Wednesday, April 1, 2015

Revision in the Self Declaration Form (2014-15)




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)



On appropriate Letterhead


Date
  • Amfi Registration Number

  • Name of ARN Holder
  • Landline
  • Mobile
  • Email 
To,
CAMS AMFI UNIT,


Sub: 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 to.”

In compliance 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.

              Regards,



 NAME AND ARN NO
(Authorised Signatory)


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