Annexure A3.pdf

The Code of Conduct for PMS Distributors consists of 17 points, including:
1. Prioritizing investor interests,
2. Adhering to SEBI regulations,
3. Complying with SEBI guidelines for sales and performance disclosures,
4. Disclosing material information and commissions,
5. Avoiding assurances of returns,
6. Maintaining infrastructure for high service standards,
7. Staying updated on industry developments,
8. Maintaining confidentiality,
9. Prioritizing investor suitability,
10. Avoiding commission-driven malpractices,
11. Refraining from negative statements about other managers,
12. Obtaining NISM certification and AMFI registration,
13. Complying with KYD norms,
14. Providing documents for AML/CFT requirements,
15. Diligently attesting/certifying investor documents,
16. Observing high standards of ethics and fairness,
17. Classifying customers as "advisory" or "execution only" and making necessary disclosures.