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Prudential ICICI Mutual Fund SECTION VI OTHER MATTERS a) UNIT HOLDER GRIEVANCES REDRESSAL MECHANISM Investor grievances/ correspondences are normally received at AMC office or at the Customer Service Centres or directly by the Registrar. All grievances/ correspondence/ requests are forwarded to the Registrar for necessary action. The complaints/ correspondence is closely followed up with the Registrar to ensure timely redressal and prompt investor service. Given below is the complaint history for the last three fiscal years: ICICI Premier ICICI Power # 01/04/2000 to 31/03/2001 Complaints/ Requests received during the period 4549 2491 Redressed during the period 4545 2485 Pending 4 6 01/04/2001 to 31/03/2002 Complaints/ Requests received during the period 1011 1209# Redressed during the period 1011 1215# Pending as on March 31, 2002 4 Nil 01/04/2002 to 31/03/2003 Complaints/ Requests received during the period 700 Not applicable Redressed during the period 699 Not applicable Pending as on March 31, 2003 5 Not applicable 01/04/2003 to 31/08/2003 Complaints/ Requests received during the period 258 Not applicable Redressed during the period 253 Not applicable Pending as on August 31, 2003 10 Not applicable # Status reported till the Record Date of Conversion. Name changed to Prudential ICICI Power with effect from September 27, 2001. The status on investor complaints consequent to conversion is reported separately. The above two funds were launched in 1994. . ICICI Power has been converted in to an open-ended fund w.e.f. September 27, 2001. Consequent to conversion its name is changed to Prudential ICICI Power. Further, ICICI Premier was rolled over for a further period of 5 years in February 1999 and is open for repurchase w.e.f. February 7, 2001. The pending investor complaints / requests pertain to, inter-alia, Issue of duplicate certificates, non receipt of certificates, non receipt of redemption/dividend warrants, revalidation of dividend warrants, name correction, change of address of the Unitholder, registration of death cases, registration of Power of Attorney, transfer/transmission of Units etc. All investor grievances are normally redressed within a period of 15 days of their receipt, subject to the information furnished by the Unitholder is complete and accurate. If such information is not provided/not available with the Registrars to the above Schemes, the matter is further followed up with the investors. Investor complaints are continuously monitored with the Registrar to the Schemes. The details relating to the fifteen open ended schemes launched by the Fund are as under: Data relating to the period July 1998 to August 31, 2003 Scheme Complaints Complaints Complaints Received redressed pending Prudential ICICI Growth Plan 499 499 Nil Prudential ICICI Income Plan 997 997 Nil Prudential ICICI Liquid Plan 148 148 Nil Prudential ICICI FMCG Fund 402 402 Nil Prudential ICICI Tax Plan 394 394 Nil Prudential ICICI Gilt Fund 129 129 Nil Prudential ICICI Balanced Fund 478 478 Nil Prudential ICICI Technology Fund 1983 1983 Nil Prudential ICICI Monthly Income Plan 108 108 Nil Prudential ICICI Fixed Monthly Plan 17 17 Nil Prudential ICICI Child Care Plan 173 173 Nil Prudential ICICI Power 126 126 Nil 82
Prudential ICICI Balanced Fund Scheme Complaints Complaints Complaints Received redressed pending Prudential ICICI Short Term Plan 3 3 Nil Prudential ICICI Long Term Plan Nil Nil Nil Prudential ICICI Sweep Plan Nil Nil Nil Prudential ICICI Flexible Income Plan 7 7 Nil Prudential ICICI Dynamic Plan 10 10 Nil Prudential ICICI Floating Rating Plan 0 0 Nil Prudential ICICI Index Fund-S&P CNX Nifty Plan 8 8 Nil Sensex Prudential ICICI Exchange Traded Fund Nil Nil Nil Total 5482 5482 Nil b) ASSOCIATE TRANSACTIONS Details of investments made by the schemes in securities of Sponsor i.e. ICICI bank Ltd. (erstwhile ICICI Ltd.) during the previous three financial years are as follows: (Amount in Rupees) Scheme name/Nature of investment April 1, 2003 to F.Y 2002- F.Y. 2001- F.Y. 2000- August 31, 2003 2003 2002 2001 Amount Amount Amount Investment in Bonds of ICICI Bank Ltd. ICICI Premier - - - 10,154,285 Prudential ICICI Income Plan 836,859,448 818,794,702 1,027,466,435 526,108,245 Prudential ICICI Balanced Fund - - 17,991,012 18,873,656 Prudential ICICI Liquid Plan - 10,891,898 39,359,762 186,921,910 Prudential ICICI Short Term Plan 59,087,867 58,913,072 61,800,122 - Prudential ICICI Monthly Income Plan - - - 50,771,423 Investment in NSE Linked Mibor Deposits / Term Deposit of ICICI Bank Ltd Prudential ICICI Liquid Plan - 200,000,000 1,500,000,000 - Prudential ICICI Short Term Plan - - - - Prudential ICICI Power - - 20,000,000 - ICICI Premier - - 20,000,000 - Prudential ICICI Balanced Fund - - 80,000,000 - Prudential ICICI Floating Rate Fund - 5,000,000,000 Prudential ICICI Flexible Income Plan - 50,000,000 Investment in equity shares of Erstwhile ICICI Ltd ICICI Power Nil Nil Nil Nil Prudential ICICI Tax Plan Nil Nil Nil Nil Prudential ICICI Index Fund Nil Nil 1,031,715 Nil Investment in equity shares of ICICI Bank Ltd Prudential ICICI Index Fund 3,880,442 3,491,370 592,862 Nil Sensex Prudential ICICI Exchange Traded Fund 7,312,112 6,327,798 Nil Nil TOTAL 907,139,869 6,148,418,840 2,768,241,908 792,829,519 % to the net assets of the Mutual Fund 0.67% 6.77% 4.19% 1.69% Underwriting obligations with respect to issues of Associate Companies: The AMC has, till date, not entered into any underwriting contracts in respect of any public issue made by any of its associate companies. 83
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l l l l l l HIGHLIGHTS Prudential I
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Sponsors Prudential ICICI Balanced
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Name of the Scheme Structure Offer
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SECTION II Prudential ICICI Balance
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ii) Prudential ICICI Balanced Fund
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