World Investor Week Nov 22-28, 2021

Message from Chairman, SEBI

 Intermediary

AMFI Circulars related to MFDs

Circular ReferenceSubjectDate of Circular
CIR/ARN-27/2023-24 
Discontinuation Biometric Process and Mandatory Online registration for AMFI Registration / Grant of ARN

Sep 17, 2024
CIR/ARN-26/2023-24 
Advisory regarding Contests run by AMCs and Mutual Fund Distributors for sales promotion

July 24, 2024
CIR/ARN-25/2023-24
ARN Circular no. 25 - Centralised Process for AUM Transfer from one MFD to another

Annexure 1a & 1b - Sample of letter to be sent by Transferor MFD to MF clients to inform about change of ARN
Annexure 1(C ) - Sample of letter to be sent to MF clients of deceased MFD for change of ARN code
Annexure 2 - Application form for Transfer of AuM to be submitted by Transferor
Annexure 3 - Application for Transfer of AuM - Covering letter to RTAs
Annexure 4 - Declaration be submitted by Transferee MFD
Annexure 5 - Application form for Transfer of AuM to be submitted by Nominee & Legal heir of deceased MFD
Annexure 6 - NOC from other legal heirs for transfer of AUM in favour of one of the legal heirs
Annexure 7 - Individual Affidavits to be given by ALL the Legal Heirs
Annexure 8 - Bond of Indemnity furnished jointly by all Legal Heirs for Transfer of AUM without Legal Representation
Annexure 9 - Bank Attestation of Signature & bank ac details of legal heir

Mar 28, 2024

CIR/ARN-24/2023-24
Facility / Option to apply for ‘Provisional’ ARN to non-individual entities pending EUIN mapping

Annexure A - LOU for EUIN mapping subsequently - Individual to Corporate MFD
Annexure B - Sample of letter to be sent to MF clients by Individual MFD
Annexure C - LOU for EUIN mapping subsequently by Co.LLP

Mar 28, 2024

135/BP/ 107 /2022-23
AMCs to accept business only from empanelled Distributors

May 04, 2023

135/BP/ 106 /2022-23
Revision in the Guidelines on Transfer of AUM from one MF Distributor to another

Mar 21, 2023
CIR/ARN/23/2022-23
Time Limit for submission of annual DSC

July 25, 2022
CIR/ARN-22a/2022-23
ARN Circular 22a - Revised Code of Conduct for MFDs 2022

Revised Code of Conduct for Mutual Fund Distributors - April 2022

April 7, 2022
CIR/ ARN-21/ 2021-22
Classification of Sole proprietorship for ARN purposes
March 30, 2022
135/BP/ 99 /2021-22
Data Sharing Principles to be followed by AMCs while sharing Unitholders’ Data
March 29, 2022
CIR/ ARN-20/ 2021-22
Time limit for renewal of ARN
March 28, 2022
SEBI Clarification w.r.t. Data feeds in respect of Direct Plan transactions by the Mutual Fund Distributors, Registered Investment Advisers, Portfolio Managers and Stock Brokers
a. Documentary evidence for having applied to ROC for Name Change
b. Request for Change of Name of MFD - Pursuant to SEBI IA Regulations (Form for Proprietary concerns)
c. Request for Change of Name of MFD - Pursuant to SEBI IA Regulations (Form for non individual MFDs other than Proprietary concern)
AMFI/CIR-19/2020-21 AMFI GUIDANCE ON MFD NOMENCLATURE(Pursuant to Regulation 3(3) of the SEBI (Investment Advisers) Regulations, 2013) 20-Oct-2020
AMFI/CIR-18/2019-20 AMFI Circular no. CIR-18 dt. 04-Jul-2019 - Time Limit for submission of annual DSC July 4, 2019
135/BP/ 77/ 2018-19 Standard Process for Capturing / Updating Email Address and Mobile Number of investors March 20, 2019
135/BP/ 76/ 2018-19 Standard Procedure for Tagging Transactions to T-30 / B-30 PIN Codes
March 20, 2019
CIR/ARN-17/14-15 Revised Self Declaration formats September 26, 2014
CIR/ARN-16/13-14 AMFI Circular on AMFI Registration for Overseas Distributors August 20, 2013
CIR/ARN-15/12-13 AMFI Circular on payment of commission in case of demise of Agent / Distributor March 28, 2013
CIR/ARN-14/12-13 AMFI Registration / NISM Certification / KYD Compliance for Overseas Distributors July 13, 2012
CIR/ARN-13/11-12 Unified AMFI Guidelines for AMFI REGISTERED MUTUAL FUND ADVISOR (ARMFA) - Clarification/Modification in respect of Clause no. 5.6 on Declaration of Self Certification (DSC), Clause No. 6.3 a) and 6.3 b) on Suspension of Payment of Commission October 14, 2011
CIR/ARN-12/10-11 Unified AMFI Guidelines for AMFI REGISTERED MUTUAL FUND ADVISOR (ARMFA) - REVISION IN FORMATS FOR DECLARATION OF SELF CERTIFICATION March 1, 2011
CIR/ARN-11/09-10 Unified AMFI Guidelines for AMFI REGISTERED MUTUAL FUND ADVISOR (ARMFA) - REVISION IN FORMATS FOR DECLARATION OF SELF CERTIFICATION August 11, 2009
CIR/ARN-10/09-10 Unified AMFI Guidelines for AMFI REGISTERED MUTUAL FUND ADVISOR (ARMFA) - REVISION IN FORMATS FOR DECLARATION OF SELF CERTIFICATION Jun 09, 2009
CIR/ARN-09/08-09 Unified AMFI Guidelines for AMFI REGISTERED MUTUAL FUND ADVISOR (ARMFA) July 18, 2008
CIR/ARN-08/06-07 AMFI Certification November 23, 2006
CIR/ARN-07/06-07 Clarification regarding Self-Certification & Suspension of Payment of Commission July 06, 2006
CIR/ARN-06/05-06 Clarification regarding Payment of Brokerage to Intermediaries March 29, 2006
CIR/ARN-05/04-05 Clarifications regarding Self-Certification by Intermediaries July 16, 2004
CIR/ARN-04/03-04 Clarifications regarding Self-Certification And Nomination Facilities to Agents / Distributors January 27, 2004
CIR/ARN-03/03-03 Clarifications regarding payment of brokerage to intermediaries after September 30, 2003 Sept 3, 2003
CIR/ARN-02/02-03 Clarifications on the implementation of AMFI Guidelines March 31, 2003
CIR/ARN-01/02-03 Guidelines for the Registration of Intermediaries January 15, 2003