Form No.

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 Karvy CPL Escorts

Franklin Templeton Deutsche ISPL 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 SEBIs 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 Karvy CPL Escorts

Franklin Templeton Deutsche ISPL 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 SEBIs 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)

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 SEBIs 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 Karvy CPL Escorts

Franklin Templeton Deutsche ISPL 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 SEBIs 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)