JM FINANCIAL MUTUAL FUND

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1 COMMON APPLICATION FORM FINANCIAL MUTUAL FUND Resident Non-Resident (please ) as per your status Serial No: ED DISTRIBUTOR INFORMATION FOR OFFICE USE ONLY Name & Broker Code/ARN Sub-Agent/Broker Code In-House number as per K-BOLT Date, Time and Number as per Time Stamping Machine INVESTMENT DETAILS (Refer instruction No. 5)* Scheme Name Plan Option Sub-Option *In case of any ambiguity / incomplete information, the default plan / option / sub-option will be applicable as per the scheme s offer document & Key Information Memorandum. 1. EXISTING UNIT HOLDER S information (Please fill in your details mentioned below and proceed to section 4) Folio No. 2. APPLICANT INFORMATION (It is mandatory to submit verified copy of PAN proof for all investments failing which application will be rejected) (Refer instruction no. 8) (To be filled in block letters. Use one box for one alphabet, leaving one box blank between name and surname) Full Name of Sole/1st Applicant/Minor/Non-individual: Date of Birth D D M M Y Y Y Y Full Name of Guardian (in case of Minor) / Contact Person (In case of non-individual investors) / Karta (in case of HUF) / Partner (in case of Partnership Firm): Relationship with Minor [Pl. 4] (DO NOT REPEAT NAME) in full of Applicant/Parent OR Guardian of Minor/Indian address in case 1st Applicant is NRI/FII (Post Box No. alone is not sufficient) Dist. Pin Code State STD Code Tel. Fax -ID Preferable mode of communication Yes No SMS Alert Yes No (Refer instruction no. 17) Full Name of Second Applicant Full Name of Third Applicant Permanent Account Number (PAN) - Mandatory {Please submit a verified copy of PAN card for all investors. In case the 1st applicant is minor, please provide Guardian s PAN. Refer to Instruction No. 8 1st Applicant Guardian (in case 1st applicant is minor) 2nd Applicant 3rd Applicant Verified Copy of PAN Card enclosed Pl.( ) Mobile Status/Category of the 1st Applicant [Pl. 4] Location/City Know Your Customer (KYC) Please refer to instruction no. 8 Mother Father Legal Guardian 1. Resident Individual 3. HUF 5. AOP/BOI 7. Proprietorship Firm 9. Trust 11. NRI 13. Government Body 15. Banks 2. On behalf of minor 4. Company 6. Partnership Firm 8. Body Corporate Listed Unlisted 10. Society 12. FIIs 14. Financial Institution 16. Others (pl.specify) 3. Bank Particulars (It is mandatory to furnish bank particulars failing which application shall be rejected) Bank Account No. Account Type : Savings Current NRE NRO FCNR MICR Code IFSC Code Direct Credit Facility: Please refer instruction no. 18 Bank Name Branch Pl.( ) Mode of Holding [Pl. 4] 1. Single 2. Joint* 3. Either or Survivor/s (* Default, in case of ambiguity when applicants are more than one ) Occupation of the 1st Applicant [Pl. 4] 1. Business 2. Professional 3. Agriculturist 4. Private sector service 5. Retired 6. Student 7. Housewife 8. Public Sector / Govt. service 9. Forex Dealer 10 Others (pl. specify) City Pin 4. INVESTMENT AND PAYMENT DETAILS (Refer instruction nos. 6 & 7**) Please submit one cheque / DD for each application and for each plan/option. Cheque /DD No. Cheque / DD Amount (Rs.) DD Charges (Rs.) Gross Total Amount (Rs.) Bank Account Number Bank & Branch Account (SB/CA/NRE/NRO/FCNR) ** Allotment of units is subject to realisation of Cheque/DD. No cash payments are For NRI(s) Source of Fund: NRE NRO FCNR Direct Remittances from abroad Please mention the application no. on the reverse of the Cheque / DD. The details of the bank account provided above pertain to my / our bank account in my / our name Yes No If No, my relationship with the bank account holder is Spouse Child Parent Relative Sibling Friend Others. Application form without this information is liable to be rejected. ACKNOWLEDGEMENT SLIP (To be filled in by the investor) Received an application from Mr./Ms./M/s. as normal Investment or through SIP or for SWP or through STP as per details below Scheme Name Plan Option Sub-Option Payment Details (1st Cheque /DD in case of SIP) Amt. Serial No: ED Collection Centre s Stamp & Receipt Date and Time Cheque/DD No. dated Bank & Branch Cheque/DD is subject to realisation In case of Tax Gain Fund based on the production of this acknowledgement, the investor may claim tax exemption under Sec.80C of the IT Act till the statement of account is issued provided the payment instrument is encashed and the application and other documents are found to be in order.

2 5. FOR INVESTMENT BY NRI(s)/FII(s) Overseas City Country Pin/ZIP Applicable to NRIs only : I / We* confirm that I am / we* are Non-Resident of Indian Nationality / Origin and I /we* hereby confirm that the funds for subscription have been remitted from abroad through approved banking channels or from funds in my / our* Non-Resident External / Ordinary Account / FCNR Account. Please (4) Repatriation basis Non-Repatriation basis 6. SYSTEMATIC INVESTMENT PLAN (SIP) (Refer to terms, conditions and instructions for SIP & fillup separate form for each SIP date / frequency / plan / option ) Enrolment Period Start Date D D M M Y Y Y Y End Date D D M M Y Y Y Y Payment Mechanism (please 4 only one) Auto Debit Facility (Direct Debit / ECS) (please attach Auto Debit Registration cum Mandate Form) Through Post dated Cheques (please furnish the cheque details below) Through Standing Instructions for HDFC Bank account holder (Please furnish Standing Instruction form of HDFC) SIP DATE (please 4 only one) 1st 5th 10th 15th 20th 25th Frequency (please tick any one) Monthly * Quarterly (* Default Frequency) No. of cheques / installments Cheque Nos. : From To SIP Installment amount : Name of Bank & Branch : 7. SYSTEMATIC TRANSFER PLAN (STP) (Refer to terms, conditions and instructions for STP) (Please fill up Separate form / to different scheme / plans / options / sub-options) From Scheme / Plan / Sub-Plan / Option / Sub-Option To Scheme / Plan / Sub-Plan / Option / Sub-Option STP installment amount Enrolment Period: From D D M M Y Y Y Y To D D M M Y Y Y Y Frequency of (Pl. 4 any one from the following) Weekly (pl. 4 any one starting date) Fortnightly (pl. 4 any one starting date) Monthly (pl. 4 any one starting date) Quarterly# 1 st 8 th 15 th 22 nd of the month 1 st 15 th of every month 1 st 5 th 15 th 25 th of the month 1st Business Day of the next month and subsequently on first of every quarter # Settlement date will be the opted date for Equity & Derivative Funds and Arbitrage Advantage Fund of the respective monthly / quarterly choice of multiple frequency under weekly/fortnightly/monthly STP through a single form will be rejected 8. SYSTEMATIC WITHDRAWAL PLAN (SWP) (Refer to terms, conditions and instructions for SWP) SWP Plan (Pl. 4 any one): Fixed Amount Withdrawal (FAW) SWP Installment Amount under FAW: Rs. Capital Appreciation Withdrawal (CAW) Withdrawal Frequency (Pl. 4 any one): Monthly 1st 5th 15th 25th Quarterly (1 st Business day of every quarter after the start) Withdrawal Commencement date D D M M Y Y Y Y Enrolment Period: From D D M M Y Y Y Y To D D M M Y Y Y Y 9. nomination details (Refer instruction no. 19) I/We hereby nominate the under mentioned person(s) to receive the amount to my/our credit in the event of my/our death in propotion to the percentage(%) indicated against the Name(s) of the Nominee(s). I/We also understand that all payments and settlements made to such nominee(s) shall be a valid discharge by the AMC / Mutual Fund / Trustee. No. Name & of the Nominee /s (upto 3 Nos.) Relationship with the first holder Share (%) (in multiple of 1%) Age of the Nominee Date of Birth D D M M Y Y Y Y Guardian Name Relationship City Pin Signature of Nominee / Guardian (Not mandatory) 10. DECLARATION & SIGNATURES Having read and understood the contents of the Offer Document of the scheme for investment and subsequent amendments thereto including the section on Prevention of Money Laundering, I/We hereby apply to the Trustee of Financial Mutual Fund for units of the Scheme as indicated above and agree to abide by the terms and conditions, rules and regulations of the Scheme. I/We have not received and will not receive nor will be induced by any rebate or gifts, directly or indirectly, in making this investment. I/We further declare that the amount invested by me/us in the Scheme is derived through legitimate sources and is not held or designed for the purpose of contravention of any act, rules, regulations or any statute or legislation or any other applicable laws or any notifications, directions issued by any governmental or statutory authority from time to time. It is expressly understood that we have the express authority from our constitutional documents to invest in the units of the Scheme and the AMC/Trustee/Fund would not be responsible if the investment is ultravires thereto and the investment is contrary to the relevant constitutional documents. I/We authorise this Fund to reject the application, revert the units credited, restrain me/us from making any further investment in any of the schemes of the Fund, recover/debit my/our folio(s) with the penal interest and take any appropriate action against me/us in case the cheque(s)/payment instrument is/are returned unpaid by my/our bankers for any reason whatsoever. I/We hereby further agree that the Fund can directly credit all the dividend payouts and redemption amount to my bank details given above. (Applicable for SIP Investors only) I/We hereby declare that the particulars given above are correct and express my/our willingness to make payments referred above through participation in ECS /Direct Debit Clearance. If the transaction is delayed or not effected at all, for reasons of incomplete or incorrect information on my/our part or circumstances beyond the control of AMC/its service provider, I/We would not hold the Asset Management Company responsible in any manner. I/We hereby authorize Financial Mutual Fund and their authorised service providers, to get my/our above bank account debited by ECS /Direct Debit towards the collection of monthly payments on due SIP dates as opted by me/us. In the event of any changes in the bank particulars, I/We will submit a fresh mandate along with a cancellation request for the earlier mandate well in advance. I/We have read and agreed to the terms and conditions mentioned in KIM / Offer Document. * Please strike out whichever is not applicable. Date : D D M M Y Y Y Y Place : 11. LIST OF DOCUMENTS ATTACHED {Please mention below the details of documents (other than cheque and DD) attached with the form} Sole/First Applicant/ Guardian Second Applicant/ Guardian Third Applicant/ Guardian 1. KYC Acknowledgement 3. No. of Cheques 5. Total Nos. of attachments 2. Verified copy of PAN Proof 4. SIP Mandate 6. To be filled in by applicant To be verified by office Note : Registrar Karvy Computershare Private Limited Karvy Plaza, H. No , Avenue 4 Street No. 1, Banjara Hills, Hyderabad Tel No.: / / 751 Fax No.: services_jmf@karvy.com All future communication in connection with this application should be addressed to the Registrar at the address given above, quoting full name of First/Sole Applicant, the Application Serial Number, the name of the Scheme, the amount invested, date and the place of the Branch / Investor Service Centre where application was lodged.

3 SYSTEMATIC INVESTMENT PLAN (SIP through auto debit) Please attach the scheme application form duly filled & signed AUTO DEBIT (ECS / DIRECT DEBIT) REGISTRATION CUM MANDATE FORM First Installment of SIP through a Cheque and subsequent investments via Electronic Clearing Services (ECS) (for all Banks in select cities only as per overleaf) / Direct Debit (for select Banks only ). Application should be submitted at least 30 days before the 2nd SIP installment. Folio No. (for existing unitholders) Name of Sole/1st Applicant/Minor/Non-individual Mr./Ms./M/s. BANK ACCOUNT DETAILS The Branch Manager Bank Name Branch Name Branch PIN Code INVESTMENT DETAILS This is to inform you that I/we have registered with Financial Mutual Fund through their authorised service provider for the RBIs Electronic Clearing Service (Debit Clearing)/Direct Debit Facility and that my/our payment towards my/our investment in Financial Mutual Fund shall be made from my/our above mentioned account with above bank & branch. Further, I/we authorize the representative carrying this ECS/Direct Debit mandate to get the same verified and executed. I/We hereby authorize you to debit my/our account of making payment to Financial Mutual Fund through AUTO DEBIT (through Electronic Clearing Service / DIRECT DEBIT for collection of SIP payments.) as per the details furnished as under. Bank Account Number : Account Type : Savings Current NRE NRO FCNR 9-digit MICR Code (Mandatory) : (At PAR MICR Code not valid for ECS - e.g MICR code starting and / or ending with 000) Ledger No / Ledger Folio No. : Application No. (for new Applicant) Scheme : Plan : Sub-Plan : Name Copy to the user Company Telephone No. Blank Cancelled Cheque Mandatory Enclosures Date of Birth D D M M Y Y Y Y Option / Sub-Option(Pl. 3) : Bonus Growth Dividend Reinvestment Payout Others SIP Installment Amount (Rs.) Frequency (please tick any one) : Monthly * Quarterly (* Default Frequency) SIP Period : Start date : D D M M Y Y Y Y End date : D D M M Y Y Y Y SIP Dates (Pl. 3 any one) : 01st 05th 10th 15th 20th 25th of the month (Note : Minimum 30 days are required for second installment through auto debit to register and start) Copy of Cheque SIGNATURE/S (order & mode of operation as per bank records) Name of the A/c holder / Guardian (in case of minor) Signatures First/Sole Account holder Second Account holder Thrid Account holder Date: D D M M Y Y Y Y FOR OFFICE USE ONLY (Not to be filled in by Investor) Recorded on D D M M Y Y Y Y Scheme Code Recorded by Credit Account Number Bank Mandate Ref. No. Investor Ref. / Folio No. " " Banker s Attestation for ECS/ Direct Debit Folio No. of Financial Mutual Fund Certified that Signature of account holder(s) and the details of Bank Account are correct as per records Bank Account Number : Signature of Authorised Bank Official with seal & date Date: D D M M Y Y Y Y

4 TRANSACTION SLIP FINANCIAL Scheme : Plan : Option / Sub Option : Folio Number : 1st Applicant 2nd Applicant 3rd Applicant ADDITIONAL PURCHASE REQUEST Investment Amount (Rs.) DD Charges (Rs.) Net Amount (Rs.) Cheque / D.D. No. Dated / / Drawn on Bank Branch & City SWITCH REQUEST Please tick ( ) Verified copy of PAN attached KYC ACK IHNO : IFSC Code : Broker Code : REDEMPTION REQUEST I/We would like to redeem from the above mentioned Scheme/Plan No. of Units Amount (Rs.) (in figure) Amount / Units (in words) Until the Broker code is clearly mentioned in Transaction Slip, this transaction will be considered as Direct All Units OR OR I/We would like to switch All Units OR No. of Units OR Amount (Rs.) (in figure) Amount / Units (inwords) Scheme : Plan : Option : Sub Option : Change / Correction in Bank Details A/C No. SB/CA/NRE/NRO Change of & Contact Details from the above mentioned Scheme Bank Name City PIN Branch Phone Mobile MICR Code Applicable for FII/NRI investors I / We hereby confirm that I am / we are non-resident/s of Indian Nationality/Origin and that the funds have been remitted through the following approved Banking Channels as ticked hereunder. Investor Type (Please ) : NRI (Repatriation) NRI (Non-Repatriation) Foreign Institutional Investor Source of funds (Please ) : NRE NRO Direct Remittance from Abroad FCNR SIGNATURE(S) (First Unit Holder) (Second Unit Holder) (Third Unit Holder) Date (To be signed by All Unitholders if mode of holding is 'joint' in case of non individual investor, rubber seal to be affixed). PS : Please use separate transaction slip for two or more financial transactions (i.e. Purchase/Redemption/Switch) failing which transaction will be rejected without any action.

5 DECLARATION The investor by signing the transaction slip overleaf confirms having understood and agreed to the following Terms & Conditions 1. That the investor/s has / have read and understood the contents of the Offer Document(s) of the respective scheme/s. The request for Additional Purchase/Redemptions/Switch etc will be subject to the terms & conditions of the scheme concerned as per the current Offer Document/s of the respective Scheme/s including Minimum Investment Amount / Units / Multiple criteria. 2. That the investor/s has / have neither received nor been induced by any rebate or gifts, directly or indirectly in making this investment. 3. That AMC / Registrar will reject the transaction in case Additional Purchase Request is made along with Redemption and/or Switch request/s, as two different type of Financial Trancations are not permissible through Single Transcation Slip. Separate Transaction Slip is necessary for each financial transaction. 4. The Mutual Fund reserves the right to reject/refund, revert or revert and reprocess any transcation in case of detection of any error. 5. The AMC will credit the Redemption/Dividend amount into the same Bank Account of investor through Direct Credit if the investor maintains his Bank Account with any of the empanelled Banks of the AMC. At present, the AMC has arrangements for Direct Credit with the following 16 Banks, which may; be deleted or added as per the discretion of the AMC with out any prior information / notice to investors. 1. ABN Amro 2. BNP Paribas 3. Centurion Bank of Punjab 4. Citibank 5. Deutsche Bank 6. Development Credit Bank (DCB) 7. HDFC Bank 8. HSBC 9. ICICI Bank 10. IDBI Bank 11. Indusind Bank 12. ING Vysya Bank 13. Kotak Mahindra Bank 14. Standard Chartered Bank 15. AXIS Bank 16. Yes Bank AMC also reserves the right to effect credit through RTGS/NEFT/ECS system as and when started for payment of dividend, subject to the availability of required information i.e. MICR No., IFSC code, Name of the Bank and the Branch pertaining to the bank account maintained by investor. 6. That Financial Asset Management Pvt Ltd/ Financial Mutual Fund/ Financial Trustee Co. Pvt. Ltd. will not be held responsible in case of delayed credit/credit not having been effected on account of incorrect/incomplete Bank details furnished by investor. Also that a cheque/demand Draft will be issued in the event of rejection of Direct Credits by Bank beyond AMC s controls. 7. The Bank Details will be updated for the particular scheme/plan/option only, if the transaction slip containing the computer printed/hand-written scheme/plan/option is used instead of making a request through a letter for such change with folio number only. However, if the transaction slip is used by mentioning only folio number (i.e, without mentioning the scheme/plan/option), the bank details will be updated for entire folio provided no other financial transaction is mentioned in the slip. Furher, the investor/s understand/s that the application of updation for change/correction in addres or contact details will always be updated at folio level. 8. In case of difference in the amount and units mentioned in any request for Redemption/Switch, the lower of the two on rupee equivalent basis on the Transaction/applicable NAV date will be considered by the AMC. In the event of investor not having filled in the Amount/Units in the Transaction Slip, the AMC will redeem/switch-out all the outstanding units in case the Scheme, Plan, Option are clearly mentioned. 9. All financial / Non-financial requests must be signed by all the joint holders in case the units are held on the basis of joint holding. In case, units are held on the basis of "Either / Anyone or Survivor", any one of the joint holders may sign such requests. 10. The redemption/switch price represent an average price after taking into account the respective load structure applicable for units purchased, on First in First Out basis. Mandatory Requirements / Information : 1. As per SEBI, the submission of copy of PAN proof duly verified by Bank Manager/Notary Public/Officials of Financial AMC or M/s Karvy Computershare or self-attested copy duly verified by the distributor holding AMFI Registration Number (ARN) with signatures, date, name and official rubber stamp is mandatory. Purchase Transaction will not be processed by the Registrar and amount refunded within 30 days without any interest in case the verified copy of PAN is not submitted alongwith purchase transaction or alongwith earlier transactions for the same folio. 2. Furnishing Bank Details is mandatory as per SEBI guidelines to avoid fraudulent encashment of payment instrument/s issued by the AMC from time to time. Investor may furnish the same if not furnished earlier by using the tear-away Transaction Slip appended overleaf duly signed by all investors. Please refer point No. 7 above. 3. In order to meet the KYC (Know you customer) requirements as per Prevention of Money Laundary Act, wef 1 st Feb. 2008, it is mandatory for all investors investing Rs. 50,000/- or more in Mutual Fund Schemes, to obtain and attach a copy of KYC Certification issued by M/s CVL (A subsidiary Company of CDSL). The details may be obtained from the AMFI's site i.e. amfiindia.com. The Registrar will update the address of the investor based on CVL's record for all those investors whose KYC certification is completed successfully. The investor is required to update his/her address with CVL if any change is required to be updated after KYC certification.

6 SYSTEMATIC INVESTMENT PLAN (SIP through auto debit) Please attach the scheme application form duly filled & signed AUTO DEBIT (ECS / DIRECT DEBIT) REGISTRATION CUM MANDATE FORM First Installment of SIP through a Cheque and subsequent investments via Electronic Clearing Services (ECS) (for all Banks in select cities only as per overleaf) / Direct Debit (for select Banks only ). Application should be submitted at least 30 days before the 2nd SIP installment. INVESTMENT DETAILS Folio No. (for existing unitholders) Application No. (for new Applicant) Name of Sole/1st Applicant/Minor/Karta of HUF/Non-individual Mr./Ms./M/s. Scheme : Plan : Sub-Plan : Date of Birth D D M M Y Y Y Y Option / Sub-Option(Pl. 3) : Bonus Growth Dividend Reinvestment Payout Others SIP Installment Amount (Rs.) Frequency (please tick any one) : Monthly Quarterly SIP Period : Start date : D D M M Y Y Y Y BANK ACCOUNT DETAILS The Branch Manager Bank Name Branch Name Branch PIN Code This is to inform you that I/we have registered with Financial Mutual Fund through their authorised service provider for the RBIs Electronic Clearing Service (Debit Clearing)/Direct Debit Facility and that my/our payment towards my/our investment in Financial Mutual Fund shall be made from my/our above mentioned account with above bank & branch. Further, I/we authorize the representative carrying this ECS/Direct Debit mandate to get the same verified and executed. I/We hereby authorize you to debit my/our account of making payment to Financial Mutual Fund through AUTO DEBIT (through Electronic Clearing Service / DIRECT DEBIT for collection of SIP payments.) as per the details furnished as under. Bank Account Number : Account Type : Savings Current NRE NRO FCNR 9-digit MICR Code (Mandatory) : (At Par Micr Code not valid for ECS - e.g Micr code starting and / or ending with 000) Ledger No / Ledger Folio No. : End date : D D M M Y Y Y Y SIP Dates (Pl. 3 any one) : 01st 05th 10th 15th 20th 25th of the month (Note : Minimum 30 days are required for second installment through auto debit to register and start) Name Copy to the user Company Telephone No. Blank Cancelled Cheque Mandatory Enclosures Copy of Cheque SIGNATURE/S (order & mode of operation as per bank records) Name of the A/c holder / Guardian (in case of minor) Signatures First/Sole Account holder Second Account holder Thrid Account holder Date: D D M M Y Y Y Y FOR OFFICE USE ONLY (Not to be filled in by Investor) Recorded on D D M M Y Y Y Y Scheme Code Recorded by Bank Mandate Ref. No. Credit Account Number Investor Ref. / Folio No. " " Banker s Attestation for ECS/ Direct Debit Folio No. of Financial Mutual Fund Certified that Signature of account holder(s) and the details of Bank Account are correct as per records Bank Account Number : Signature of Authorised Bank Official with seal & date Date: D D M M Y Y Y Y

7 TERMS & CONDITIONS AND INSTRUCTIONS FOR SYSTEMATIC INVESTMENT/TRANSFER/WITHDRAWAL PLANS The existing and prospective Investor is advised to refer to the Offer Document and Key Information Memorandum of the respective schemes carefully before applying for the enrollment under the Systematic Plan. The Clause on Minimum Amount of subscription as specified in the Offer Document of the respective scheme/plan/option/sub-options will not be applicable for investments made through the first installment of Systematic Investment /Transfer Plan. For example, the minimum investment amount for 1st investment in Basic Fund is Rs.5,000/-. However, in case of SIP (Systematic Investment Plan), an investor can invest with minimum installment amount of Rs.1,000/- or Rs.500/- per month or Rs. 3000/- per quarter so as to meet the Minimum Investment Amount over the opted period. Similarly, he can meet the Minimum Investment Criteria through STP (Systematic Transfer Plan) mode as well. All applicants are deemed to have accepted the terms and conditions upon tendering the payment and submitting the application form for investment and Systematic Plans. The terms & conditions for respective Systematic Plans are mentioned hereunder: A. Systematic Investment Plan(SIP) 1. SIP is available to investors in all the open ended Schemes of Financial Mutual Fund. This facility is subject to change from time to time. SIP facility can be availed either through Auto Debit (Direct Debit/ECS/Standing Instructions of HDFC Bank) or by way of post-dated cheques. In case of ECS, the investor s Bank should be participating in local clearing of the city where ECS facility is available. The cheque/dd/payment instrument for the Ist instalment should participate in local clearing where the transaction is submitted. 2. AUTo DEBIT FACILITY : The arrangement for Auto Debit (ECS or Direct Debit) for SIP has been made as follows for second SIP installments onwards: To avail this facility, the applicant is required to give standing instructions to his bankers in the prescribed form to debit his bank accounts at periodic Intervals and credit the installment amount to the Bank Account with Financial Mutual Fund directly or through any of the service providers appointed by the AMC. i. SIP through ECS Debit facility is presently available at following locations for all banks participating in the local clearing in these locations Agra Ahmedabad Allahabad Amritsar Asansol Aurangabad Bangalore Baroda Bhilwara Bhopal Bhubaneshwar Burdwan Calicut Chandigarh Chennai Cochin Dehradun Delhi Dhanbad Durgapur Erode Gorakhpur Guwahati Gwalior Hubli Hyderabad Indore Jabalpur Jaipur Jalandhar Jammu Jamnagar Jamshedpur Jodhpur Kakinada Kanpur Kolhapur Kolkata Lucknow Ludhiana Mangalore Mumbai Mysore Nagpur Nashik Nellore Panjim Patna Pune Raipur Rajkot Ranchi Salem Shimla Sholapur Siliguri Surat Thirupur Tirupati Trichur Trivandrum Udaipur Udupi Varanasi Vijaywada Vizag ii. SIP through Direct Debit facility is presently available with the following banks: Banks with which AMC has Direct Credit facility or through ECS system of RBI in places where ECS facility is available subject to the conditions that all required information eg MICR/IFSC codes etc are furnished by investors ICICI Bank, Indusind Bank, Standard Chartered Bank & Axis Bank iii. SIP through Standing Instructions for HDFC Bank Account Holders: The Bank Account Holders of HDFC Bank can avail of SIP through Auto Debit facility by subscription SIP through Standing Instructions with HDFC Bank through a separate mandate for HDFC Bank (as per format) The Bank A/c Holder/s has/have to sign the Authorization Request Form meant for Bank in the Auto SIP in the same order as they maintain their bank account. The prospective investor is advised to contact the Investor Service Centres (ISCs) managed by the offices of Financial Mutual Fund or Registrar M/s Karvy Computershare Pvt. Ltd for an updated status and for current list of Banks accepting Direct Debit mandates or for the list of cities where ECS facility is available. However minimum 30 days time is required for registration of Auto Debit for 2nd installments onward. 3. Though Post Dated Cheque : The investor may submit post-dated cheques drawn on any city in India subject to the first cheque/dd being payable at the location of Point of Acceptance where the SIP request is being submitted 4. The list of cities/banks for Auto Debit (through ECS/Direct Debit) as mentioned above may be modified/updated/changed/removed at any time in future, entirely at the discretion of Financial Mutual Fund without assigning any reason or prior notice to investors. In case of removal of any city/bank from the current list, the Auto SIP instructions for investors in such locations/banks will stand automatically discontinued without any prior notice. 5. SIP is offered on Monthly and Quarterly basis on any of the six SIP dated during the month i.e. 1st, 5th, 10th, 15th, 20th or 25th. 6. A separate form is required for each SIP date/scheme/plan/option/sub-option. Choice of multiple dates/schemes/plans/options/sub-options through single Form is not permitted. In case, an investor wishes to opt for multiple SIP dates/schemes/plans/options/sub-options in the same month, he may do so by submitting separate Scheme Application-cum-SIP Mandate Forms for each such SIP due dates/options with separate set of post dated cheques/auto Debit (ECS/Direct Debit/Standing Instructions) forms and Account Opening Cheque(s)/Demand Draft(s). Any single application if received with multiple SIP choices will be summarily rejected and the amount of initial investment refunded without any interest, if the amount of the same is less than the minimum investment limit fixed for particular Scheme/Plan/Option/sub-option. 7. A Minimum of 30 days time is required for 2nd installment of SIP through post-dated cheques/auto Debit (ECS/Direct Debit/Standing Instructions ) to take place after the Ist SIP/Initial Investment for each SIP date (if opted for multiple dates). 8. The first investment under SIP has to be made through physical cheque/dd payable locally at the place of submission of the application. The first cheque/dd has to be of any valid date and not a post dated one on the date of submission. However, in case of remaining post-dated SIP cheques, from 2nd installment onwards, the cheques must contain the opted SIP dates for the entire remaining period out of the permissible SIP dates i.e. 1st, 5th, 10th, 15th, 20th or 25th of a month. Similarly, in case of SIP through Auto Debit (Direct Debit/ECS/Standing Instructions), the investor should choose any of the above mentioned six SIP dates. Frequency (i.e. Monthly/Quarterly) needs to be specified clearly, failing which the AMC has the right to reject the application and refund the amount received with initial SIP investment. 9. The second SIP installment should not fall in the same calendar month 10. In case, any particular future SIP due date falls on a non-business day or falls during a book closure period, the immediate next business day will be considered for the purpose of NAV application accordingly. 11. The applicable NAV for all SIP installments under Liquid Funds will be of the day when the cheque gets cleared and funds are available to AMC for utilization. For non-liquid schemes, the date of submission of SIP request if the cheque is payable locally and in case of outstation payment instrument, the date of availability of funds for utilization by the AMC or T+10 day (whichever is earlier), will be considered for the allotment of NAV in case the first cheque/dd is realised. Subsequently, the opted due dates will be considered for allotment of NAV, irrespective of the date of realization for SIP investments under Non-liquid scheme. 12. An investor will have to mandatorily abide by the following criteria with regard to Minimum Installment Amount and Minimum Number of Opted & completed instalments. Amount per Installment (Rupees in whole Numbers) * Minimum Mandatory Installments* Rs. 500 to Rs. 999 per month (For Monthly Frequency) 12 or more out of which 10 installments must be effected Rs or more per month (For Monthly Frequency) 6 or more out of which 5 installments must be effected Rs or more per quarter (For Quarterly Frequency) 2 or more where atleast 2 installment must be effected *These conditions are to be fulfilled in addition to other conditions. 13. In order to be treated as a valid SIP application, minimum investment amount as per the Offer Document of the respective scheme e.g Rs. 5,000/- should be received by the AMC as per details mentioned in the above table during the opted period. However, the SIP will be treated as discontinued as per the discretion of the AMC if AMC does not get the funds for any two consecutive SIP installments due to any reasons directly attributable to investor or his banker i.e insufficiency of funds, instruments not drawn properly, payment stopped by investor etc. or minimum investment criteria is not met before the discontinuation due to the above or any other reasons, anytime during the opted period. 14. In the event of non-receipt of fund for the first investment/ist SIP installment itself, the SIP will automatically be treated as discontinued ab initio 15. All SIP Installments including the first one i.e. initial investment are required to be of same amount failing which the investment will not be treated as a valid SIP investment and will be subject to the terms and conditions of normal investments. 16. In the event of any of the installment amount being different, the AMC will treat all SIP installments as normal investments and these will be subject to normal entry/exit load as applicable on the respective dates of investments. In order to treat such installments as normal investments, the AMC reserves the right to revert and reprocess all previous SIP installments besides discontinuation of SIP for future installments or alternatively the AMC may recover the waived entry load directly from investor or by redeeming the equivalent units from the respective folio. In addition, the AMC will also charge exit load (as per applicable rates on the dates of respective SIP installments). In the event of non-fulfillment of minimum subscription criteria of the opted scheme, the AMC shall revert and refund the entire amount without any interest. 17. The Investment cum SIP Enrolment Form complete in all respects may be submitted at any of the ISCs of Financial Mutual Fund or Karvy Computershare Pvt. Ltd. In case of SIP through Auto Debit (i.e. through Direct Debit in selected banks or through ECS in selected cities or through Standing Instructions Mandate by HDFC Bank Account Holders), an additional form known as the SIP Auto Debit Registration cum Mandate Form (through Direct Debit/ECS)/HDFC Bank s Standing Instructions form is also required to be submitted at the time of opting for SIP. 18. The 1st SIP cheque/dd will be considered as Account Opening cheque for existing and new investors. The existing investor may fill-in the existing folio number, Scheme/Plan/Option Name and proceed to fill-up the respective SIP columns of the Common Application Form, if there is no other change required by him in his folio. 19 To subscribe to SIP, an Investors has to submit the following documents: i. Scheme Application cum SIP Registration Form ii. Locally Payable Cheque/DD for Initial Investment cum 1st SIP Installment Amount subject to the minimum amount/number of installment as per above mentioned table. iii. Post-dated cheques for remaining period drawn on any city in India OR iv. Auto Debit (through Direct Debit/ECS) Registration cum Mandate Form OR v. Standing Instructions Mandate by HDFC Bank Account Holders v. A photo copy of the cheque/cancelled cheque from the same account where future installments are to be debited if opted for SIP through Auto Debit. 20. The cheque/s should be drawn in favour of the scheme/plan chosen (e.g. Equity Fund ) and crossed A/C Payee Only and payable locally and drawn on any bank, which is situated at and is a member of the Bankers Clearing House located at the place where the SIP application is submitted. In case of outstation cheques, if accepted by the AMC, the AMC shall credit the unit holder s account with the number of units at the applicable sale price on the day when clear funds are received by the Mutual Fund. However, in all cases, the first cheque/dd should be payable locally. Under Liquid Scheme, the units will be allotted based on the NAV applicable on the date of realization/utilization of funds for the respective SIP Installment. 21. The investor should write the SIP Form/Folio number / the first applicant s name on the reverse of the cheque/s accompanying the SIP Form. 22. Returned / Dishonoured cheques will not be presented again for collection. 23. For discontinuation of SIP through ECS / Direct debit, the unitholder is required to intimate the AMC / Registrar at least 15 Calendar Days prior to the next installment for the respective due date. In case of physical post-dated cheques, the minimum notice period for discontinuation is 30 calender days. On such request, SIP will be terminated and the balance post dated cheques will be returned to the investor or the debit instructions given by the investor under ECS/Direct Debit will be treated as cancelled. 24. As per SEBI guidelines and as per Rule 114 (B) of Income Tax Rules, 1962, it is mandatory for every/all the joint investor/s to submit verified copy of his/her/their PAN Card for all investments irrespective of the amount involved including SIP while opening the SIP Account. Even NRI investor is also required to submit the same. 25. If the investment is in the name of a minor, the verified copy of PAN Card of the minor or his father or mother or legal guardian, who represents the minor, should be submitted. 26. To comply with the PMLA (Prevention of Money Laundary Act), the investor is compulsorily required to complete the KYC Certification through M/s CVL (CDSL Venture Ltd) effective from 1st February 2008 onwards if the amount of single SIP installment is Rs.50,000/- or more 27. Effective from Ist January, 2008, Form-60/61 or Form-49A etc are not acceptable as per SEBI guidelines. 28. The investor will not hold Financial Asset Management Pvt Ltd., its Registrars and other service providers responsible, if the transaction is delayed or not effected or the investor s bank account is debited in advance or after the specific SIP date due to various cycles of ECS/Clearing. 29. The investor/s agree/s to abide by the terms and conditions of ECS facility of Reserve Bank of India (RBI) in case of SIP through ECS. B. SYSTEMATIC TRANSFER PLAN (STP) / SYSTEMATIC WITHDRAWAL PLAN (SWP) (These facilities are available only for Open-ended (other than Tax Savings ) Schemes 1. STP provides for transfer of specified amount from one scheme/plan/option in which the original investment is made to any other scheme/plan/option of Financial Mutual Fund, at the end of specified periodic interval viz., either Weekly (i.e.1st, 8th, 15th & 22nd ), fortnightly (i.e. Ist and 15th), monthly (1st, 5th, 15th and 20th ) or quarterly ( on 1st Business Day of the next month & subsequently on first of every quarter). 2. SWP provides for withdrawal of capital appreciation (Capital Appreciation Withdrawal (CAW)) over the opted period or specific amount (Fixed Amount Withdrawal) (FAW) by redemption from a scheme at the end of a specific interval. Under SWP, the frequency can be either Monthly (1st, 5th, 15th or 25th ) or Quarterly (i.e Ist Business Day of every quarter after the start) 3. In order to start the STP/SWP, the investor must have a minimum investment of Rs. 5,000/- or above or as per the minimum investor subscription amount (whichever is higher) in the scheme/plan/option concerned on the Ist opted STP/SWP date. However, the investor is not required to maintain the same balance after processing the Ist STP/SWP installment. The last installment may be equivalent to or less than the opted installment amount. 4. Minimum amount for transfer and available dates for STP are as under : Frequency Amount per Starting dates during any month Minimum mandatory Minimum period required to start Ist STP/ Revertal and Reprocess with load or recovery of load if following installment$ Installments (equal amount) extend the STP after receiving the request conditions are not Weekly Rs. 1000/- 1 st, 8 th, 15 th, 22 nd (after 22nd the next date will automatically be 1st of next month) 6 Min 15 calender days If five installments out of the first six installments could not be effected.* Fortnightly Rs. 1000/- 1 st and 15 th 6 As above As above Monthly Rs. 1,000/- 1 st, 5 th 15 th & 25 th 6 As above as above Quarterly Rs. 3,000/- 1 st Business Day of the next month subject to the minimum gap of 15 calender days from the 2 As above If the first two installments are not effected.* date of receipt of STP request and subsequently after every quarter from the start In case 5 out of the first 6 installments in monthly / weekly / fortnightly and first two in case of quarterly option are effected, the STP s will be treated as valid and there will be no revertal and reprocess with recovery of load. $ Further, in multiples of Re 1/- after the above minimum limit fixed for each STP installment as per the frequency opted or as per the features of respective schemes e.g. under Tax Gain Fund, the minimum investment is Rs. 500/- and further in multiples of Rs. 500/- each. * Or in the event of failure of two consecutive STP installments, the STP request will stand terminated and the investor will have to make a fresh application for availing of this facility subject to the current terms & conditions applicable for fresh STP cases. This condition, will, however, not be applicable in case of CAW where the condition of minimum STP instalments could not be met due to captial appreciaton amount being less than Rs. 100 in case of monthly option and Rs. 300 for quarterly option. 5. In the event of non-fulfillment of any of the criteria i.e. minimum subscription or minimum number of installments or failure etc, the AMC/Registrar will revert all the previous installments and reprocess with the same with loads as applicable on the respective due dates. Alternatively, the AMC may recover the amount of load waived for all installments directly from investor or by debit to his folio/s maintained with Financial Mutual Fund. In the event of non-fulfillment of minimum subscription criteria of the opted scheme, the AMC shall revert and refund the entire amount without any interest. 6. For SWP, a minimum of 15 calender days time is required to start. In case of Quarterly, the subsequent quarterly SWP instalment will fall due after completion of 3 months from the start date. 7. In case, it is not possible for the AMC/Registrar to start the STP/SWP from the opted start date due to the insufficiency of time given by the investor, the AMC/Registrar will automatically process the first STP/SWP on the opted date from the next month after the opted starting month e.g. In case investor applies for STP/SWP on 18th Aug 2008 for effecting Ist STP/SWP from Ist Sept, 2008, AMC/Registrar may process the same from Ist of Oct, 2008 due to insufficiency of time given. In such a case, the ending period will be extended automatically by another month. 8. Minimum amount for withdrawal under SWP is fixed as under : a. Fixed Amount Withdrawal (FAW) : Rs.1,000/- per month or Rs.3,000/- per quarter and Further in multiples of Re.1/- thereafter. b. Capital Appreciation Withdrawal(CAW) Entire Capital Appreciation over the previous due date to current due date subject to a minimum of Rs. 100 under monthly option and Rs. 300/- under quarterly option 9. In case the opted STP/SWP day falls on a non-business day, the next business day shall be deemed to be the transaction day for that month or quarter as the case may be. 10. Each installment under STP/SWP cannot exceed the original investment amount divided by the number of installment chosen subject the fulfillment of minimum STP/SWP criteria for respective frequency. In case of multiple STP/SWP dates, the total number of installments will be taken into account while fixing up the maximum installment amount. Equity & Derivative Fund and Arbitrage Advantage Fund: The due date for processing STP/SWP installment for these schemes is based on the interval period every month i.e. the settlement date of Future and Options Market subject to the condition that such request is made by investor 15 days prior to the next settlement date to start the STP/SWP. In case of insufficiency of time, the AMC/Registrar will process the Ist STP/SWP on the settlement date after the next settlement. Subsequent installments will be processed on respective settlement dates after the starting settlement date.the due date for SWP/STP installment under quarterly option will also be on the next settlement date subject to the condition that such request is made by investor 15 days prior to the next settlement date to start the STP/SWP. In case of insufficiency of time, the AMC/Registrar will process the Ist STP/SWP on the settlement date after the next settlement. Subsequent installments will be processed on settlement dates after a calendar from the start date and so on. General : 1. In case, the investor does not mention the name of Plan, Options, Sub-Options, AMC/Registrar will allot the units as per default Plans/Options/Sub-Options. However, in case the dividend payable to any unit holder is below Rs.100/- each time, then the same will be automatically reinvested. 2. Financial Asset Management Pvt. Ltd., its Registrars and other service providers shall not be responsible and liable for any damage/ compensation for any loss, damage, etc. incurred by the investor, in any manner. The investor assumes the entire risk of using this facility and takes full responsibility.

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