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Mutual Fund Forms Completion and Submission Checklist

FORMS COMPLETION AND SUBMISSION CHECKLIST

  • COMMON APPLICATION FORM
  • To be filled by the NEW Investors only
  • Additional documents provided if investor name is not pre-printed on payment cheque or if Demand Draft is used
  • Form is complete in all respect like Name, Address, Contact Details, Status, PAN
  • Application number/folio number is mentioned on the reverse of the instrument
  • Mode of holding is specified in case of more than one applicants
  • FATCA Details are filled in by individual Investors
  • KYC Details (Occupation, Gross Annual Income, Net Worth, etc) are mentioned for All applicants, as applicable
  • FATCA, CRS & Additional KYC Form and UBO Form is enclosed for Non- Individuals
  • Aadhar copy is attached for all holders including Guardian and POA
  • Nomination details are provided by individual Applicants
  • Bank Account Details are complete. Bank Account number is provided in full and not abbreviated
  • KYC Letter from KRA (for all applicants) is attached
  • Appropriate Scheme, Plan, Options are mentioned clearly
  • Form is signed by all applicants
  • Cheque DD is drawn in favor of the “Scheme Name” and crossed Account Payee”. Pay in Bank details are mentioned
  • ARN Code, EUIN, etc are mentioned as applicable
 

(B) Existing Investors Form

 

  

(C) OTM FORM

 
  • To be filled by Existing Investors only
  • OTM Form is complete in all respect
  • Can be used for Purchase, Switch, Redemption, etc.
  • Bank Name, Account Number, MICR/IFSC Code for debit has been mentioned clearly and legibly.
  • Separate form is to be used for each transaction/scheme/plan
  • Amount is mentioned in Words and in Figures, as is written on a cheque
  • Scheme, plan, and option is clearly mentioned for all transactions
  • Folio number or Application number is clearly mentioned
  • Amount is clearly mentioned for all transactions
  • Start month clearly mentioned as DD/MM/YYYY
  • Date, Frequency, Period is clearly mentioned in case of SIP/STP/DTP
  • Form is signed by all applicants as in bank records
  • Form is signed as per mode of holding
  • Name clearly mentioned below the signatures/s
  • ARN Code, EUIN, etc are mentioned as applicable
  • ARN Code, EUIN, etc are mentioned as applicable

 

ACCOMPANYING DOCUMENT CHECKLIST
Applicants should submit the following documents, as applicable, with the application. All documents should be original/true copies certified by a Director/Trustee/Company Secretary/Authorised Signatory. Applicants not covered below or foreign applicants like FPIs, FIIs, etc should approach the AMC for eligibility and documents required.
Documents Individual/HUF NRIs/PIOs Investments through POA Companies Partnership Firms Trust/Societies
KYC (as applicable) √ √ √ √ √ √
Notarised Power of Attorney √
FATCA √ √ √ √ √ √
UBO √ √ √
PIO /OCI Card √
Aadhaar √ √ √ √ √
List of Authorised Signatories with Specimen Signature (s) √ √ √ √
Board Committee Resolution / Authorisation to invest √ √ √
FIRC where payment is made by DD from NRE or FCNR A/c √

 

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