Birla Sun Life Asset Management Co Ltd FAQs on KYC compliance

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1 Birla Sun Life Asset Management Co Ltd FAQs on KYC compliance Following is a list of answers to frequently asked questions relating to KYC compliance being made mandatory. This is not an exhaustive list. Part 1 : KYC and its objectives: The Securities and Exchange Board of India has issued guidelines under The Prevention of Money Laundering Act, 2002 ( PMLA ) requiring Mutual Funds to follow enhanced Know Your Client (KYC) norms. Applicant must be KYC compliant while investing with any SEBI registered Mutual Fund. These FAQs are meant to clarify certain questions relating to enhanced KYC procedures. What is the Prevention of Money Laundering Act (PMLA)? The Prevention of Money Laundering Act, 2002 ("PMLA") created under the aegis of Financial Action Task Force ("FATF") forms the core of the legal framework put in place by India to combat money laundering required to be followed by banking companies, financial institutions and intermediaries by administering KYC and other reporting requirements such as suspicious transactions reporting, etc. Are Mutual Fund Investors covered by PMLA? Yes, the PMLA covers all Financial Intermediaries (including Mutual Funds). Therefore, on a ONE TIME BASIS, all investors are required to submit necessary documentation that will help the Mutual funds complete the KYC procedure. What is KYC? KYC is an acronym for Know your Client, a term commonly used for Customer Identification Process. SEBI has prescribed certain requirements relating to KYC norms for Financial Institutions and Financial Intermediaries including Mutual Funds to know their clients. This entails verification of identity and address, financial status, occupation and such other personal information as may be prescribed by guidelines, rules and regulation. Why is KYC required? KYC is required to prevent monies from illegal sources such as terrorism, etc being deployed in legitimate investment avenues commonly known as money laundering. KYC will play pivotal role in combating money laundering. KYC requirements have been implemented across the world and India has also followed suit by enacting the PMLA. The PMLA requires all financial institutions and intermediaries to implement systems and processes to prevent and/or detect such monies. Banks, insurance companies, brokers, etc have implemented PMLA guidelines and now Mutual Funds are also implementing the same. SEBI has issued guidelines on KYC standards and Anti Money Laundering measures vide circular dated January 18, The guidelines issued with the circular are in the context of the recommendations made by the Financial Action Task Force on anti-money laundering standards. Compliance with these standards by all intermediaries in the country has become imperative. These Guidelines lay down the minimum requirements /

2 disclosures to be made in respect on the clients. The Asset Management Companies may, according to their requirements specify additional disclosures to be made by clients to address concerns of Money Laundering and suspicious transactions undertaken by clients. The policy framework incorporates salient aspects of the measures and obligations of Mutual Funds under the Prevention of Money Laundering Act, 2002 (PMLA) that came into force on July 1, Your attention is also drawn to the addenda dated December 27, 2006 issued by Birla Sun Life Mutual Fund (Mutual Fund) / Birla Sun Life Asset Management Company Limited (BSLAMC) on PMLA. What is the objective of KYC? The objective of KYC is to confirm the identity and address of the client, the source of income and the occupation or profession. KYC information provides protection against fraud, enables suspicious activity to be recognized and protects individual AMCs from reputation and financial risks and protects the interest of the investors at large.

3 Part 2 : Procedure for KYC compliance: For what amount is KYC mandatory and from when is this applicable? For Subscription of Rs. 50,000 and above. Applicable w.e.f February 1, For what type of transactions KYC required? Subscription (Fresh/additional) Rs. 50,000 and above. SIP/STP investments of Rs. 50,000 and above registered on or after February 1, 2008 for KYC. Switch-in/Dividend Reinvestment of Rs. 50,000 and above made on or after February 1, Transmission where the amount is Rs.50,000 or above How do I become KYC compliant? You have to complete the KYC Application Form (KAF) and submit along with the required mandatory documents at the nearest Point of Service (PoS) center (PoS list attached). The list of document mentioned can be found on the reverse of the KAF. What is KAF? Where do I get the KAF? KAF stands for KYC Application Form. KAF can be downloaded from and Are there separate KAF for individual and non-individual investors? Yes. I for individuals & N for non-individuals. What are the mandatory documents required for individual investors to be submitted along with the KAF? Investors are required to complete KAF and alongwith the photograph enclose PAN copy as identity proof & a separate document as address proof and submit the same to any designated Point of Service (POS). The PoS will verify the above copies against the original documents or alternatively, investors may submit attested copies of the requisite documents and a KYC Acknowledgement Letter will be issued to the applicant on a best effort basis. This service is available to the investor free of cost. For instructions on how to fill the form the please refer to the reverse of the KYC application form. What are the documents required for non-individual investors, which need to be submitted along with the KAF? Non-Individual Investors will have to submit the following documents to any designated Point of Service (POS). The PoS will verify the above copies against the original

4 documents or alternatively, investors may submit attested copies of the requisite documents and a KYC Acknowledgement Letter will be issued to the applicant on a best effort basis. This service is available to the investor free of cost. PAN copy as identity proof, and produce documents pertaining to its constitution / registration (as listed below) to fulfil the KYC. Mandatory Certified Documents to be submitted are: Status Hindu Undivided Family (HUF) Company/Body Corporate Partnership firms Trusts, Foundations,NGOs, Charitable Bodies,Clubs/Mutual Fund Schemes Unincorporated association or a body of individuals Documents required (apart from copy of PAN card in the name of the non-individual) Deed of Declaration Latest Bank Passbook/Latest Bank account statement Certificate of Incorporation MOA/AOA Resolution for investment signatures Certificate of registration Partnership deed Documents evidencing authority to invest signatures Certificate of registration Trust deed signatures Proof of Existence/Constitution Document Documents evidencing authority to invest signature

5 Foreign Investors (FIIs) Institutional Scheduled Commercial Bank and Registered Financial Institutions not incorporated under the Companies Act 1956/Regulatory Bodies/Army/Government Bodies/Any other bodies created/incorporated/registe red under state or central legislation being eligible to invest in Mutual Funds Letter and certificate of Registration issued by SEBI signature Copy of Constitution/registration documents Documents evidencing authority to invest List of authorised signatories For instructions on how to fill the form the please refer to the reverse of the KYC application form. Do I have to attest the supporting documents? The identity and address proof documents need to be self-attested and the orginals have to be produced for verification. The copies will be verified with the originals and the original documents will be returned across the counter. In case original documents cannot be produced at the PoS, the true copies can be submitted attested by a Notary Public/Gazatted officer/manager of a Schedule Commercial Bank or Multinational Foreign Banks (Name, Designation and Seal should be affixed on the copy). No unattested photocopies of the mandatory documents shall be accepted. Who is authorised to do KYC? All mutual funds have come together to provide a common platform for facilitating the KYC process. The Mutual Fund Industry has made arrangements with CDSL Ventures Limited ( CVL ), a wholly owned subsidiary of Central Depository Services (India) Limited, to do KYC. For this purpose, CVL has appointed some reputed entities to act as Points of Service (PoS). PoSs are authorised centres to accept KAF, verify documents and forward to CVL for KYC compliance. Additionally, designated Investor Service Centres (ISCs) of some Mutual Funds would also be doing KYC. A list of the POS is available at and Does KYC Acknowledgement Letter have any expiry period? No. This will exist permanently, unless CVL based on final verification of the documents, cancels/rejects in the final verification. How long does it take to get KYC compliance? The KYC compliance will normally be communicated across the counter at the designated Points of Service after preliminary verification of documents by issuing KYC acknowledgement letter (on a best effort basis). However, based on final verification of the documents, the KYC compliance may be cancelled/rejected in case of deficiency of documents or incomplete information observed in the final verification. A separate communication intimating about the cancellation / rejection of KYC compliance will be sent by CVL. This entire process would take 10 working days. CVL will write to the

6 customer regarding the deficiency in the documents and request for further details/documents. These requirements should be completed quickly to enable further transactions in the account. Do I need to pay any fees to do KYC? Currently, KYC compliance is done free of cost. Is Investor required to approach every Mutual Fund to fulfill these requirements? No. The KYC acknowledgement letter issued by CVL can be submitted by investors to any mutual fund as proof of KYC compliance. Is the investor required to visit PoS personally to obtain KYC Compliance? No. In case the investor is not in a position to visit PoS personally, the KAF along with the necessary documents (including originals if the copies are not attested) can be sent through the distributor or representative, who can arrange to fulfill the KYC obligation and obtain the KYC Acknowledgement. Is Investor required to submit the KYC application and documents / provide acknowledgement for every transaction? No. The KYC compliance is required to be done on a ONE TIME BASIS. Investor alongwith the KYC Acknowledgement must ensure to provide a complete list of folio numbers where he is a Holder, Guardian or Power of Attorney Holder to o verify and update our records. What if the investor has multiple folios/accounts with a Mutual Fund? Investor can inform the Mutual Fund to register his/her PAN & KYC compliance against all the folios/accounts where he/she is a unit holder. However, each of the holders/guardian/poa in these folios should register their KYC compliance by submitting a copy of their KYC acknowledgement. To whom is KYC applicable? Is there any exemption? KYC is applicable to all unit holders (including NRI s), guardians and any Power of Attorney Holders. There is no exception to the rule. KYC is not required for Minor applicants and in such cases Guardian need to be KYC Compliant I am an NRI residing outside India. How do I get KYC compliance? At present, there are no POS available outside India. You have to obtain the KAF from the websites of AMFI / all Mutual Funds websites/central Depository Services (India) Limited (CDSL). Duly completed KAF, along with the necessary documents must be sent to your representative or Distributor who can submit to the nearest POS on your behalf. Are there any special requirements for a NRI? In addition to the certified true copy of the passport, certified true copies of the proof of overseas address and permanent address will also be required. If any of the documents (including attestations / certifications) towards proof of identity or address is in a foreign language, they have to translated into English for submission. The documents can be

7 attested by the Consulate office or overseas branches of scheduled commercials banks registered in India. Is there any special requirement for a PIO (Person of Indian Origin)? The requirements applicable to an NRI will also apply to a PIO. However, additionally, he will need to submit a certified true copy (certified as above) of the PIO Card. The documents accepted as an alternatives to PIO card are 1. Copy of OCI card OR 2. Copy of foreign passport with place of birth as India OR 3. Indian passport copy of Self / Parents/ Grandparents (with proof of relationship) OR 4. Documents issued by a Government authority specifying place of birth as India What are the requirements for investments managed by a Power of Attorney (POA) holder? Yes, both investor and the POA holders are required to be KYC compliant in his/her own name. Part 3 : Other related informations Is there any unique number allotted as in the case of MIN (Mutual Fund Identification Number ) to identify as KYC complaint? No separate number is allotted, however PAN numbers would be confirmed as KYC compliant or not. MIN, which was earlier used, has been discontinued and those investors who had obtained MIN should submit their PAN to CVL through the PoS. Case 1 If the MIN was obtained by submitting the PAN, the MIN Acknowledgement can be enclosed along with the Investment Application Form(s) / Transaction Slip(s) while investing for the first time in every folio. Case 2 If the MIN was obtained without submitting the PAN but with other proof identity documents, the investor needs to carry the PAN card in original and a copy for submission at the PoS. For such cases, CVL will send out a communication to the concerned investors requesting them to submit a copy of the PAN card for completing the process of KYC compliance. Do all the joint holders need to be KYC compliant? All joint holders will be required to be KYC compliance. Once an account is opened with a Mutual Fund by 1 st, 2 nd & 3 rd holder and the investors return to make a fresh investment, do they need to furnish once again the necessary documents? Once a KYC compliance is obtained by multiple applicants in a folio, they can continue investing with any combination of holders by quoting their correct PAN number. Investors may attach a copy of their KYC acknowledgement to the application form, which will

8 assist in the processing of their application. However, this is not compulsory. Front offices may check if the clients are KYC compliant and return the application, if not. If they are unable to do so at the front office, the back office will check for KYC compliance. If KYC is pending, the folio will be locked for fresh investments above Rs 50,000. If all members in my family invest, can I get a single KYC compliance? Each individual investor will need to be individually KYC compliant. I invest in my minor child s name? Do I need to get a KYC compliance for my minor child as well? Minors cannot apply for a KYC compliance. In case of a Minor, the Guardian of the minor has to obtain and quote his / her KYC compliance (PAN) in the Mutual Fund form while investing. What happens when the Minor attains the status of a Major? Upon a minor attaining the status of a major on completing 18 years of age, he/she must apply for and obtain KYC compliance in his/her own name. What happens if I have multiple folios/accounts with a Mutual Fund? You can inform the Mutual Fund to update the KYC compliance against all the folios/accounts you have with it. However, each of the holders in these folios should have a KYC compliance of their own

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3.Where and how does one get to be KYC Compliant? Does the investor have to repeat the KYC process with every Mutual Fund? 1.What is KYC? 2.What are the KYC requirements for a Mutual Fund Investor? 3.Where and how does one get to be KYC Compliant? Does the investor have to repeat the KYC process with every Mutual Fund? 4.What

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