8/9/2019 Individual_KYC.pdf

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INDIVIDUAL KYC FORM

Know Your Client (KYC)Application Form

(For Individuals Only)

ApplicationNo. :

Please fill this form in ENGLISH and in BLOCK LETTERS (All Information as applicable in Sections A, B and C below is mandatory)This information is sought under the Prevention of Money Laundering Act, 2002, the rules notified thereunder and SEBI’s guidelines on Anti Money Laundering.

For existing Mutual Fund investors, the address(es) furnished herein will be replaced in the records of the Mutual Fund / Authorised Agent. (Refer Not

1. Name of Applicant (As appearing in supporting identification document) Title Mr. Ms. Others

DECLARATION

1. Gross Annual Income Details Please tick ( ) Upto Rs. 5,00,000 Rs. 5,00,001 to Rs. 25,00,000 Rs. 25,00,001 to Rs. 1,00,00,000 Rs. 1,00,00,001 to Rs. 5,00,00,000 Rs. 5,00,00,001 and above.

2. a. Occupation Details Please tick ( ) any one Private Sector Service Public Sector / Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) _______________________________________

b. If the following is additionally applicable to you Please tick ( ) one or more as applicable Civil Servant Bureaucrat Current or Former MP, MLA or MLC Politician Current or Former Head of State

2. Date of BirthPlease affixmost recent

colour photograph

30mm x 40 mm

Sign across the photograph

I hereby con firm that I have read and understood the Instructions m entioned overleaf and app ly to CDSL Ventures Lim ited ('CVL') or other agent of the m utualfund registered under the SEBI (M utual Funds) Regulations, 1996 for com pliance of Know Your Client (KY C) procedure for transacting in units issued by M utualFunds and I agree to abide by the term s, conditions, rules, regulations and other statutory requirem ents applicable to the respective M utual Funds. I hereby declarethat the particulars given herein are true, correct and com plete to the best of m y know ledge and belief, the docum ents subm itted along w ith this application aregenu ine and I am not m aking this application for the purpose o f contravention of any Act, Rules, Regulations or any statute or legislation or any Notifications,Directions issued by any governm ental or statutory authority from tim e to tim e. I hereby undertake to prom ptly inform CVL / the m utual fund ag ent of any changesto the information p rovided hereinabove and agree and accept that CVL, the respective M utual Funds, their authorised agents and representatives ('the AuthorisedParties') are not liable or responsible for any losses, costs, dam ages arising out of any actions undertaken o r activities perform ed by them on the basis of the inform ationprovided by m e as also due to m y not intim ating / delay in intim ating such changes. I hereby authorize CVL / the m utual fund agent to disclose, share, rem it inany form , mode or m anner, all / any o f the inform ation provided by m e to the respective M utual Funds in w hich I m ay transact / have transacted and / or to theirauthorised agents and representatives including all changes, updates to such inform ation as and w hen provided by m e. I hereby ag ree to p rovide any additionalinform ation / docum entation that m ay be required by the A uthorised Parties, in connection w ith this application. I hereby con firm that this is a unique KYC applicationand I have not applied for KY C in the past.

Name

Father's Name

5. Permanent Account Number (PAN) (MANDATORY)

Please tick ( ) Copy of PAN Card attached

ForOfficeUseOnly

Name and Employee Number of Receiver

B. Address Details (Please see guidelines B1 to B4 overleaf)

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Latest Telephone Bill Latest Electricit y Bill Passport Driving License Latest Bank Passbook Latest Bank Account State Latest Demat Account statement Voter Identity Card Ration Card Registered Lease / Sale Agreement of residence For NRIs - Any other document attested by local

C. Other Details (Please see guidelines C1 and C2 overleaf)

(Attested) True copies of documents received(Originals Verified) Self Certified Document copies received

A. Identity Details (Please see guidelines A1 to A5 overleaf)

Please specify Gender Male Female

SIGNATURE OF APPLICANT

Place :

Date :

Stamp of POS(Name & Location)

& Receiver's Signature K Y C

R e f .

I

" P l e a s e n o t e t h a t t h e K Y C A p p

l i c a t i o n F o r m

a n

d o v e r l e a

f i n s t r u c t

i o n s s h o u

l d b e p r i n t e

d o n t

h e s a m e p a g e

( b a c k t o

b a c k

) . I f p r i n t e

d s e p a r a t e

l y t h e n

b o t h t h e p a g e s s h o u

l d b e a t t a c h e

d a n

d s i g n e

d b y t h e a p p

l i c a n t . "

3. Nationality Indian Others Please specify

4. Status Please tick () Resident Individual Non-Resident

/ /D D M M Y Y Y Y

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Latest Telephone Bill Latest Electrici ty Bill Passport Driving License Latest Bank Passbook Latest Bank Account State Latest Demat Account statement Voter Identity Card Ration Card Registered Lease / Sale Agreement of residence Any other proof of address document (as listed

2. Contact Details

4. Permanent Address of Resident Applicant if different from B1 above OR Overseas Address (Mandatory) for Non-Resident Applicant

1. Address for Correspondence

City / Town / Village Postal Code

State Country

E-Mail Id.

Tel. (Off.) ( ISD) (STD) Tel. (Res.) (ISD) (STD)

Mobile ( ISD) (STD) Fax (ISD) (STD)

City / Town / Village Postal Code

State Country

8/9/2019 Individual_KYC.pdf

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INDIVIDUAL KYC FORM

Attorney (i.e. the holder of PoA), both of w hom should be K YC com pliant in their independentcapacity and a ttach their respective KY C A cknow ledg em ents while investing .

8. If an individual becom es a M utual Fund Investor due to an o peration of law , e.g., transm issionof un its upon death of an investor, the claim ant / person (s) entering the Register of U nitho ldersof the M utual Fund(s) w ill be requ ired to be K YC com pliant before such transfer can take p lace.

9. The K YC process requ ires investors to provide their Proof of identity (PAN card copy only) andProof of Ad dress (any valid docum ents listed in section B of the K YC A pp lication Form ) to com plyw ith KY C requirem ents. M utual Funds reserve the righ t to seek any ad dition al inform ation /docum entation in term s of the PM LA at any point of tim e.

10 . M utual Funds/ C VL w ill not be liable for any errors or om issions on the p art of the app licant /Unit holders in the K YC A pplication Form . Docum ents received in support of KYC requirem entsw ill be verified at the design ated “Points of Service”(PoS), on a best effort basis. How everacceptance and processing of the K YC A pplication Form is subject to indep end ent verificationby C VL. In the event of any K YC A pplication Form being rejected for lack of inform ation /deficiency / insufficiency of m and atory docum entation , etc. CV L w ill inform the ap plicant of suchrejection.

11. The M utual Fund, its Asset M anagem ent Com pany (AM C ), Trustee C om pany and their D irectors,em ployees and agents shall no t be liable in an y m ann er for any claim s arising w hatsoever onaccou nt of freezing the folios / rejection of any application / non-allotm ent of units or m andatoryredem ption of units / refund due to no n-com pliance w ith the p rovisions of the PM LA, SEBIguidelines or w here the A M C / M utual Fund believes that transaction (s) by an app licant / investorsis / are suspicious in nature w ithin the p urview of the PM LA and SEBI gu idelines and requiresreporting the sam e to Finan cial Intelligence U nit - Ind ia (FIU -IN D).

12 . O nce the investor is KY C com pliant, he w ill be required to intim ate his/her KYC details to all theM utual Funds w ith w hom he/she has investm ents. The K YC C om pliance w ill be d eem ed to havebeen com pleted for the investor in all folios held by him /her (identified b y his/her PAN ) in therecords of the M utual Fund ..

1. This A pplication Form is m eant to enable a person to com ply w ith the client iden tificationprogram m e laid dow n by the Prevention of M oney Laundering A ct, 200 2 (PM LA) hereinafterreferred to as Kno w Your C lient (KYC ) requirem ents. It is for use b yINDIVIDUALS only. A separateform is provided for non -individu al entities such as H indu Und ivided Fam ily (HU F), Corporates,Trusts, Societies, etc.

2. This form is not an Investm ent A pplication Form , and is only m eant for providing inform ationand docum ents required for KY C com pliance. Applicant m ust be KY C com pliant w hile investingw ith any SEBI registered M utual Fund w hich has subscribed to the services of CD SL Ven turesLim ited (C VL) for com pliance of the KYC proced ure. A list of M utual Funds is available on thew ebsite of AM FI atwww.amfiindia.com .

3. Subscription to M utual Fund U nits m ay be m ade only after obtaining the KY C A cknow ledgem entat their respective d esignated Points of A cceptance / Investor Service C entres.

4. Each U nitholders / Investors m ust attach their KY C A cknow ledgem ent along w ith the Investm entA pp lication Form (s) / Transaction Slip(s) w hile investing for the first tim e in every folio. A pp lication sForm s / Transaction Slips no t accom panied b y KYC A cknow ledgem ent are liable to be rejectedby the M utual Funds.

5. Joint Holders: Joint holders need to b e ind ividually KYC com pliant before they can invest w ithany M utual Fund. e.g. in case of three joint holders, all holders need to be K YC com pliant andcopies of each holder’s KY C A cknow ledgem ent m ust be attached to the investm ent app licationform w ith any M utual Fund.

6. Minors: In case of investm ents in respect of a M inor, the G uardian should be K YC com pliantand attach their KY C A cknow ledgem ent w hile investing in the nam e of the m inor. The M inor,up on attaining m ajority, shou ld im m ediately app ly for KY C com pliance in his/her ow n cap acityand intim ate the concerned M utual Fund (s), in order to b e able to transact further in h is/her ow ncapacity.

7. Power of Attorney (PoA) Holder : Investors desirous of investing through a PoA m ust note thatthe KY C com pliance requirem ents are m andatory for both the Po A issuer (i.e. Investor) and the

IMPORTANT NOTES - PLEASE READ BEFORE FILLING UP THE FORM

3. Proof of Address Docum ents : Please note thateach of the tw o add resses m entioned by youw ill need to b e sup po rted b y a ‘Proo f-of-Add ress’bearing you r or your spouse’s / parent’s(do cum ents to establish relation ship also to be sub m itted) nam e as supporting docum ents. Pleasetick the box as applicable, for the d ocum ent provided by you . You m ay attach an y one of thefollow ing d ocum ents (A ny do cum ent having an expiry date should be valid on the date ofsubm ission):•Latest* Telepho ne Bill •Latest* Electricity Bill •Passpo rt •D riving Licen se •Latest* BankPassbook •Latest* Bank A ccount Statem ent •Voter Identity C ard •Ration C ard •Latest* D em atAccount Statem ent •Registered Lease / Sale A greem ent of residen ce •Proo f of Ad dress issuedby Ban k M anag ers of Scheduled C om m ercial Banks / M ultinational Foreign Banks / G azettedO fficer/ N otary Pub lic / Elected R epresentatives to the Legislative A ssem bly / Parliam ent / Docum entissued by an y G overnm ent or Statutory Authority* These docum ents should not be m ore than three m onths old as on the date of subm ission ofthis form .

4. Perm anen t A ddress / O verseas A ddress: If you are a Resident Indian, and your Perm anen t addressis different from the on e m ention ed in the A dd ress for Correspond ence , please state it here. Ifyou are a Non -Resident Ind ian o r a Person o f Indian O rigin, it is m andatory for you to state yourO verseas A ddress here.

C. Other details1. G ross An nual Incom e details: Please tick the app licable bo x indicating your G ross An nual Incom e

(including both taxable and tax-free inco m es).2. O ccupation d etails: Please indicate your current occup ation b y ticking the one m ost app licable

to you. Yo u are required to fill up the n ext section , if it add ition ally applies to you.After you have completed filling up the KYC Application Form, please submit the same alongwith the entire set of supporting documents to any designated PoS. Please also submit aphotocopy of the Form for acknowledgement purpose, which you can retain for your records.Other important notes, after the KYC Acknowledgement is issued to you:1. Please preserve the docum ent from C VL w hich confirm s your KY C com pliance. You w ill need

to attach photocopies of this do cum ent when you invest for the first tim e in every folio, in anyM utual Fund.

2. If you observe any error in the details captured by C VL, you are requested to app roach your nearestdesignated PoS.

3. If you are already holding investm ents in any M utual Fund s, please provide a copy of your KY Cackno w ledg em ent, giving details of your folio / account num bers to such Funds or theirReg istrars. Please note that your signature on the KY C A pp lication Fo rm shou ld m atch w ith thaton the records of the M utual Fund s.

4. In respect of new investors, signature on the A pp lication Form for investing / transacting in M utualFund should m atch w ith that on this KYC Application Form .

5. After allotm ent of KY C com pliance, if there are any changes in an A pplicant’s details such asNam e, A ddress, Status, Incom e bracket, O ccupation o r Signature, the chan ge sho uld be registeredw ith CVL through a designated PoS expeditiously, by using the KY C D etails Ch ange form .Itshould be noted that only after such registration will the change be reflected in theMutual Fund’s records. Particularly with respect to change of address, investors shouldregister such change giving 10 days time for the subsequent communications fromMutual Funds to reach them at their new address. O riginal / A ttested copies of docu m entssuppo rting the ch ange w ill be required to b e subm itted together with the K YC D etails ChangeForm .For any other investment related information or changes thereto, the applicantshould approach the Mutual Funds or their Registrars.

General1. The A pplication Form should be com pleted inENGLISH and in BLOCK LETTERS.2. Please tick in the ap propriate box w herever applicable.3. Please fill the form in legible handw riting so as to avoid errors in yo ur application processing.

Please do not overw rite. C orrection s should be m ade by canceling and re-w riting , and suchcorrections should be counter-signed by the applicant.

4. A pplications incom plete in an y respect and/or not accom panied b y required d ocum ents are liableto be rejected.

5. A pplications com plete in all respects and carrying necessary docum entary attachm ents shou ldbe subm itted at the d esignated Po S. A com plete list of PoS is available on the w ebsite of AM FIat www.amfiindia.com, www.cdslindia.com and Mutual Fund websites.

6. You are required to subm it a Proof-of-Identity docum ent (PAN card is the on ly docum ent w hichcan b e subm itted) and a Proof-of-Address docum ent for each address filled b y you in this form .D ocum ents subm itted to support Iden tity and A ddress shou ld b e

i. Proof of Identity• O riginal PAN C ard + Self-attested pho tocopies (O riginals w ill be returned o ver-the-counter after

verification)ii. Proof of Address• O riginal Docu m ents + Self-attested photocopies (O riginals will be returned over-the-counter after

verification) OR• True C opies attested by a N otary Public / G azetted Officer / M anag er of a Scheduled C om m ercialBank o r M ultinational Foreign Banks (N am e, Designation and Seal shou ld be affixed on the copy).

U nattested photocopies of an original do cum ent are no t acceptable• If the abo ve do cum ents including attestation / certification s are in regional lang uage o r foreign

lang uage then the sam e has to m ust be translated into English for subm ission .A. Identity Details1. N am e : Please state your nam e as Title (M r / M rs / M s / Dr / C om m and er / etc.), First, M iddle

and Last Nam e in the space provided.This should match with the name as mentioned inthe PAN card failing which the application is liable to be rejected. If the PAN card hasa name by which the applicant has been known differently in the past, than the oneprovided in this application form, then requisite proof should be provided e.g. marriagecertificate, or gazetted copy of name change.

2. D ate of Birth: Please ensure that this m atches w ith the D ate of Birth as indicated in the PAN card.3. N ation ality: Foreign N ationals are no t allow ed to ap ply, un less they are Non-Resident Indians (NRIs)

or Person s of Ind ian O rigin (PIO ).4. Status : Please tick your current residen tial status.5. PAN : PAN is m andatory to be KY C com pliant. Please read instruction given in 6(i) above carefully.6. Please affix m ost recent colour pho tograph and sign across the photograph .B. Address Details1. A ddress for Co m m unication : Please provide here the address w here you w ish to receive all

com m unications sent by the M utual Fund s with w hom you invest.The address you give here

will supercede existing information in the records of the Mutual Fund / Registrars andTransfer Agent to the Mutual Fund. This address should match with the address in the‘Proof-of-Address’ submitted as supporting document; otherwise the KYC ApplicationForm is liable to be rejected.

2. C on tact Details: Please provide yo ur Teleph one / Em ail contact details. The con tact details givenby you herewill not supercede existing inform ation in the records of the M utual Fund / Reg istrarsand Transfer A gent to the M utual Fund. You w ill have to indepen dently com m unicate the sam eto them in case of any chan ge(s).

GUIDELINES FOR FILLING UP THE KYC APPLICATION FORM

CHECKLIST(Before submitting this form, please go through the following checklist)

1. Please ensure that the form is com pleted in all respects and signed b y you.2. Please affix your recent photograph an d sign across the ph otograph.3. Please attach a your PAN card as proof of Identity D ocum ent. This sho uld be a photocopy plus original for verification .4. Please attach a Proof of Address D ocum ent (one for each d istinct address). These should be e ither original + pho tocopies or attested / notarised ph otocopies.5. If you are an N RI, you m ust m ention your overseas address in B(4).6. Please subm it a photocopy of the du ly com pleted K YC A pplication Form .

a l o k

g r a p

h i c s

For assistance or enquiries please approach the Point of Service where you had submitted your KYC Application Form.