Code of Conduct

As an AMFI-registered Mutual Fund Distributor we are bound by the AMFI Guidelines and Norms for Intermediaries, including the Code of Conduct for Mutual Fund Distributors. This page records the standards we hold ourselves to.

Conduct Towards Investors

• Provide full and accurate information about every scheme, including risk factors, loads, lock-in periods and the expense ratio.
• Never make an exaggerated statement about the performance of a scheme, whether verbally or in writing.
• Never offer, imply or hint at any assured, guaranteed or fixed return on a market-linked product.
• Highlight risk factors with the same emphasis as potential benefits.
• Disclose the commission we receive, in both trail and upfront terms, when asked by an investor.
• Inform every investor that a direct plan exists and carries a lower expense ratio.
• Abstain from inducing an investor to switch schemes for the purpose of earning commission.

Suitability And Documentation

• Assess the investor’s stated objective, time horizon and risk tolerance before shortlisting any category.
• Advise against a product, in writing, where it does not match the investor’s stated requirement.
• Ensure the application form is complete and correct before submission.
• Provide the Scheme Information Document, Key Information Memorandum and Statement of Additional Information on request.
• Encourage registration of a nomination on every folio.
• Act only on a written instruction from the investor, never on an assumption or a verbal direction.

Handling Of Money And Documents

• Do not accept or retain an investor’s blank signed form or cheque.
• Issue an acknowledgement for every document received.
• Submit every transaction request promptly and within the applicable cut-off timing.
• Maintain confidentiality of all investor information, disclosing it only where legally required.

Professional Standards

• Maintain a valid ARN and complete the mandated certification and renewal requirements.
• Keep current with regulatory changes issued by SEBI, AMFI and IRDAI.
• Refrain from any activity prejudicial to the interests of investors or the mutual fund industry.
• Refrain from making any defamatory or unsubstantiated statement about another distributor, an Asset Management Company or a scheme.
• Co-operate fully with any enquiry by SEBI, AMFI or an Asset Management Company.

Marketing And Communication

• Ensure every communication carries the standard risk disclaimer and our ARN.
• Never use an unregistered intermediary, sub-broker or referral agent to solicit business.
• Never send unsolicited commercial communication in contravention of applicable regulations.
• Present historical performance only with the mandated disclosure that past performance does not indicate future results.

Reporting A Breach

If you believe any person representing EagleFin Investments has acted in breach of this code, report it immediately to our grievance officer at apurva2133@gmail.com or +91 99757 04896. Complaints regarding distributor conduct may also be raised directly with AMFI at amfiindia.com.