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)

Revised self Declaration Form

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)

Revised Format for Declaration of Self Certification for Mutual Fund Distributors for F.Y.2011-12

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, 2012 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 2012-13.


Also refer

Revised Self Declaration form for FY 2012-13

Format for Declaration of Self Certification 
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The Revised Formats for Declaration of Self certification

1. Form A 

Format for Declaration of Self Certification for Corporate ARMFA who does not have sub brokers

2. Form No. A1

 Format for Declaration of Self Certification for Corporate ARMFA who has sub-brokers

3. Form B

Format for Declaration of Self Certification by ARMFA who is sub broker to be submitted to Principal ARMFA

3. Form C 

Format for Declaration of Self Certification for the ARMFA who is an Individual/karta of HUF

Also refer:

Process for change of address in mutual funds after KYC Compliant??

 How to change email address in mutual funds in India