Dear Business Partner,
As you have shown interest in the distribution of Mutual Fund products and as per AMFI guidelines,
we as a distributor are required to obtain a Declaration of Self Certification from all the sub brokers confirming compliance of all applicable guidelines every year.
Failure to submit this declaration will result into blocking of brokerage payout.
You are requested to confirm compliance of all the below check points for the business done upto and including financial year 2016-17 by submitting below declaration:
||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 prescribed by AMFI from time to time 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.
||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 recommeded to our investors, in compliance with SEBI circular no. SEBI/IMD/CIR/No. 4/168230/09 dated June 30, 2009.
||I/We certify that I/We have complied with the Know Your distributor (KYD requirements as per AMFI guidelines.
||I/ We certify that I/We am/are distributor(s) of mutual funds and registered with AMFI and that in my/our capacity / relationship as distributors(s), I/We may provide investment advice to my/our clients incidental to my/our primary activity of distributors of mutual fund products, which is exempted from registration under regulation 4(d) of securities and Exchange Board of India (Investment Advisers) Regulations, 2013
||I/We further certify that the I/we have read, understood and adhered to the SEBI and AMFI Guidelines issued from to time.