New Bank Mandate details with attestation from Bank Branch Manager TO WHOMSOEVER IT MAY CONCERN

Transcription

1 New Bank Mandate details with attestation from Bank Branch Manager <To be given on Bank s Letter Head> or with <Bank Branch seal, employee name and number seal> TO WHOMSOEVER IT MAY CONCERN This is to certify that Mr. / Mrs. (#) : S/o or D/o : residing at : is holding the following account in our bank and branch: Bank Name : Branch Name : Bank A/c No. : A/c Type (Pls ) : Savings Current NRE NRO FCNR Others MICR Code (9 Digit) : IFSC Code (11 Digit) MICR Code: IFSC Code: : Signature of the above A/c holder as per Bank s records Signature of Bank Manager Bank & Branch Seal With employee name and number Date: Place: (#) = Name of the Nominee / Claimant

2 (Individual Affidavits by the Legal Heirs) INDEMNITY BOND WITH RESPECT TO TRANSFER OF THE MUTUAL FUND UNITS HELD BY THE DECEASED HOLDER WITH OUT PRODUCTION OF LEGAL REPRESENTATION (In case of Transmission of Mutual Fund Units held by a Single Holder / on death of all unit holders in case of Joint Holding and where there is no nominee registration) I (#) son / daughter / spouse of residing at do hereby solemnly affirm and sincerely state on oath as follows. That Mr. / Mrs. (+) the deceased was holding the following mutual fund units in his /her name as single holder/joint holders: S. No. Name of Mutual Fund Scheme Name Folio No No. of Units Held That the deceased had died intestate on for which we are attaching a Death Certificate. The following are the only legal heir(s) of late Mr. / Mrs. _ for which we are attaching a Legal Heirship Certificate/ Succession Certificate. (+) S. No. Name of Legal Heirs Address Age Relationship with the deceased That out of aforesaid legal heirs Master / Kumari Aged years is a minor and he / she is being represented by Mr. / Ms. ($) who is none other than his / her father / mother as natural guardian. We also confirm that there is no other legal heir as stated above to the deceased, (+) We also indemnify the concerned mutual fund and its authorized Registrar and Transfer Agent in a separate indemnity letter with a third party sureties. DEPONENT SIGNATURE: VERIFICATION We hereby solemnly affirm and state on oath that what is stated herein above is true and correct Original Death Certificate or original attested copy of the death certificate and nothing has been concealed therein and that we are competent to contract and entitled to rights and benefits of the above mentioned mutual fund units of the deceased. Solemnly affirmed at Signed before me at on Signature of the Notary with Name & Seal

3 (+) = Name of the deceased unit holder guardian (#) = Name of the legal heir ($) = Name of the

4 (To be signed jointly by all the Legal Heirs) INDEMNITY BOND WITH RESPECT TO TRANSFER OF THE MUTUAL FUND UNITS HELD BY THE DECEASED HOLDER WITH OUT PRODUCTION OF LEGAL REPRESENTATION (In case of Transmission of Mutual Fund Units held by a Single Holder/ on death of all unit holders in case of Joint Holding and where there is no nominee registration). I/We do hereby solemnly affirm and sincerely state on oath as follows, ($) I/We state that Mr. / Ms. on and he/she was holding the following Mutual Fund Units: passed away I/We do hereby solemnly affirm and sincerely state on oath as follows, S. No. Name of Mutual Fund Scheme Name Folio No No. of Units Held The said unit holder died intestate or without registering any nominee/s in folio/s on the day of. We further inform you that he / she left behind him/her only surviving heirs and next of kin, the following persons according to the Law of Intestate Succession application to him/her by which he/she governed at the time of his/her death. We have, therefore, approached you with a request to transfer the aforesaid Mutual Fund units in the name of the undersigns Mr. / Ms. (#) on my/our behalf without insisting of production of a succession certificate or an order of the court of competent jurisdiction for which we or any one on our behalf execute an indemnity as is herein contained and on relying on the information herein given by us believing the same to be true. In consideration therefore of my/our request to transfer above said Mutual Fund units to the name of the (#) undersigned Mr. / Ms.. I / we hereby jointly and severely agree and undertake to indemnify and keep indemnified, saved, defended, harmless you and your successors and assigns for all time hereafter against all losses, costs, claims, actions, demands, risks, charges, expenses, damages, etc., whatsoever which you may suffer and/or incur by reason of your, at my/our request, transferring the said Mutual Fund units as herein above mentioned, to the undersigned Mr. / Ms. (#) without insisting on production of a succession certificate or letter of administration or an order of the court of competent jurisdiction. IN WITNESS WHEREOF THE said Mr. / Ms. (#) have here unto set their respective hands and seals this day of.

5 Signed and delivered by the said legal heir(s) Name & Address of Legal Heir(s) Signature of the Legal Heir(s) Suretie/s Name & Address [Mandatory] Suretie/s Signature Signature of the Notary with Name & Seal Date: Place: ($) = Name of the deceased unit holder (#) = Name of the claimant

6 I Know Your Client (KYC) Application Form (For Individuals Only) Please fill in ENGLISH and in BLOCK LETTERS Place for Intermediary Logo Application No. : A. Identity Details (please see guidelines overleaf) 1. N ame o f A pplicant (As a ppearing i n s upporting i dentification d ocument). Name PHOTOGRAPH Father s/spouse Name 2. Gender Male F emale B. Marital status Single M arried C. Date of Birth d d / m m / y y y y 3. N ationality Indian Other (Please s pecify) Please affix the recent passport size photograph and sign across it 4. Status Please tick ( ) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals) 5. PAN Please enclose a duly attested copy of your PAN Card Aadhaar Number, if any: 6. Proof of Identity submitted for PAN exempt cases Please Tick ( ) UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline D overleaf B. Address Details (please see guidelines overleaf) 1. Address for Correspondence City / Town / Village State Country Pin Code 2. Contact Details Tel. (Off.) (ISD) (STD) Tel. (Res.) Mobile (ISD) (STD) Fax Id. (ISD) (ISD) (STD) (STD) 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card * Latest Bank A/c Statement/Passbook * Latest Telephone Bill (only Land Line) * Latest Electricity Bill *Latest Gas Bill Others (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y 4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant City / Town / Village Pin Code State Country 5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card * Latest Bank A/c Statement/Passbook * Latest Telephone Bill (only Land Line) * Latest Electricity Bill *Latest Gas Bill Others (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y 6. Any other information: DECLARATION I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. SIGNATURE OF APPLICANT Place: Date: FOR OFFICE USE ONLY AMC/Intermediary name OR code Seal/Stamp of the intermediary should contain Staff Name (Originals Verified) Self Certified Document copies received Designation Name of the Organization (Attested) True copies of documents received Signature Main Intermediary Date IPV Done on d d / m m / y y y y Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date

7 I INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: Agreement of Residence/Driving License/Flat Maintenance 1. Self attested copy of PAN card is mandatory for all clients. bill/insurance Copy. 2. Copies of all the documents submitted by the applicant should be 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill self-attested and accompanied by originals for verification. In case - Not more than 3 months old. the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for 3. Bank Account Statement/Passbook - Not more than 3 months old. attesting the documents, as per the below mentioned list. 4. Self-declaration by High Court and Supreme Court judges, giving the 3. If any proof of identity or address is in a foreign language, then new address in respect of their own accounts. translation into English is required. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative 4. Name & address of the applicant mentioned on the KYC form, should Bank/Multinationa Foreign Banks/Gazetted Officer/Notary match with the documentary proof submitted. public/elected representatives to the Legislative 5. If correspondence & permanent address are different, then proofs for Assembly/Parliament/Documents issued by any Govt. or Statutory both have to be submitted. Authority. 6. Sole proprietor must make the application in his individual name & 6. Identity card/document with address, issued by any of the following: capacity. Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, 7. For non-residents and foreign nationals,(allowed to trade subject to Scheduled Commercial Banks, Public Financial Institutions, Colleges RBI and FEMA guidelines), copy of passport/piocard/ocicard and affiliated to Universities and Professional Bodies such as ICAI, overseas address proof is mandatory. ICWAI, ICSI, Bar Council etc.,to their Members. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for 7. For FII/sub account, Power of Attorney given by FII/sub-account to the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10.For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11.Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity( POI): List of documents admissible as Proof of Identity: 1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section D). 2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license. 3. Identity card/ document with applicant s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. C. Proof of Address (POA): List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50,000/- p.a. 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest the documents. Please Submit the KYC Documents on A4 Size Paper Only.

8 SUPPLEMENTARY KNOW YOUR CLIENT (KYC), FATCA & CRS - SELF CERTIFICATION FORM FOR INDIVIDUALS (Please consult your professional tax advisor for further guidance on your tax residency and related FATCA and CRS guidelines) This form is to be filled by each unit holder separately A. APPLICANT / GUARDIAN PAN Folio No. Name Gender M F O Occupation Type Service Business Others Father s Name Spouse s Name Address of tax residence would be taken as available in KRA database. In case of any change please approach KRA & notify the changes Type of address given at KRA Residential or Business Residential Business Registered Office Permissible documents are Passport Election ID Card PAN Card Govt. ID Card Driving License UIDAI Card NREGA Job Card Others Date of Birth D D M M Y Y Y Y Place of Birth Country of Birth Nationality ID (Provide if not given) Mobile (Provide if not given) Are you a tax resident of any country other than India? Yes No If yes, please indicate all countries in which you are resident for tax purposes and the associated Tax ID Numbers below. # Country % Tax Identification Number Identification Type (TIN or Other, please specify) #To also include USA, where the individual is a citizen/ green card holder of The USA $ %In case Tax Identification Number is not available, kindly provide its functional equivalent B. ADDITIONAL KYC INFORMATION Occupation Details [Please tick ( )] Service Private Sector Public Sector Government Service Student Professional Housewife Business Retired Agriculture Proprietorship Other (please specify) Gross Annual Income (`) [Please tick ( )] Below 1 Lac 1-5 Lacs 5-10 Lacs Lacs >25 Lacs - 1 Crore >1 Crore Net-worth (Mandatory for Non-Individuals) Rs. as on DD/MM/YYYY (Not older than 1 year) Politically Exposed Person (PEP) Status* I am PEP I am Related to PEP Not Applicable *PEP are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc.

9 C. DECLARATION I have read and understood the information requirements and the Terms and Conditions mentioned in this Form (read alongwith the FATCA & CRS Instructions) and hereby confirm that the information provided by me on this Form is true, correct and complete. I hereby agree and confirm to inform Kotak Mahindra Asset Management Company Limited/ Kotak Mahindra Mutual Fund/ Trustees for any modification to this information promptly. I further agree to abide by the provisions of the Scheme related documents inter alia provisions on 'Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) on Automatic Exchange of Information (AEOI)'. Signature Date D D M M Y Y Y Y Place Applicant/ Guardian FATCA & CRS TERMS & CONDITIONS Details under FATCA & CRS: The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income- tax Rules, 1962, which Rules require Indian financial institutions such as the Bank to seek additional personal, tax and beneficial owner information and certain certifications and documentation from all our account holders. In relevant cases, information will have to be reported to tax authorities / appointed agencies. Towards compliance, we may also be required to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding from the account or any proceeds in relation thereto. Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days. Please note that you may receive more than one request for information if you have multiple relationships with us or our group entities. Therefore, it is important that you respond to our request, even if you believe you have already supplied any previously requested information. If you have any questions about your tax residency, please contact your tax advisor. If you are a US citizen or resident or greencard holder, please include United States in the foreign country information field along with your US Tax Identification Number. $It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such identifiers. If no TIN is yet available or has not yet been issued, please provide an explanation and attach this to the form. In case investor has the following Indicia pertaining to a foreign country and yet declares self to be non-tax resident in the respective country, investor to provide relevant Curing Documents as mentioned below: FATCA & CRS Indicia observed (ticked) Third applicant Documentation required for Cure of FATCA/ CRS indicia U.S. place of birth 1. Self-certification that the account holder is neither a citizen of United States of America nor a resident for tax purposes; 2. Non-US passport or any non-us government issued document evidencing nationality or citizenship (refer list below); AND 3. Any one of the following documents: Certified Copy of Certificate of Loss of Nationality or Reasonable explanation of why the customer does not have such a certificate despite renouncing US citizenship; or Reason the customer did not obtain U.S. citizenship at birth Residence/mailing address in a country other than India 1. Self-certification that the account holder is neither a citizen of United States of America nor a tax resident of any country other than India; and 2. Documentary evidence (refer list below) Telephone number in a country other than India If no Indian telephone number is provided 1. Self-certification that the account holder is neither a citizen of United States of America nor a tax resident of any country other than India; and 2. Documentary evidence (refer list below) Standing instructions to transfer funds to an account maintained in a country other than India (other than depository account) If Indian telephone number is provided along with a foreign country telephone number 1. Self-certification that the account holder is neither a citizen of United States of America nor a tax resident for tax purposes of any country other than India; OR 2. Documentary evidence (refer list below) 1. Self-certification that the account holder is neither a citizen of United States of America nor a tax resident of any country other than India; and 2. Documentary evidence (refer list below) List of acceptable documentary evidence needed to establish the residence(s) for tax purposes: 1. Certificate of residence issued by an authorized government body* 2. Valid identification issued by an authorized government body* (e.g. Passport, National Identity card, etc.) * Government or agency thereof or a municipality of the country or territory in which the payee claims to be a resident AMC CONTACT ADDRESS & CALL CENTER DETAILS Kotak Mahindra Asset Management Company Ltd. 6th Floor, Kotak Infinity, Building No. 21, Infinity Park, Off Western Exp Highway, Goregaon-Mulund Link Road, Malad (E), Mumbai To know more about mutual funds, Visit: assetmanagement.kotak.com Toll Free Number: / FOR OFFICE USE ONLY

10 FORM FOR NOMINATION / CANCELLATION OF NOMINATION (to be filled in the individual(s) applying Singly or Jointly) Date: DD / MM / YYYY I/We Sole/First Applicant,, Second Applicant and * Third Applicant do hereby nominate the person(s) more particularly described hereunder / and / cancel the nomination made by me / us on the day of In respect of units held by me / us under Application / Folio No. (*Strike out whichever is not applicable) NOMINATION DETAILS Nominee 1 Name: Allocation %* Signature (Nominee/ Guardian) Date of Birth: DD / MM / YYYY Guardian Name (if minor): Address: Relationship: PAN: City: Pin code: Nominee 2 Name: Date of Birth: DD / MM / YYYY Guardian Name (if minor): Address: Relationship: PAN: City: Pin code: Nominee 3 Name: Date of Birth: DD / MM / YYYY Guardian Name (if minor): Address: Relationship: PAN: City: Pin code: Total 100% Note: * Proportion (%) by which the units will be shared by each nominee (should aggregate to 100%) Sole/First Applicant Second Applicant Third Applicant (To be signed by 'All Applicants' irrespective of mode of holding) 6th Floor, Kotak Infiniti, Building No. 21, Infinity Park, Off W. E. Highway, Gen. A. K. Vaidya Marg, Malad (East), Mumbai Tel.: (022) Toll Free No mutual@kotak.com

11 INSTRUCTIONS 1. The nomination can be made only by individuals applying for / holding units on their own behalf singly or jointly. Non-individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of Power of Attorney cannot nominate. Nomination cannot be updated in a folio held on behalf of minor. 2. Minor(s) can be nominated and in that event, the name, address and signature of the guardian of the minor nominee(s) shall be provided by the unitholder. 3. Nomination can also be in favour of the Central Government, State Government, a local authority, any person designated by virtue of his office or a religious or charitable trust. 4. The Nominee shall not be a trust other than religious and charitable trust, society, body corporate, partnership firm, karta of Hindu Undivided Family, a power of attorney holder. A non-resident Indian can be nominee subject to the exchange control regulations in force, from time to time. 5. Transfer of unit in favour of Noninee(s) shall be valid discharge by the Asset Management Company against the legal heir. 6. The cancellation of nomination can be made only by those individuals who hold unit on their behalf singly or jointly. 7. On cancellation of nomination, the nomination shall stand rescinded and the Asset Management Company shall not be under any obligation to transfer the units in favour of the Nominee(s). 8. If there is multiple nomination and the percentage is less than 100% than the balance will be re-balanced to the first unitholder. If percentage is greater than 100% then nomination would be rejected. 9. Nomination in respect of the units stands rescinded upon the transfer of units. Registrar COMPUTER AGE MANAGEMENT SERVICES PVT. LTD. No. 148 Old Mahabalipuram Road, Okkiyam, Thoraipakkam, Chennai CAMS INVESTOR SERVICE CENTERS Ahmedabad : Floor - Devpath Building, Off C G Road, Behind Lal Bungalow, Ellis Bridge, Ahmedabad Bangalore : Trade Centre, 1st Floor 45, Dikensen Road, (Next to Manipal Centre), Bangalore Bhubaneswar : 101/ 5, Janpath, Unit III, Near Hotel Swosti, Bhubaneswar Chandigarh : Deepak Towers, SCO , 1st Floor, Sector 17-C, Chandigarh Chennai : Ground Floor No.178/10, Kodambakkam High Road, Opp. Hotel Palmgrove, Nungambakkam Chennai Cochin : 40 / 9633 D, Veekshanam Road, Near International hotel, Cochin Coimbatore : Old # 66 New # 86, Lokamanya Street (West), Ground Floor, R.S.Puram, Coimbatore Durgapur : 4/2, Bengal Ambuja Housing Development Ltd, Ground Floor, City Centre, Dist - Burdwan, West Bengal Durgapur Goa : No.108, 1st Floor, Gurudutta Bldg, Above Weekender, M G Road, Panaji (Goa) Hyderabad : 208, Second Floor, Jade Arcade, Paradise Circle, Secunderabad Indore : 101, Shalimar Corporate Centre, 8-B, South tukogunj, Opp.Greenpark, Indore Jaipur : G-III, Park Saroj, Behind Ashok Nagar Police Station, R-7, Yudhisthir Marg,C- Scheme, Jaipur Kanpur : G 27,28 Ground Floor, CITY CENTRE, 63/ 2, THE MALL, Kanpur Kolkata : "LORDS Building" 7/1,Lord Sinha Road, Ground Floor, Kolkata Lucknow : Off # 4,1st Floor,Centre Court Building, 3/c, 5 - Park Road, Hazratganj, Lucknow Ludhiana : U/ GF, Prince Market, Green Field, Near Traffic Lights, Sarabha Nagar Pulli, Pakhowal Road, Above Dr. Virdi's Lab, P.O Model Town, Ludhiana Madurai : 86/71A, Tamilsangam Road, Madurai Mangalore : No. G 4 & G 5, Inland Monarch, Opp. Karnataka Bank, Kadri Main Road, Kadri, Mangalore Mumbai : Rajabahdur Compound, Ground Floor, Opp Allahabad Bank, Behind ICICI Bank, 30, Mumbai Samachar Marg, Fort Mumbai Nagpur : 145 Lendra, Behind Indus Ind Bank, New Ramdaspeth, Nagpur New Delhi : III Floor, Kanchenjunga Building, 18, Barakhamba Road, Cannaugt Place, New Delhi Patna : Kamlalaye Shobha Plaza (1st Floor), Behind RBI Near Ashiana Tower, Exhibition Road, Patna Pune : Nirmiti Eminence, Off No. 6, I Floor, Opp Abhishek Hotel Mehandale Garage Road, Erandawane Pune Surat : Office No 2 Ahura -Mazda Complex, First Floor, Sadak Street, Timalyawad Nanpura, Surat Vadodara : Silver Line, Besides world Trade Centre, Sayajigunj Vadodara Vijayawada : , Rao & Ratnam Complex, Near Chennupati Petrol Pump, M.G Road, Labbipet, Vijayawada Visakhapatnam : 47/ 9 / 17, 1st Floor, 3rd Lane, Dwaraka Nagar, Visakhapatnam (044) Enquiries enq_k@camsonline.com