AMFI CODE OF CONDUCT

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AMFI Registered Mutual Fund Distributor - ARN 171412

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Home / AMFI CODE OF CONDUCT
1. Integrity & Fairness Highest standards of ethics in all dealings with investors, AMCs, RTAs, and regulators.
2. No Commission Splitting We do not split investor applications to earn higher transaction charges.
3. Accurate KYC Investor details are accurate. We do not tamper with application forms.
4. NISM Certification All personnel hold valid NISM Series V-A certification and EUIN. EUIN: E365163.
5. KYD Compliance Full compliance with AMFI KYD norms. Registration details updated promptly.
6. Regulatory Cooperation Full cooperation with AMCs, AMFI, SEBI, and all regulatory authorities.
7. AML/KYC Compliance All required KYC/AML documents per PMLA 2002 and SEBI/AMFI norms.
8. No Mis-selling No mis-selling, concealment of risks, or misrepresentation of any scheme.
9. Commission Clawback Commissions refunded to AMCs in all clawback situations per SEBI regulations.
10. Investor Education Actively promote investor awareness and encourage reading scheme documents before investing.

PLEDGE: I, NITIN JAIN, Proprietor/Director of NG PRIME WEALTH LLP (171412), hereby pledge to uphold the AMFI Code of Conduct in all professional dealings. Investor interest above all commercial considerations at all times. | September 2026

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