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Distributors of mutual funds in India are required to submit the Self-Declaration form every year before the end of the financial year to the RTAs. A Self-Declaration form is all about compliance of circulars issued by AMFI
September 26, 2014 Amfi revised self declaration format (CIR/AR-17/14-15)
Declaration of Self-Certification (DSC): Period / Financial Year 2014-15
"This is to certify that, in the course of my/our
business in the distribution of mutual fund products during the period /
financial year ended March 31, 2015.
I/we have adhered to the Code of Conduct contained in SEBI circular no.
SEBI/IMD/CIR No. 8/174648/2009 dated August 27, 2009 and to the requirements as
prescribed in SEBI’s circular no. MFD/CIR/20/23230/2002 dated November 28, 2002
and the AMFI circular no. CIR/ARN-09/08-09 dated July 18, 2008 has been adhered
with SEBI Circular no. SEBI/ IMD/CIR/No.4/168230/09 dated June 30, 2009, I/ we have disclosed to investors all the
commissions (in the form of trail commission or any other mode) payable to me
/us for the different competing schemes of various mutual funds from amongst
which the scheme was recommended to our investors.
I/ We also certify that I/ we have complied with the Know
Your Distributor (KYD) requirements as per AMFI Guidelines.
I/ We further certify that I/ we have adhered to the SEBI
and AMFI Guidelines issued from time to time.
I certify that I am a distributor of mutual funds and registered
with AMFI and that in my capacity /relationship as a distributor, I may provide
investment advise to my clients, incidental to my primary activity of
distribution of mutual fund products, which is exempted from registration under
Regulation 4 (d) of Securities and Exchange Board of India (Investment
Advisors) Regulations 2013. Kindly update this DSC on your records and
with all theFund Houses where we are empanelled.