In compliance with SEBI/ Amfi guidelines, Amfi registered distributors / IFAs need to submit a Declaration of Self Certification (SDC) for every financial year in the following April.
In case Self Declaration not submitted before June 30, 2013 for FY 2012-13 to AMC that is before the end of the financial year, or within 3 months from the start of next financial year then his brokerage will be suspended thereafter till submission and brokerage can be paid only if this Self Declaration Certificate is submitted and updated in our IFA / Distributor master towards the Payment Year 2013-14.
Form No. A
Format for Declaration of Self Certification for
Corporate ARMFA who does not have
sub-brokers
On
appropriate letterhead of corporate body
Date: ________________
AMFI Registration Number
(ARN): _______ From: ________________
________________
________________
________________
*
Landline:
*
Mobile:
*
Email:
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 ______
"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,_____ 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 in this regard."
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.
We also certify that we have complied with the Know
Your Distributor (KYD) requirements as per AMFI Guidelines.
We further certify that 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.
For _____________________ (firm name)
Authorised Signatory (ies)
* Information of principal contact desirable for
all important communication to be
disseminated efficiently
Form No. A1
Format for
Declaration of Self Certification for Corporate ARMFA who has sub-brokers
On
appropriate letterhead of corporate body
Date: ________________
From: ________________
________________
AMFI Registration Number
(ARN): _______ ________________
________________
*
Landline:
*
Mobile:
*
Email:
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 ______
"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,_____. 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 in this regard.
We
further certify that we have AMFI certified ARMFA empanelled with us acting as
sub-brokers for distribution of mutual funds and that they have in turn met all
certification requirements in terms of the above mentioned circulars from SEBI.
We confirm that the necessary DSC for the financial year as above has been
submitted by them to us”
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.
We also certify that we have complied with the Know
Your Distributor (KYD) requirements as per AMFI Guidelines. We further certify
that all the sub-brokers empanelled with us have complied with KYD
requirements.
We further certify that 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.
For _____________________ (firm name)
Authorised Signatory (ies)
* Information of principal contact desirable for
all important communication to be disseminated efficiently
Form No. B
Format for Declaration of Self Certification by the
ARMFA who is sub-broker to be submitted to
principal ARMFA
On appropriate letterhead (if available) by sub broker to be addressed to principal
ARMFA
Date: ________________
AMFI Registration Number
(ARN): _______ From: ________________
________________
________________
________________
*
Landline:
*
Mobile:
*
Email:
_______________ (Principal ARMFA
name)
Address 1
Address 2
Address 3
Pin
Sub: Declaration of
Self-Certification (DSC): Period____ / Financial Year ______
“I/we as sub-brokers to yourselves for the purpose
of distribution of mutual funds hereby declare that all provisions made under
the prescribed code of conduct under SEBI circular no. SEBI/IMD/CIR
No. 8/174648/2009 dated August 27, 2009 and those prescribed under 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 have 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 also certify that I have complied with the Know
Your Distributor (KYD) requirements as per AMFI Guidelines.
I further certify that I have adhered to the SEBI
and AMFI Guidelines issued from time to time.
For _____________________ (firm name / individual
name)
Authorised Signatory (ies) / Signature of
sub-broker
*
Information of principal contact / sub-broker desirable for all important
communication to be disseminated efficiently
Note: This declaration has to be stored by the principal ARMFA for a
period of at least 8 years
Form No. C
Format for Declaration of Self Certification for
the ARMFA who is an individual/karta of HUF
On
appropriate letterhead (if available)
Date: ________________
AMFI Registration Number
(ARN): _______ From: ________________
________________
________________
________________
*
Landline:
*
Mobile:
*
Email:
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 ______
"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____.
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.
For _____________________ (firm name)
Authorised Signatory (ies)
* Information is desirable for all important communication to be disseminated
efficiently
Your
Name
AMFI Registered Mutual Fund Advisor
Your ARN code
Date:
Form
No. C
Format for Declaration
of Self Certification for the ARMFA who is an individual
AMFI Registration Number
(ARN): Your ARN Code
The Registrar and Transfer
Agent of Mutual Funds
(Please
tick as applicable)
CAMS (ING MF) Franklin
Templeton
Karvy
CPL Deutsche ISPL
Escorts Sundaram BNP Paribas FSL
Sub: Declaration of Self-Certification (DSC): Period / Financial Year 2012-13
"This is to certify that,
in the course of my business in the distribution of mutual fund products during
the period / financial year ended March
31 2013. I 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 have disclosed to
investors all the commissions (in the form of trail commission or any other
mode) payable to me for the different competing schemes of various mutual funds
from amongst which the scheme was recommended to our investors.
I
also certify that I have complied with the Know Your Distributor (KYD)
requirements as per AMFI Guidelines.
I
further certify that I 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.
For
_____________________ (Your name)
Authorised
Signatory
Place:
Date
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