Friday, April 11, 2014

Declaration of Self Certification For Mutual Fund Distributors For FY 2013-14





As you all are aware, Distributors are required to submit the Annual Self Certification for the financial year ending 31st Mar 2014 to CAMS at the earliest.



Kindly make note of the following points to ensure that the self certification form submitted by you is in order and the same will not be rejected.

Please use the attach appropriate form prescribed by AMFI (based on the category you belong) and ensure all details are filled(including your ARN code) and the same should be signed.

In the case of corporate entity, the signature should be appended by the Authorized signatory/ ies. 




The Financial year to be mentioned is 2013-14 and the certification is for the financial year ended 31st March 2014. 


Please note that the self certification is to submitted to CAMS and you need not submit multiple forms with other RTA's/AMC's (To Avoid Duplication).

Yes now cams accepts forms for all mutual fund houses.






Kindly arrange to submit the duly filled forms at the earliest to avoid any delay in processing the request and consequential payment of brokerage.




Your Name
(ARN-)
AMFI Registered Mutual Fund Advisor

…………………………………………………………………………………………….................................................

To,
Date: 



…………………………………………

Dear Sirs, 
The Registrar and Transfer Agent of Mutual Funds
(Please tick as applicable)

CAMS     Franklin Templeton  

        Karvy CPL             Deutsche ISPL

Escorts     Sundaram BNP Paribas FSL     

Sub: Declaration of Self-Certification (DSC): Period / Financial Year 2013-14


"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, 2014. 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.

Kindly update this DSC on your records and with all the Fund Houses where we are empanelled. 

Kind Regards


(Authorised Signatory)
YourName
ARN-  


* Information is desirable for all  important communication o be disseminated efficiently


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