937601 - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 12.6608 11.7181 10.8166 12.6964 11.7393 10.8253 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - 10.8253 Dividend - - 10.8166 11.6073 10.7321 10.8253 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 8.51% 8.76% NA 8.62% 8.87% NA 5 Absolute Return (Growth Option) NA NA 8.17% NA NA 8.25% 6 Benchmark Returns 9.25% 9.32% 9.09% 9.25% 9.32% 9.09% 7 Name of Benchmark adopted CRISIL Short Term Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 32.08 29.69 30.98 11.68 10.80 15.75 9 Ratio Recurring Expenses to Net Assets 0.26% 0.32% 0.09% 0.16% 0.21% 0.00% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.85% 8.22% 7.80% 7.85% 8.22% 7.80% * Refers to Computed NAV.
  • 26. 25 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 29 - 40M Date of Allotment 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14 29-Sep-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.4165 *11.3025 - *10.4952 *11.3310 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *10.4165 *11.3025 - - - - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.2852 10.4617 10.7610 11.4273 10.5405 10.7880 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 11.2852 10.4617 10.7610 - - - Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 4.95% 3.05% NA 5.47% 3.56% NA 5 Absolute Return (Growth Option) NA 7.61% NA 7.88% 6 Benchmark Returns 10.31% 9.00% 7.74% 10.31% 9.00% 7.74% 7 Name of Benchmark adopted CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 109.84 101.83 104.74 0.77 0.71 0.72 9 Ratio Recurring Expenses to Net Assets 2.00% 2.00% 2.00% 1.50% 1.50% 1.50% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.79% 8.22% 4.57% 7.79% 8.22% 4.57% * Refers to Computed NAV.
  • 27. 26 Sr. No. Scheme Name DSP BlackRock FTP - Series 44 - 36M Date of Allotment 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 26-Sep-14 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *11.5131 *10.6154 - *11.6005 *10.6426 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *11.5131 *10.6154 - *11.6005 *10.6426 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 12.5079 11.5107 10.6131 12.6366 11.5979 10.6402 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 12.5079 11.5107 10.6131 12.6366 11.5979 10.6402 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 9.32% 9.75% NA 9.76% 10.30% NA 5 Absolute Return (Growth Option) NA NA 6.13% NA NA 6.40% 6 Benchmark Returns 10.87% 10.72% 7.77% 10.87% 10.72% 7.77% 7 Name of Benchmark adopted CRISIL Composite Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 42.49 39.11 36.06 18.82 17.27 15.84 9 Ratio Recurring Expenses to Net Assets 0.38% 0.74% 0.74% 0.12% 0.24% 0.24% 10 Standard Benchmark Name CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 11.52% 11.28% 8.86% 11.52% 11.28% 8.86% * Refers to Computed NAV.
  • 28. 27 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 34 - 36M Date of Allotment 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15 2-Feb-15 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *9.6694 *10.1391 - *9.7256 *10.1472 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *9.6694 *10.1391 - *9.7256 *10.1471 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.2693 9.7032 9.8985 10.3806 9.7595 9.9062 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 10.2693 9.7032 9.8985 10.3806 9.7595 9.9062 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 1.24% -2.57% NA 1.75% -2.08% NA 5 Absolute Return (Growth Option) NA NA -1.02% NA NA -0.94% 6 Benchmark Returns 8.37% 5.10% 0.25% 8.37% 5.10% 0.25% 7 Name of Benchmark adopted CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 80.43 76.00 77.52 2.99 2.81 2.85 9 Ratio Recurring Expenses to Net Assets 2.00% 2.00% 2.00% 1.50% 1.50% 1.50% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.53% 7.86% 1.36% 7.53% 7.86% 1.36% * Refers to Computed NAV.
  • 29. 28 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 35 - 36M Date of Allotment 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15 24-Feb-15 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *9.6181 *10.0628 - *9.6711 *10.0677 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *9.6181 *10.0628 - *9.6711 *10.0677 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.1754 9.6503 9.9922 10.2826 9.7033 9.9970 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 10.1754 9.6503 9.9922 10.2826 9.7033 9.9970 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 0.83% -3.19% NA 1.34% -2.70% NA 5 Absolute Return (Growth Option) NA NA -0.08% NA NA -0.03% 6 Benchmark Returns 8.63% 5.39% 0.25% 8.63% 5.39% 0.25% 7 Name of Benchmark adopted CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 136.81 129.75 134.35 2.75 2.59 2.67 9 Ratio Recurring Expenses to Net Assets 2.00% 2.00% 2.01% 1.50% 1.50% 1.51% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.58% 7.97% 1.02% 7.58% 7.97% 1.02% * Refers to Computed NAV.
  • 30. 29 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 36 - 36M Date of Allotment 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15 18-Mar-15 Financial Year 16-17 15-16 14-15 16-17 15-16 14-15 Plans Regular Plan Regular Plan Regular Plan Direct Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *9.6381 *10.1019 - *9.6882 *10.1038 - Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend *9.6381 *10.1019 - *9.6882 *10.1038 - 2 Dividends (Rs.) Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend - - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.2745 9.6704 9.7048 10.3796 9.7206 9.7066 Daily Dividend - - - - - - Weekly Dividend - - - - - - Monthly Dividend - - - - - - Quarterly Dividend - - - - - - Dividend 10.2745 9.6704 9.7048 10.3796 9.7206 9.7066 Unclaimed Dividend Upto 3 years - - - - - - Unclaimed Dividend Beyond 3 years - - - - - - Unclaimed Redemption Upto 3 years - - - - - - UnclaimedRedemptionBeyond3years - - - - - - 4 Annualised Return (Growth Option) 1.34% -3.18% NA 1.84% -2.69% NA 5 Absolute Return (Growth Option) NA NA -2.95% NA NA -2.93% 6 Benchmark Returns 8.84% 5.61% 0.16% 8.84% 5.61% 0.16% 7 Name of Benchmark adopted CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 94.15 88.61 88.93 5.74 5.38 5.37 9 Ratio Recurring Expenses to Net Assets 2.00% 2.00% 2.02% 1.50% 1.50% 1.52% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.56% 7.95% 0.53% 7.56% 7.95% 0.53% * Refers to Computed NAV.
  • 31. 30 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 39 - 36M Date of Allotment 28-Sep-15 28-Sep-15 28-Sep-15 28-Sep-15 Financial Year 16-17 15-16 16-17 15-16 Plans Regular Plan Regular Plan Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.1654 - *10.1913 - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend *10.1654 - *10.1913 - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.4395 10.1751 11.5259 10.2008 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend 11.4395 10.1751 11.5259 10.2008 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) 9.34% NA 9.88% NA 5 Absolute Return (Growth Option) NA 1.75% NA 2.01% 6 Benchmark Returns 10.78% 3.90% 10.78% 3.90% 7 Name of Benchmark adopted CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 24.48 21.78 2.86 2.53 9 Ratio Recurring Expenses to Net Assets 2.25% 2.25% 1.75% 1.75% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index Crisil 1 Year T-Bill Index Crisil 1 Year T-Bill Index Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.26% 3.72% 7.26% 3.72% * Refers to Computed NAV.
  • 32. 31 Sr. No. Scheme Name DSP BlackRock FMP - Series 192 - 36M Date of Allotment 12-Jan-16 12-Jan-16 12-Jan-16 12-Jan-16 Financial Year 16-17 15-16 16-17 15-16 Plans Regular Plan Regular Plan Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.2454 - *10.2532 - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend *10.2454 - *10.2532 - Dividend *10.2454 - *10.2533 - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.2600 10.2430 11.3058 10.2507 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend 11.2600 10.2430 11.3058 10.2507 Dividend 11.2600 10.2430 11.3058 10.2507 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) 10.25% NA 10.62% NA 5 Absolute Return (Growth Option) NA 2.43% NA 2.51% 6 Benchmark Returns 10.93% 2.12% 10.93% 2.12% 7 Name of Benchmark adopted CRISIL Composite Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 76.81 69.87 12.97 11.76 9 Ratio Recurring Expenses to Net Assets 1.55% 1.00% 1.22% 0.65% 10 Standard Benchmark Name CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 12.34% 2.98% 12.34% 2.98% * Refers to Computed NAV.
  • 33. 32 Sr. No. Scheme Name DSP BlackRock FMP - Series 195 - 36M Date of Allotment 26-Feb-16 26-Feb-16 26-Feb-16 26-Feb-16 Financial Year 16-17 15-16 16-17 15-16 Plans Regular Plan Regular Plan Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth *10.1455 - *10.1489 - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend *10.1455 - *10.1489 - Dividend *10.1455 - *10.1489 - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.1349 10.1435 11.1776 10.1468 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend 11.1349 10.1435 11.1776 10.1468 Dividend 11.1349 10.1435 11.1776 10.1468 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) 10.33% NA 10.72% NA 5 Absolute Return (Growth Option) NA 1.43% NA 1.47% 6 Benchmark Returns 12.69% 2.58% 12.69% 2.58% 7 Name of Benchmark adopted CRISIL Composite Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 44.52 40.56 6.61 6.00 9 Ratio Recurring Expenses to Net Assets 0.53% 0.92% 0.17% 0.57% 10 Standard Benchmark Name CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 13.75% 2.91% 13.75% 2.91% * Refers to Computed NAV.
  • 34. 33 Sr. No. Scheme Name DSP BlackRock Equity Savings Fund Date of Allotment 28-Mar-16 28-Mar-16 28-Mar-16 28-Mar-16 Financial Year 16-17 15-16 16-17 15-16 Plans Regular Plan Regular Plan Direct Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth 10.053 - 10.054 - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend 10.053 - 10.054 - Quarterly Dividend 10.053 - 10.054 - Dividend 10.053 - 10.054 - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend 0.512000 - 0.512000 - Quarterly Dividend 0.511000 - 0.221000 - Dividend 0.621000 - 0.566000 - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.4150 10.0670 11.5390 10.0680 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend 10.8820 10.0670 11.0080 10.0680 Quarterly Dividend 10.8830 10.0670 11.3060 10.0680 Dividend 10.7930 10.0670 10.9750 10.0680 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) 14.03% NA 15.26% NA 5 Absolute Return (Growth Option) NA 0.67% NA 0.68% 6 Benchmark Returns 12.88% 0.70% 12.88% 0.70% 7 Name of Benchmark adopted 30% Nifty 500 + 70% CRISIL Liquid Fund Index 8 Net Assets end of Period (Rs. Crs) 357.13 156.53 236.43 2.75 9 Ratio Recurring Expenses to Net Assets 2.47% 1.89% 1.22% 1.40% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 7.16% 0.06% 7.16% 0.06% * Refers to Computed NAV.
  • 35. 34 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 44 - 39M DSP BlackRock Dual Advantage Fund - Series 45 - 38M Date of Allotment 18-Apr-16 18-Apr-16 19-May-16 19-May-16 Financial Year 16-17 16-17 16-17 16-17 Plans Regular Plan Direct Regular Plan Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth - - - - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 11.0945 11.1577 11.1935 11.2420 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend 11.0945 11.1577 11.1935 11.2420 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) NA NA NA NA 5 Absolute Return (Growth Option) 10.95% 11.58% 11.94% 12.42% 6 Benchmark Returns 10.99% 10.99% 10.97% 10.97% 7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL MIP Blended Index 8 Net Assets end of Period (Rs. Crs) 51.08 0.99 55.76 0.94 9 Ratio Recurring Expenses to Net Assets 2.10% 1.50% 2.00% 1.50% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 6.65% 6.65% 6.10% 6.10% * Refers to Computed NAV.
  • 36. 35 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 46 - 36M DSP BlackRock FMP - Series 196 - 37M Date of Allotment 11-Jul-16 11-Jul-16 30-Jun-16 30-Jun-16 Financial Year 16-17 16-17 16-17 16-17 Plans Regular Plan Direct Regular Plan Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth - - - - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.4277 10.4653 10.8281 10.8619 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - 10.8281 - Dividend 10.4277 - 10.8281 - Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) NA NA NA NA 5 Absolute Return (Growth Option) 4.28% 4.65% 8.28% 8.62% 6 Benchmark Returns 7.89% 7.89% 8.45% 8.45% 7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL Composite Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 46.25 1.06 204.35 55.31 9 Ratio Recurring Expenses to Net Assets 2.00% 1.50% 1.18% 0.76% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 4.95% 4.95% 9.77% 9.77% * Refers to Computed NAV.
  • 37. 36 Sr. No. Scheme Name DSP BlackRock Dual Advantage Fund - Series 49 - 42M DSP BlackRock FMP - Series 204 - 37M Date of Allotment 11-Nov-16 11-Nov-16 9-Mar-17 9-Mar-17 Financial Year 16-17 16-17 16-17 16-17 Plans Regular Plan Direct Regular Plan Direct 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth - - - - Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 2 Dividends (Rs.) Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - - - Dividend - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.3645 10.3844 10.0678 10.0684 Daily Dividend - - - - Weekly Dividend - - - - Monthly Dividend - - - - Quarterly Dividend - - 10.0678 - Dividend 10.3645 - 10.0678 10.0684 Unclaimed Dividend Upto 3 years - - - - Unclaimed Dividend Beyond 3 years - - - - Unclaimed Redemption Upto 3 years - - - - UnclaimedRedemptionBeyond3years - - - - 4 Annualised Return (Growth Option) NA NA NA NA 5 Absolute Return (Growth Option) 3.64% 3.84% 0.68% 0.68% 6 Benchmark Returns 3.22% 3.22% 1.58% 1.58% 7 Name of Benchmark adopted CRISIL MIP Blended Index CRISIL Composite Bond Fund Index 8 Net Assets end of Period (Rs. Crs) 44.48 0.95 16.77 132.83 9 Ratio Recurring Expenses to Net Assets 2.25% 1.75% 0.32% 0.22% 10 Standard Benchmark Name Crisil 1 Year T-Bill Index CRISIL 10 Year Gilt Index 11 Standard Benchmark Returns 2.32% 2.32% 1.50% 1.50% * Refers to Computed NAV.
  • 38. 37 Sr. No. Scheme Name DSP BlackRock FMP - Series 205 - 37M DSP BlackRock FMP - Series 209 - 37M DSP BlackRock Treasury Bill Fund Date of Allotment 23-Mar-17 23-Mar-17 30-Mar-17 30-Mar-17 30-Sep-99 Financial Year 16-17 16-17 16-17 16-17 16-17 Plans Regular Plan Direct Regular Plan Direct Unclaimed 1 NAV at the beginning of the year (as on April 1) (Rs.) Growth - - - - - Daily Dividend - - - - - Weekly Dividend - - - - - Monthly Dividend - - - - - Quarterly Dividend - - - - - Dividend - - - - - 2 Dividends (Rs.) Daily Dividend - - - - - Weekly Dividend - - - - - Monthly Dividend - - - - - Quarterly Dividend - - - - - Dividend - - - - - 3 NAV at the end of the year (as on March 31) (Rs.) Growth 10.0570 10.0575 10.0114 10.0115 - Daily Dividend - - - - - Weekly Dividend - - - - - Monthly Dividend - - - - - Quarterly Dividend 10.0570 - 10.0114 10.0115 - Dividend - 10.0575 10.0114 10.0115 - Unclaimed Dividend Upto 3 years - - - - 10.6153 Unclaimed Dividend Beyond 3 years - - - - 10.0000 Unclaimed Redemption Upto 3 years - - - - 10.6153 UnclaimedRedemptionBeyond3years - - - - 10.0000 4 Annualised Return (Growth Option) NA NA NA NA NA 5 Absolute Return (Growth Option) 0.57% 0.57% 0.11% 0.11% 6.15% 6 Benchmark Returns 0.64% 0.64% 0.06% 0.06% 6.36% 7 Name of Benchmark adopted CRISIL Composite Bond Fund Index CRISIL Composite Bond Fund Index CRISIL Composite T-Bill Index 8 Net Assets end of Period (Rs. Crs) 13.53 88.77 27.73 43.89 16.09 9 Ratio Recurring Expenses to Net Assets 0.41% 0.16% 0.45% 0.20% 0.34% 10 Standard Benchmark Name CRISIL 10 Year Gilt Index CRISIL 10 Year Gilt Index Crisil 1 Year T-Bill Index 11 Standard Benchmark Returns 1.07% 1.07% -0.02% -0.02% 6.53% * Refers to Computed NAV.