{"id":716,"date":"2021-08-04T10:28:59","date_gmt":"2021-08-04T10:28:59","guid":{"rendered":"http:\/\/www.shreyasinvest.in\/Blog\/?p=716"},"modified":"2021-08-04T16:34:34","modified_gmt":"2021-08-04T16:34:34","slug":"forms-completion-and-submission-checklist","status":"publish","type":"post","link":"http:\/\/www.shreyasinvest.in\/Blog\/forms-completion-and-submission-checklist\/","title":{"rendered":"Mutual Fund Forms Completion and Submission Checklist"},"content":{"rendered":"<p><strong><u>FORMS COMPLETION AND SUBMISSION CHECKLIST<\/u><\/strong><\/p>\n<ul>\n<li><span style=\"text-decoration: underline;\"><strong>COMMON APPLICATION FORM<\/strong><\/span><\/li>\n<\/ul>\n<table style=\"height: 1744px;\" width=\"815\">\n<tbody>\n<tr>\n<td width=\"301\">\n<ul>\n<li>To be filled by the <strong style=\"font-family: inherit; font-size: inherit;\">NEW Investors only<\/strong><\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Additional documents provided if investor name is not pre-printed on payment cheque or if Demand Draft is used<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Form is complete in all respect like Name, Address, Contact Details, Status, PAN<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Application number\/folio number is mentioned on the reverse of the instrument<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Mode of holding is specified in case of more than one applicants<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>FATCA Details are filled in by individual Investors<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>KYC Details (Occupation, Gross Annual Income, Net Worth, etc) are mentioned for All applicants, as applicable<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>FATCA, CRS &amp; Additional KYC Form and UBO Form is enclosed for Non- Individuals<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Aadhar copy is attached for all holders including Guardian and POA<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Nomination details are provided by individual Applicants<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Bank Account Details are complete. Bank Account number is provided in full and not abbreviated<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>KYC Letter from KRA (for all applicants) is attached<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Appropriate Scheme, Plan, Options are mentioned clearly<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Form is signed by all applicants<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Cheque DD is drawn in favor of the \u201cScheme Name\u201d and crossed Account Payee\u201d. Pay in Bank details are mentioned<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>ARN Code, EUIN, etc are mentioned as applicable<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">&nbsp;<\/p>\n<p><span style=\"text-decoration: underline;\"><strong>(B) Existing Investors Form<\/strong><\/span><\/p>\n<p>&nbsp;<\/td>\n<td width=\"301\">&nbsp;<\/p>\n<p><span style=\"text-decoration: underline;\"><strong>(C) OTM FORM<\/strong><\/span><\/p>\n<p>&nbsp;<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>To be filled by Existing Investors only<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>OTM Form is complete in all respect<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Can be used for Purchase, Switch, Redemption, etc.<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Bank Name, Account Number, MICR\/IFSC Code for debit has been mentioned clearly and legibly.<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Separate form is to be used for each transaction\/scheme\/plan<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Amount is mentioned in Words and in Figures, as is written on a cheque<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Scheme, plan, and option is clearly mentioned for all transactions<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Folio number or Application number is clearly mentioned<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Amount is clearly mentioned for all transactions<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Start month clearly mentioned as DD\/MM\/YYYY<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Date, Frequency, Period is clearly mentioned in case of SIP\/STP\/DTP<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Form is signed by all applicants as in bank records<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>Form is signed as per mode of holding<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>Name clearly mentioned below the signatures\/s<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<tr>\n<td width=\"301\">\n<ul>\n<li>ARN Code, EUIN, etc are mentioned as applicable<\/li>\n<\/ul>\n<\/td>\n<td width=\"301\">\n<ul>\n<li>ARN Code, EUIN, etc are mentioned as applicable<\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<table style=\"height: 13px;\" width=\"662\">\n<tbody>\n<tr>\n<td width=\"712\"><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p>&nbsp;<\/p>\n<table>\n<tbody>\n<tr>\n<td colspan=\"7\" width=\"616\"><span style=\"text-decoration: underline;\"><strong>ACCOMPANYING DOCUMENT CHECKLIST<\/strong><\/span><\/td>\n<\/tr>\n<tr>\n<td colspan=\"7\" width=\"616\">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.<\/td>\n<\/tr>\n<tr>\n<td width=\"139\"><strong>Documents<\/strong><\/td>\n<td width=\"67\"><strong>Individual\/HUF<\/strong><\/td>\n<td width=\"79\"><strong>NRIs\/PIOs<\/strong><\/td>\n<td width=\"82\"><strong>Investments through POA<\/strong><\/td>\n<td width=\"80\"><strong>Companies<\/strong><\/td>\n<td width=\"81\"><strong>Partnership Firms<\/strong><\/td>\n<td width=\"89\"><strong>Trust\/Societies<\/strong><\/td>\n<\/tr>\n<tr>\n<td style=\"text-align: center;\" width=\"139\">KYC (as applicable)<\/td>\n<td style=\"text-align: center;\" width=\"67\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"79\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"82\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"80\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"81\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"89\"><strong>\u221a<\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">Notarised Power of Attorney<\/td>\n<td width=\"67\"><\/td>\n<td style=\"text-align: center;\" width=\"79\"><\/td>\n<td style=\"text-align: center;\" width=\"82\"><strong>\u221a<\/strong><\/td>\n<td width=\"80\"><\/td>\n<td width=\"81\"><\/td>\n<td width=\"89\"><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">FATCA<\/td>\n<td style=\"text-align: center;\" width=\"67\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"79\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"82\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"80\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"81\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"89\"><strong>\u221a<\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">UBO<\/td>\n<td width=\"67\"><\/td>\n<td width=\"79\"><\/td>\n<td style=\"text-align: center;\" width=\"82\"><\/td>\n<td style=\"text-align: center;\" width=\"80\">\u221a<\/td>\n<td style=\"text-align: center;\" width=\"81\">\u221a<\/td>\n<td style=\"text-align: center;\" width=\"89\">\u221a<\/td>\n<\/tr>\n<tr>\n<td width=\"139\">PIO \/OCI Card<\/td>\n<td width=\"67\"><\/td>\n<td style=\"text-align: center;\" width=\"79\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"82\"><\/td>\n<td style=\"text-align: center;\" width=\"80\"><\/td>\n<td width=\"81\"><\/td>\n<td width=\"89\"><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">Aadhaar<\/td>\n<td style=\"text-align: center;\" width=\"67\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"79\"><\/td>\n<td style=\"text-align: center;\" width=\"82\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"80\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"81\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"89\"><strong>\u221a<\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">List of Authorised Signatories with Specimen Signature (s)<\/td>\n<td width=\"67\"><\/td>\n<td style=\"text-align: center;\" width=\"79\"><\/td>\n<td style=\"text-align: center;\" width=\"82\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"80\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"81\"><strong>\u221a<\/strong><\/td>\n<td style=\"text-align: center;\" width=\"89\"><strong>\u221a<\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"139\">Board Committee Resolution \/ Authorisation to invest<\/td>\n<td width=\"67\"><\/td>\n<td width=\"79\"><\/td>\n<td width=\"82\"><\/td>\n<td width=\"80\">\u221a<\/td>\n<td width=\"81\">\u221a<\/td>\n<td width=\"89\">\u221a<\/td>\n<\/tr>\n<tr>\n<td width=\"139\">FIRC where payment is made by DD from NRE or FCNR A\/c<\/td>\n<td width=\"67\"><\/td>\n<td width=\"79\">\u221a<\/td>\n<td width=\"82\"><\/td>\n<td width=\"80\"><\/td>\n<td width=\"81\"><\/td>\n<td width=\"89\"><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":719,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[3],"tags":[12],"class_list":["post-716","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-mutual-fund","tag-documents-forms-checklist","entry","has-media"],"_links":{"self":[{"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/posts\/716","targetHints":{"allow":["GET"]}}],"collection":[{"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/comments?post=716"}],"version-history":[{"count":5,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/posts\/716\/revisions"}],"predecessor-version":[{"id":722,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/posts\/716\/revisions\/722"}],"wp:featuredmedia":[{"embeddable":true,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/media\/719"}],"wp:attachment":[{"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/media?parent=716"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/categories?post=716"},{"taxonomy":"post_tag","embeddable":true,"href":"http:\/\/www.shreyasinvest.in\/Blog\/wp-json\/wp\/v2\/tags?post=716"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}