Annual Secretarial Compliance Report for the Financial year ended 31st March, 2026
UTIAMC · price
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UTI AMC has submitted its Annual Secretarial Compliance Report for FY2025-26, certified by Practicing Company Secretary Vishal N. Manseta. The company has broadly complied with SEBI regulations, though minor insider trading compliance lapses were identified where employees traded shares without obtaining pre-clearance and delayed trade reporting. Warnings were issued to concerned employees and communicated to stock exchanges. SEBI issued two administrative warnings during the year regarding non-compliance with investment/trading guidelines by employees and improper redemption of units under UTI Retirement Fund during lock-in. The company issued 542,965 equity shares under its Employee Stock Option Scheme 2007 during the review period. No fines were imposed, and no observations were raised in the previous year's report.
The filing indicates overall satisfactory regulatory compliance with no material violations. The SEBI warnings and minor insider trading lapses suggest internal control weaknesses but are unlikely to have a significant direct impact on the stock price given no penalties were imposed.