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D. Asset Ma
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esignated Bra
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anches of SCSitory Servicesnancial Informnformation S
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CTION II ‐
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IFL Mutual Faccordance was the Sponsounder the IndRegistration C
Sponsor
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IIFL was incCompanies ALtd.(BSE) andBroker on NSNational SecuMerchant Ba(Portfolio Ma16V, Plot No.
ncial Perform
in Crores)
worth
al Income
fit after Tax
ets Under Ma
The Truste
India Infolineobligations aare in accord
India Infolinewas incorporSenapati Bap
The sharehol
‐ INFORM
on of the M
Fund ("the Mwith the proviors and Indiadian RegistraCode MF/067
Fund is sponsponsor has ee Mutual Fund
orporated oAct, 1956. IIFd MCX Sx. IndSE, BSE, MCX urities Deposanker under anagers) Regu B‐23, MIDC,
mance of the S
anagement (if
e
e Trustee Cos trustee of Iance with the
e Trustee Comrated on Junat Marg, Low
ding pattern
MATION A
Mutual Fund
Mutual Fund"sions of the I Infoline Trustion Act, 1907/11/02.
sored by Indntrusted a sud.
n 18th OctoFL is listed odia Infoline LStock Exchansitory LimitedSEBI (Merchaulations, 1996Thane Indust
Sponsors (pa
f applicable)
ompany LimitIFL Mutual Fe SEBI Regula
mpany Limitee 5, 2009 ha
wer Parel, Mu
of the Truste
ABOUT SP
d
" or "the Fundian Trusts stee Compan08. The Mutu
ia Infoline Lium of 1,00
ber, 1995 von National SLimited is regnge Limited &d and Centralant Bankers) 6. The registetrial Area, Wa
st three year
ted (the "Truund. The Trutions and wil
ed is a compaaving its Regmbai‐400 013
ee Company is
PONSOR,
nd") has beeAct, 1882 (2 oy Limited as tual Fund was
mited (IIFL). 0,000 to the
ide registratStock Exchangistered with& United Stoc Depository SRegulations,
ered office of agle Estate, T
rs)
2012‐1
1,310.0
550.47
95.81
N. A
ustee"), throustee ensuresl also review
any incorporaistered Office3.
s as follows:
AMC AN
en constituteof 1882) withthe Trustee. Tregistered w
The SponsorTrustee as t
tion no. L74nge of India Securities &k Exchange LServices (Ind, 1992 and aIIFL is at IIFL hane – 400 6
13 2
03 1
7
1
ugh its Boars that the trathe activities
ated under the at IIFL Cen
D TRUST
ed as a trusth India InfolinThe Trust Deewith SEBI on
r is the Settlohe initial con
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mpanies Act, or Annex, Kam
PANIES
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utual Fund wards the
under the Exchange a as Stock ipant with gistered as nder SEBI , Road No.
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charge its y the AMC
1956 and mala City,
Nam
India
*Incl
Deta
Nam
Mr.
Inde
Mr.
Inde
Mr.
Inde
me of the Sha
a Infoline Lim
uding 6 share
ils of Trustee
me
A. K. Shukla
ependent Dire
R.S. Loona
ependent Dire
J.H. Mehta
ependent Dire
areholder
mited
es held jointly
e Directors:
Age
ector 67 yea
ector 61 yea
ector 60 yea
y with its nom
Qualific
ars M. Sc.
ars B. Sc.; L
ars
B.Com;Ahmedof the AManageProgramSchool,
minees.
cation
LLB
MBA from IIabad; GraduaAdvanced ement mme Wharto USA
No. of
3,00,0
Brief Ex
M, ate
on
shares
000*
xperience
Mr. Shukla Insurance Coexperience insurance bu
He has recewhich includDirectors, DAward’ by ‘Marketing K
Mr. Loona is with an expethe legal fieldHe has heldGeneral ManDirector (Law
Mr. Loona hExpert GrouGovt. of Indifinancial newcorporate ma
Mr. Mehta profession anmore than 31
He was organisationsHindustan LGroup as Pre
% o
is a formeorporation oof more thsiness
eived variouse ‘Distinguishelhi; ‘Indira National Uning Award’ by
a Corporate erience of md. d senior posnager (Legal) w) in SEBI
has been assups/Committia, SEBI and wspapers onatters
is a Managend has rich &1 years in fina
associated s like HLL ever as Exeesident.
of Sharehold
100%
er Chairmanof India and an 42 years
s prestigioush Fellow’, InsGandhi Priy
nity Congresy IMM Delhi,
Lawyer by pmore than 32
sitions such in IDBI and E
sociated withtees constitalso writes an securities l
ement Consu& varied expeancial service
with reas Vice Pcutive Direc
ing
of Life has rich s in the
s awards stitute of yadarshni ss, Delhi, etc
rofession years in
as Chief Executive
h several uted by articles in laws and
ultant by erience of sector.
enowned President, tor, RPG
Nam
Mr.
Asso
Right
In acthe M
1. TA
2. Tthin
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7. T
me
Nirmal Jain
ociate Directo
ts, Obligation
cordance witMutual Fund,
The Trustee sAMC.
The Trustee shhe Fourth Schnvestments.
The Trustee sTrustee.
The Trustee sh
a. Systems in
b. Appointedshall conta15 days of
c. Appointed
d. Appointedregulationredressal o
e. Appointed
. Prepared a
g. Specified these Regproposed
The Compliannd independ
The Trustee sransactions w
The Trustee s
Age
or 46 yea
ns, Responsib
th the SEBI (Mthe rights, ob
hall, with the
hall ensure thhedule of the
shall have a
hall ensure be
n place for its
d all key persoain the educaf their appoin
d auditors to
d a compliancns, notificatioof investors g
d registrars an
a compliance
norms for emgulations, prto be listed.
ce Officer apently report t
shall ensure twith brokers a
hall ensure t
Qualific
ars
B. ComAccounAccoun
MBA frAhmed
bilities and Du
Mutual Fundsbligations, res
e prior appro
hat the Investe SEBI Regula
right to obta
efore the laun
s back office,
onnel includiational qualifntment;
audit its acco
ce officer whoons, guidelinegrievances;
nd laid down
e manual and
mpanelment oior in princip
ppointed undto SEBI any no
that the AMCand avoiding
hat the AMC
cation
, Chartered ntant , Cost ntant,
om IIM abad
uties of the T
s) Regulationssponsibilities
oval of SEBI, e
tment Managations and su
ain from the
nch of any sc
dealing room
ng fund manaications, past
ounts;
o shall be reses, instruction
parameters f
designed inte
of brokers anple approval
er clause (d) on‐complianc
C has been dundue conce
C has not give
Brief Ex
Trustee:
s, 1996 and thand duties o
enter into an
gement Agreech other clau
e AMC such
heme that th
m and account
ager(s) for tht experience i
sponsible forns, etc., issue
for their supe
ernal control
d marketing from the r
of sub‐regulce observed b
diligent in emntration of bu
en any undue
xperience
Mr. Jain is a one of the lein India.
He has rich a22 years in fi
During the ye‘India’s Mostfor 2009.
he Trust Deef the Trustee
n Investment
ement containuses as are ne
information
e AMC, has :
ting;
e scheme(s) in the securit
monitoring ted by SEBI o
ervision;
mechanisms
agents; and Orecognised st
ation (4) of Sby him.
mpanelling thusiness with a
e or unfair ad
Chairman ofeading Financ
nd varied expnancial servic
ear 2009, he t Valuable CEO
d dated April include the f
Managemen
ns such clausecessary for t
as is conside
and submitteties market w
he compliancor the Centra
s including int
Obtained, whtock exchang
SEBI Regulati
e brokers, inany broker.
dvantage to a
f India Infolinecial Services C
perience of mces industry.
was ranked sOs’ by Busine
l 29, 2010, cofollowing:
nt Agreement
es as are menthe purpose
ered necessa
ed their bio‐dwith the Trust
ce of the Act,l Governmen
ternal audit sy
herever requige(s) where
ons, shall im
n monitoring
any associate
e Limited Company
more than
second in ess World
onstituting
t with the
ntioned in of making
ry by the
ata which ee, within
rules and nt and for
ystems;
red under units are
mediately
securities
es or dealt
w
8. Ta
9. Tac
10. TR
11. Wwim
12. EM
13. Tap
14. Tp
15. TaR
16. T
a
b
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19. T
20. Tm
21. Ts
with any of th
The Trustee shnd the schem
The Trustee sctivities and ompromised
The Trustee sRegulations.
Where the Trwith SEBI Regmmediately in
Each Director Mutual Fund o
The Trustee shnd shall holdprovisions of t
The Trustee sprovisions of t
The Trustee shny income reRegulations an
The Trustee sh
a. Whenevethe requis
b. When theunits.
The Trustee sexpenses payahall be carrie
a. A writtengiven in othe langu
b. The unit h
The Trustee sname or on be
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The Trustee securities and
e associates o
hall ensure thme.
shall ensure thave taken awith those o
shall ensure
ustee has reaulations and nform SEBI of
of the Truston a quarterly
hall be accoud the same inthe Trust Dee
shall take stethe Trust Dee
hall be respoeceived in thnd the Trust D
hall obtain th
er required tosition made b
e majority of
hall ensure table or any oed out unless:
n communicaone English duage of region
holders are gi
shall call for tehalf of the A
hall quarterly
hall quarterlythe shortfall a
hall periodica satisfy itself
of the AMC in
hat the trans
that the AMCadequate steof any other sc
that all the
ason to believthe scheme if the violation
tee Companyy basis.
ntable for, ann trust for theed.
eps to ensureed.
nsible for thehe Mutual FuDeed.
e consent of
o do so by SEby three‐fourt
the Directors
that no changother change
tion about thdaily newspapn where the H
iven an optio
the details ofAMC and shall
y review all tra
y review the as per clause
ally review althat such con
n any manner
actions enter
C has been meps to ensurecheme or of o
activities of
ve that the cit shall forthwn and the act
shall file the
nd be the cuse benefit of t
e that the tr
e calculation ound for the h
the unit hold
EBI in the inteths of the uni
s of the Trust
ge in the funwhich would
he proposed per having naHead Office o
n to exit at th
f transactionl report to SE
ansactions ca
networth of (f) of sub‐reg
l service conntracts are ex
r detrimental
red into by th
managing thee that the intother activitie
f the AMC a
conduct of buwith take suchion taken by
e details of h
stodian of, thhe unit holde
ansactions o
of any incomholders of the
ders:
erest of the uit holders of a
tee Company
damental attd modify the
change is seationwide cirf the Mutual
he prevailing
s in securitieBI, as and wh
arried out bet
the AMC angulation (1) o
tracts such axecuted in the
to interest o
he AMC are in
e Mutual Funerest of invees of the AMC
are in accord
usiness of theh remedial stit.
his transactio
e funds and pers in accorda
f the Mutua
e due to be pe units of an
unit holders; any scheme; o
y decides to w
tributes of anscheme and
ent to each urculation as wFund is situat
NetAsset Val
es by the keyhen required.
tween the Mu
d in case of f Regulation 2
s custody arre interest of t
f the unit hol
n accordance
d schemes instors of one C.
dance with t
e Mutual Funteps as are ne
ns of dealing
property of tance with SE
l Fund are in
paid to the Mny scheme in
or Wheneveor
wind up or pr
ny scheme oraffects the in
nit holder anwell as in a neted; and
ue without a
y personnel o
utual Fund, A
any shortfall,21 of SEBI Re
rangements, the unit holde
lders.
e with SEBI Re
ndependentlyscheme are
the provision
nd is not in acecessary by it
g in securities
he respectiveBI Regulation
n accordance
Mutual Fund aaccordance
r required to
rematurely re
r the trust ornterest of uni
nd an advertiewspaper pu
ny exit load.
of the AMC in
MC and its as
, ensure thatgulations.
transfer ageners.
egulations
y of other not being
ns of SEBI
ccordance t and shall
s with the
e schemes ns and the
e with the
nd also of with SEBI
o do so on
edeem the
r fees and it holders,
sement is blished in
n his own
ssociates.
t the AMC
ncy of the
22. Tb
23. T
24. T
25. T
a
a
b
26. TRM
27. T
Gene
a
b
c
d
e
f.
Spec
The T
abcd
efg
28. Na
29. T
The Trustee shby the AMC an
The Trustee sh
The Trustee sh
The Trustee sh
a. Report on
a. Certificatefront runn
b. certificateactivities Regulatiothe unitho
The independRegulations shMutual Fund i
The Trustee sh
eral Due Dilig
a. The Truste
b. The Trustein any of t
c. The Trustepersons an
d. The Trustconcerned
e. The Truste
. The Truste
ific Due Dilig
Trustee shall:
a. Obtain intb. Obtain coc. Hold meed. Consider
appropriae. Maintain f. Prescribe g. Communi
Notwithstandacts done in g
The independ
hall ensure thnd the intere
hall periodical
hall abide by
hall furnish to
n the activitie
e stating thatning by any o
e to the effectand in case ns have beenolders are pro
dent Directorhall give theiin the securit
hall exercise d
gence:
ee shall be dis
ee shall reviehe Scheme(s
ee shall ensund by a prope
tee shall ensd regulatory a
ee shall arran
ee shall imme
ence:
ternal audit rompliance ceretings of Boarthe reports oate action. records of thand adhere ticate in writin
ing anything ood faith if it
ent directors
hat there is nst of the unit
ly review the
the Code of C
o SEBI on a ha
es of the Mutu
t the Trusteef the Director
t that the AMany activiti
n undertaken otected.
s of the Trusr comments ies of group c
due diligence
scerning in th
ew the desira) and shall no
ure that the er number of
sure that all authorities.
ge for test ch
ediately repor
eports at regrtificates / repd of Directorsof independe
e decisions oto a code of eng to the AMC
contained int has exercise
s of the Trust
o conflict of holders.
investor com
Conduct as sp
alf‐yearly bas
ual Fund;
e has satisfiedrs of the Trus
MC has been mes of the natby the AMC
stee Companon the reporcompanies of
e as under:
he appointme
bility of contot allow the A
trust propersuch persons
service prov
hecks of servi
rt to SEBI of a
ular intervalsports at reguls of Trustee Cnt auditor an
of the Trusteeethics by the TC of the defic
n any applicabd adequate d
ee Company
interest betw
plaints receive
pecified in the
is:
d itself that tstee Company
managing theture referred and has take
ny referred tort received frf the Sponsors
ent of the dire
inuance of thAMC to float a
rty is properls.
viders are h
ce contracts.
any special de
s from indepear intervals fCompany mornd compliance
e at its meetinTrustee, AMCiencies and c
ble SEBI Regudue diligence
or AMC shal
ween the man
ed and the re
e Fifth Schedu
there have by, directors an
schemes to in sub‐regn adequate s
o in sub‐regurom the AMCs.
ectors on the
he AMC if subany new Sche
ly protected,
olding appro
evelopments
endent auditorom the AMCre frequentlye reports of A
ngs and of theC and its persohecking on th
ulations, the honestly.
l pay specific
nner of deplo
edressal of the
ule of SEBI Re
een no instand key person
independegulation (2) osteps to ensu
ulation (5) of C regarding th
Board of the
bstantial irregeme(s).
held and ad
opriate regist
in the Mutua
ors appointedC y. AMC at the m
e minutes of tonnel. he rectificatio
Trustee shall
c attention to
oyment of its
e same by the
egulations.
nces of self‐dnnel of the AM
ntly of anf regulation 2re that the in
regulation 1he investmen
e AMC.
gularities are
dministered b
trations from
al Fund.
d by Trustee.
meetings of T
the meetings
on of deficien
l not be held
o the followin
networth
e AMC.
dealing or MC;
ny other 24 of SEBI nterests of
16 of SEBI nts by the
observed
by proper
m SEBI or
rustee for
.
cies.
liable for
ng, as may
b
II
III
IV
V
VI
VII
VIII
IX
X
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31. Ta
32. Ehp
33. T
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37. T
38. Tt
39. Na
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The MutuOffic
be applicable,
I. The Inves
I. Service cosame serv
V. Selection
V. Securities
I. Selecting
I. Code of econnectio
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X. Principal u
X. Any servic
n carrying outarm's length rwith which he
The Directors any decision m
Each Director have in any oposition as dir
The Trustee sh
t shall be the be specified b
The Trustee shhe AMC in ac
The Trustee she Mutual Fu
The Trustee sh
The Trustee she assumptio
No amendmeapproval wou
The Trustee, etain, or autaccountants, p
ervisory Role
supervisory rual Fund baseer has a dire
namely:
tment Manag
ontracts with vices,
of the AMC's
s transactions
and nominat
ethics must bon with perso
nableness of
underwriting
ce contract w
t his responsirelationship we/she may be
of the Trustemaking proce
of the Trusteother companrector, partne
hall act in the
duty of the Ty SEBI from t
hall take reasccordance wit
hall appoint und and shall
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hall not acquon of any liab
ents to the Tld be obtaine
in discharge ohorise the AMprofessional a
of the Truste
role of Trusteed on the inteect reporting
gement Agree
affiliates—w
s independen
s involving aff
ing individua
be designed tnal securities
fees paid to S
contracts an
with the assoc
ibilities, eachwith other coassociated.
ee Company ss of its Board
ee Company sny or instituter or with wh
e interest of t
Trustee to proime to time.
sonable care th the Trust D
a custodian aenter into a c
hat the audito
uire nor allowility which is
Trust Deed shed where it af
of its duties, MC to engagadvisors and
ee
ee will be diernal audit reline to the
ement and th
whether the A
t directors,
filiates to the
ls to fill indep
to prevent fras transactions
Sponsors, AM
d their renew
ciates of the A
member of tmpanies or i
shall not partd for any inve
shall provide tion or financich he/she m
he unit holde
ovide or caus
to ensure thaDeed and SEB
and shall be custodian Agr
or for the Mu
w the AMC tounlimited or
hall be carrieffects the inte
and in exercie, appoint, econsultants a
scharged intports / compBoard of Dir
he compensat
AMC has charg
extent such t
pendent direc
audulent, des,
MC and any ot
wals,
AMC.
the Board of nstitutions or
ticipate in theestments in w
to its Board, tcial intermediay be associa
ers.
se to provide
at the funds uI Regulations
responsible freement with
tual Fund sha
acquire any results in the
ed out withoerest of unit h
se of all discremploy or retas it may deem
er‐alia by revpliance reportrectors of the
tion paid und
ged higher fe
transactions a
ctors vacancie
ceptive or m
thers for serv
Directors of tr financial int
e Board Meewhich he/she
the particulariary or any bated in any ot
information t
under various.
for the superh the custodia
all be differen
assets out ofe encumbranc
out the prior holders.
retionary powtain any solicm appropriat
viewing the ts received one Trustee Co
der the agreem
ees than outs
are permitted
es,
anipulative p
vices provided
the Trustee Ctermediaries
etings of the Tmay be inter
rs of any intebody corporatther capacity.
to the unit ho
s schemes flo
rvision of its aan for this pu
nt from the A
f the Trust prce of the Trus
approval of
wers, may engcitors, advocae.
information n a periodicalmpany. The
ment,
ide contracto
d,
practices by i
d,
ompany shalor any body
Trustee Compested.
rest which hete by virtue o.
olders and SE
oated, are ma
activities in rrpose.
uditor of the
roperty whichst property in
SEBI and un
gage, appointates, bankers
and operatio basis. The CoBoard Meeti
ors for the
nsiders in
l maintain corporate
pany or in
e/she may of his/her
EBI as may
anaged by
elation to
AMC.
h involves any way.
nitholder's
t, employ, s, brokers,
ons of the ompliance ing of the
Trustheld incorYear indepComan in
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*incl
tee Companyin every yearporated on J2011‐2012. pendent direcmittee, constdependent d
Review of th
Review of th
Recommend
tee Fees and
ect to the Regual Fund shalatory authorTrustee Comprred in or in c
Asset Manag
a Infoline Aspanies Act, 1pati Bapat M
a Infoline Assehe Trustee vine Trustee C
paid‐up capita
shareholding
me of the Sha
a Infoline Lim
uding 6 share
y shall be helar or at such June 05, 2009The quorum ctor(s) as matituted pursuairector of the
e periodic fin
e internal au
dation of the a
Expenses
gulations, thell be in courrities, be paidpany from tionnection wi
gement Co
sset Managem1956 on Marcarg, Lower Pa
et Managemevide InvestmeCompany Ltd.
al of the AMC
pattern of th
areholder
mited
es held jointly
d at least onfrequency a
9. The Board for a Board y be prescribeant to SEBI Cie Trustee Com
nancial statem
dit systems a
appointment
e Trustee Comrse of adminid an annual fme to time. ith the admin
ompany
ment Compach 22, 2010, arel, Mumbai
ent Companyent Managemand India Inf
C is Rs. 17,50,
he AMC is as f
y with its nom
ce in every tas may be prMeeting of tmeeting of ted by SEBI froircular MFD /mpany is, inte
ments of the T
nd internal a
of auditors
mpany shall distration by ofees out of thThe said remnistration and
any Ltd. (AMhaving its Rei‐400 013.
y Ltd. has beement Agreemfoline Asset M
,00,000 comp
follows:
minees.
two calendar rescribed undthe Trustee Cthe Trustee som time to tim/ CIR No. 010 er‐alia, respon
Trustee and M
nd statutory
during the teor under thehe Mutual Fumuneration isd execution of
MC) is a pubegistered Off
en appointed ment (IMA) dManagement
prising of 1,75
No. of
1,75,00
months and der the ReguCompany has shall not be cme are presen/ 024 / 2000 nsible for the
Mutual Fund i
audit reports
rm of the Mu order or dirnd as may bes in addition f the Mutual
blic limited fice at IIFL Ce
as the Investdated April 2Company Ltd
5,00,000 of Eq
shares
0,000*
at least six slations. The been held 6 constituted unt at the meedated Januafollowing:
including aud
s
utual Fund, arection of ane agreed betwto all costs, Fund.
company incentre, 3rd floo
tment Manag29, 2010, exed.
quity Shares o
% o
such meetingTrustee Comtimes during
unless such neting. Furtherry 17, 2000, c
dit observatio
nd whether ony competentween the Spocharges and
corporated uor Annex, Ka
ger to IIFL Muecuted betw
of Rs. 10/‐eac
of Sharehold
100%
gs shall be mpany was g Financial number of the Audit chaired by
ns
or not the t court or onsor and expenses
under the mala City,
utual Fund ween India
ch.
ing
Deta
Nam
Mr. Patt
IndeDire
Ms. Daru
IndeDire
ils of AMC Di
me
Pranab tanayak
ependent ector
Homai uwalla
ependent ector
irectors:
Age
64 years
63 years
Qualificat
s M.A. (EconomiCAIIB Pt‐I
s CharteredAccounta
tion Brief E
cs),
MthRaan
MMhaBavaTrfinanin
Duhaas
d nt
Min
ShBafroofthOla
MBaasacthTeMCoMBaofMthOinstCeprofFl
Experience
Mr. Pattanayahe Banking &ating Commitnd ConsultantMr. PattanayaMysore duringas held senioank of India aarious deparreasury and nancing largend has also hvestment pouring his tenandled fundinsset liability mMs. Daruwalla Banking & Fihe was the Cank of India om June 200f banking cahree large Puriental Bank st 34 years.
Ms. Daruwallaank of Indssignments boctively associhe Bank in echnology SoManagement, omputerizatio
Member of Ceanks constituf India, as
Management Phe India Banriental Bank puts in threngthening entralised Brestigious assf Directors oorida, USA fo
k has rich an& Fund Manattee of Credit for SRB Conak was Mang the period or positions aand State Batments suchIT. He has e Projects, Coheaded domertfolio. nure at State ng operationsmanagement has an experinancial servicChairperson aoverseeing t5 to Decembreer with vaublic Sectorof Commerce
a commenceddia where oth at corporated with a harea of C
lutions, AuditCustomer S
on includingentral Sub‐Couted by the Inalso membPractices andnks Associatiof Commer
he directioncontrols a
anking Techsignment as of ‘The Instor the term o
d varied expeagement fieldit Analysis & sultancy (P) Laging DirectAugust 2006as Dy. Managank of Travenh as ranging been involveommercial anestic and fore
Bank of Inds, forex settleand Regulatorience of morces sector. and Managinthe entire opber 2008. She aried experieBanks viz. Ue and Centra
d her bankinshe handlerate office anhost of CommCorporate Gt, Risk ManagService, Preg Core Bankommittee onnstitute of Cber of the d risk Based Son. During rce, she has of improvand in derhnology. SheRegion of Indtitute of Intof two years f
erience of 38d. He is a meResearch LtdLtd. or of State 6 to January ging Directorncore and has from Credied in evaluand Institutionex treasury an
dia, Singaporeements, tradeory Compliancre than three
ng Director operations of t has reachedence of workUnion Bank l Bank of Ind
ng career wited many imnd field level.mittees constGovernance, gement, Assemises and king etc. She Concurrent hartered AccCommittee
Supervision foher associatprovided le
ving work iving benefie has also dia Director oernal Auditofrom October
8 years in ember of d. (CARE)
Bank of 2009. He r in State s headed it, Forex, ating and nal credit nd bank’s
e, he has e finance, ce. e decades
of Central the Bank pinnacle king with of India,
dia during
th Union mportant . She was tituted in Banking t Liability Property, e was a Audit of
countants on Risk
ormed by tion with eadership process, its from handled
on Board ors’ (IIA), r 1995 to
Nam
Mr. Ven
Asso
Dutie
Undedutie
1. Tp
2. Tp
3. Ts
4. Ts
5. TR
6. Tsc
7. Now
8. Tcts
9. Tto
10. ToP
me
R. kataraman
ociate Directo
es and Obliga
er the SEBI (Mes and obligat
The AMC shapertaining to a
The AMC shapersons engag
The AMC shaltock exchang
The AMC shalervices have
The AMC shalRegulations.
The Trustee auch terminatommunicate
Notwithstandother officerswhile holding
The Chief Exeomplies withime to time ahall also be re
The Fund Mano achieve the
The AMC shaof 5% or morProvided that
Age
or
45 years
ations of the
MF) Regulatiotions:
all take all reany scheme is
ll exercise duged in the sam
l obtain, whege(s) where u
ll be responsbeen procure
l submit to th
at the requestion shall becd its decision
ing anything shall not besuch position
ecutive Office all the provisand that the esponsible fo
nagers (whate objectives o
ll not throughe of the aggrt for the purp
Qualificat
s
B.Tech (IITKharagpuMBA (IIMBangalore
AMC
ns and the In
easonable stes not contrary
ue diligence me business.
erever requirenits of the Sc
ible for the aed by the AM
he Trustee qu
st of the AMCome effectiv in writing to
contained ine absolved ofn or office.
er (whatever sions of SEBI investments
or the overall
ever the desiof the scheme
h any broker regate purchpose of this C
tion Brief E
Se
T ‐r); ‐ e)
Mye
HeLtPa
PrpoSeMLiPrpr
vestment Ma
eps and exery to the prov
and care in a
ed under SEBheme(s) are p
acts of commC.
uarterly repor
C may termine only after t the AMC.
n any contracf liability to t
his designatiRegulations amade by therisk managem
ignation maye and in the in
associated wases and saleClause, aggre
Experience
eptember 199Mr. R. Venkatears in the fine is a Co‐Protd which is rearticipant, Mereviously, Mrositions in vecurities Ltd, Morgan of USAmited. He hresident withrivate equity
anagement Ag
rcise due diligisions of SEBI
all its investm
I Regulationsproposed to b
missions or om
rts of each ye
nate the assigthe Trustee h
ct or agreemethe Mutual F
ion may be) and the guidee Fund Manament function
y be) shall ensnterest of the
ith the Sponse of securitieegate purcha
97. araman has nancial servicemoter and Megistered witherchant Bankr. Venkataravarious divisitheir investmA and with Bhas also heldh G E Capitadivision.
greement, th
gence to ensI Regulations
ment decision
, prior in‐prinbe listed.
missions by it
ear on its activ
gnment of thhas accepted
ent or terminund for their
of the AMC elines or circuagers are in tn of the Mutu
sure that the e unit holders
sors, purchasees made by tse and sale o
rich experiees sector. Managing Dirh SEBI as Stoer and Portfoman has heions of ICICIment banking BZW and Taid the positioal Services In
he AMC has, in
sure that theand the Trus
ns as would
nciple approv
s employees
vities and the
he AMC at anthe terminat
nation, the Ar acts of com
shall ensure ulars issued inhe interest oual Fund.
funds of the.
e or sell secuhe Mutual Fuof securities
nce of more
ector of Indiack Broker, Deolio Manager.eld senior mI Ltd, includjoint ventureb Capital Coron of Assistndia Limited
nter‐alia, the
e investmentt Deed.
be exercised
al from the re
or the perso
e compliance
ny time. Provtion of assign
AMC or its dirmmission or o
that the Mun relation theof the unit ho
e schemes are
rities, which iund in all its shall exclude
than 21
a Infoline epository . anagerial ding ICICI e with J P rporation tant Vice in their
following
t of funds
by other
ecognized
ons whose
with SEBI
vided that ment and
rectors or omissions,
tual Fund ereto from olders and
e invested
is average schemes.
e sale and
dm
11. TSFreb
12. Ttsdd
a.
b
c.
d
13. Tt
14. Ins
15. Inbnst
16. Ta
b
c
17. Eq
18. Tin
19. Treto
20. T
distribution omonths.
he AMC shaSponsors, whiFund in all its eports of all block of three
he AMC shalhe purpose ouch services disclosed in tdisclose at the
. Any Undesecurities
. Devolvem
. Subscript
. Subscripticompanie
he AMC shalheir own nam
n case the AMent to the Tru
n case any coby that schemnotice of the chemes with he date of th
The AMC shal
a. Detailed bappointme
b. Any changc. Quarterly
securities the said q
Each director quarterly basi
The AMC shalnvolved in vio
The AMC shalelating to thehe scheme aobtained and
The AMC shal
f units issued
ll not purchaich is averageschemes, unlsuch investme months.
l not utilise tof any securitif disclosure the half yearle time of decl
erwriting obls associate co
ment, if any,
ion by the sch
ion to any isses have acted
l file with theme or on beha
MC enters intustee at its ne
mpany has inme or by any Trustee by tjustification e former inve
l file with the
bio‐data of alent;
ge in the inter
report to theof the group uarter.
of the AMC s in accordan
l not appointolation of sec
ll appoint rege transfer of uand for ratesreasons for c
l abide by the
d by the Mut
ase or sell se of 5% or moless the AMC
ments are sen
the services oties transactioto that effecty annual acclaring half‐ye
ligations undmpanies,
hemes in the
sue of equityd as arranger o
e Trustee thealf of the AMC
to any securitext meeting.
nvested moreother schemthe AMC andfor such inveestment calcu
e Trustee and
l its directors
rests of direct
e Trustee givcompanies o
shall file thence with guide
t any person urities laws.
gistrars and sunits is proces higher thancharging highe
e Code of Con
tual Fund. Th
ecurities throore of the agg has recordedt to the Trust
of the Sponsoon and distrit is made to tcounts of thearly and year
dertaken by t
issues lead m
y or debt on or manager.
e details of trC and shall al
ties transactio
e than 5 per ce of the Fundd be discloseestment proviulated on eith
SEBI:
s alongwith t
tors every six
ing details anof the Sponso
details of hielines issued
as key perso
share transfessed in‐housen the compeer rates shall
nduct as spec
he aforesaid
ough any brgregate purchd in writing thtee on a qua
ors or any of bution and sahe unit holde Mutual Funrly results;
the schemes
managed by a
private place
ransactions inso report to S
ons with any
cent of the ned in that comed in the halfided the latteher side.
their interest
x months; and
nd adequaters or the AMC
s transactionby SEBI.
onnel who ha
r agents whoe, the chargetitive marketbe disclosed
ified in the Fi
limit of 5% s
oker other thases and salhe justificatiorterly basis. T
its associateale of securiters and the brd. Provided f
of the Mut
associate com
ement basis w
n securities bSEBI, as and w
of its associa
et asset valuempany or its sf yearly and er investment
in other com
d
justification aC as the case
ns of dealing
s been found
o are registers at competitt rates, priorin the annua
ifth Schedule
shall apply fo
than a brokee of securitieon for exceedThe aforesaid
es, employeesties. Howeverrokerage or cfurther that t
ual Fund wit
mpanies,
where the Sp
by the key pewhen require
ates a report
of a schemesubsidiaries sannual accout has been m
mpanies with
about the pumay be, by t
in securities
d guilty of any
red with SEBItive market rar approval ofl accounts.
to SEBI Regu
r a block of
er associated es made by thing the limit od limit shall a
s or their relar, the AMC mcommission pthe Mutual F
th respect to
ponsor or its
rsonnel of thd by SEBI.
to that effec
, the investmshall be brougunts of the rade within on
in fifteen day
urchase and she Mutual Fu
with the Tru
y economic o
I. Provided if ates may be df the Trustee
ulations.
any three
with the he Mutual of 5% and pply for a
atives, for may utilise aid is also Fund shall
o issue of
associate
he AMC in
ct shall be
ment made ght to the respective ne year of
ys of their
sale of the und during
ustee on a
offence or
the work debited to e shall be
21. Ta
22. Tepbte
Infor
Nam
Mr. Nata
The AMC shal
a. Not act a
b. Not undservices, capital fcommerc
ProvidedSEBI thatsegregate
Providedactivity a
c. Not invesInformat
Provided
d. Not acquunlimited
The AMC shalexplain its traparticular givebooks of accoen years its b
rmation on Ke
me D
Gopinath arajan
CO
l‐
s a Trustee o
ertake any omanagemenunds, managcial basis if an
that the AMt the key peed activity wi
further thatnd obtain sep
st in any of itsion Documen
that the AM
uire any assed or which ma
ll keep and mansactions ane a true and fount, records books of acco
ey Personnel
Designation
Chief ExecutivOfficer
f any mutual
other businent and advisogement of iny of such act
MC may itself ersonnel of tse and there
t AMC shall parate approv
s Schemes unnt (SID);
C shall not be
ets out of thay result in en
maintain propnd to disclosfair view of tand documeunt, records a
l*:
Age (yrs)
Q
ve 39
B.DiInMfr
fund;
ess activities ory services tnsurance futivities are no
or through ithe AMC, thexist systems
meet capitaval, if necessa
nless full discl
e entitled to c
he Trust Funncumbrance
per books of se at any pohe state of afnts are mainand documen
Qualification
.Sc; Post Gradiploma in nvestment Management om NMIMS
except activto offshore fnds, financiaot in conflict w
ts subsidiariehe systems, s to prohibit a
l adequacy rary under the
losure of its in
charge any fe
nd which invof the Schem
account, recoint of time ffairs of the Ftained. The Ants.
TotaExperienc
d.
15 Ye
vities in the funds, pensioal consultancwith the activ
es, if any, undback office, access to insi
requirementse relevant reg
ntention to in
es on its inve
olves the asme property in
ords and docthe financiaFund and intiAMC shall ma
al ce (yrs)
Brief
ears
Meim
HvFSrB
HmeM
nature of pon funds, procy and exchities of the M
dertake suchbank and sede informatio
s, if any, sepgulations;
nvest has bee
estment in tha
sumption of n any way.
cuments, for l position of mate to SEBIaintain and pr
f Experience
Mr. Natarajanexperience ofn the financiamanagementHe has held svarious organFS, Navia MarSecurities etcresponsibilitieBroking and PHis focus has managementequity researManagement
portfolio manovident fundshange of resMutual Fund.
activities if iecurities accoon of various
parately for e
en made in th
at Scheme;
any liability
each Schemef each SchemI the place wreserve for a
n has rich andf more than 1al services an. enior positionnizations suchrkets and Kot and has hanes from AdvisPMS. been on inve, Advisory, Brch and Portfot.
nagement s, venture search on
it satisfies ounts are activities.
each such
he Scheme
y which is
e so as to me and in here such period of
d varied 15 years nd fund
ns in h as IL & tak dled sory,
estment roking, olio
Nam
Mr. Ban
MrAshNai
Mr. Mira
Mr. Agga
me D
Manish di
F
. hutosh ik
Vivek anda
VD
Rahul arwal
F
Designation
Fund Manage
Compliance Officer, &Company Secretary
VP ‐ Sales & Distribution
Fund Manage
Age (yrs)
Q
er 35 B.Ac
& 37 A.C
37 MPG
er 31 MCF
Qualification
.Sc., Chartereccountant
C.S, B.G.L.
M Com, PGDFMGDBA,
MBA Finance, FPCM
TotaExperienc
ed 13 Ye
14 years
M, 15 Ye
8 Yea
al ce (yrs)
Brief
ears
Mei
HpPiroBLA
Mr. & Se BefowasComhe InduComLimKota
ears
Mr. expeinduHe hDistIndia
ars
Mr. incluMarsideman
f Experience
Mr. Bandi hasexperience inndustry. He has held sposition in EqPortfolio monnvestments Breview and haorganizationsBank Ltd, MotLtd. Batliboi &Accountants e
Naik has beeecretarial fiel
ore joining Ins with Prinmpany Secretwas assoc
ustry for 6mpany Secreited and Assoak Mahindra
Miranda has erience in theustry. has held senioribution of fina Infoline Gro
Aggarwal hauding experierkets speciallye, credit risk, tnagement.
s around 13 y the financial
senior managquity Advisorynitoring, & Business & pras worked wis like Kotak Mtilal Oswal Se& Purohit, Chaetc.
en in Compliad for last 14 y
ndia Infoline ncipal Pnbtary. Prior tociated with years as etary of IDociate Vice PrBank Ltd.
around 15 yee financial ser
or positions innancial produoup
s 8 experiencence in Capitay on fixed inctrading and p
years of l services
gerial y,
rocess th
Mahindra ecurities artered
nce, Legal years.
AMC, he AMC as
o Principal Banking Assistant
DBI Bank resident –
ears of rvices
n Sales & ucts in
ce al ome portfolio
Nam
InfIn a
Na
MsSh
MAbIye
All Ke
me D
formation of addition to F
ame
s. Dipti ah
r. bhishek er
ey Personnel
Designation
Investment Tund Manage
Designation
Dealer – Equity
Dealer – Fixed Income
of the AMC a
Age (yrs)
Q
Team r, the Investm
Age Q
31 years
M
29 years
BPSoiFMt
are based at t
Qualification
ment Team c
Qualification
M.com, LLB
B. Com, Pursuing Second Year of Masters in Finance Management
the registered
TotaExperienc
omprises of t
Total Experience
9 years
6 years
d office of the
al ce (yrs)
Brief
the following
eBrief Exper
Ms. Mehtasecurities m Before joiwas an EquFund for Mutual Fuwith Brokin3 years uSecurities for 3.5 yeaMr. Iyer securities Infoline AMMutual Fuyears. Prioassociated as Operatioyears
e AMC
f Experience
g members:
rience
a has 9 yeamarket.
ning India Inuity Trader w1.5 years.
und she has ng industry aunder PMS dLimited and rs with Sharehas 6 yearsmarket. Be
MC, he was aund as an Aor to L&T Mwith Saharaon Executive
rs of experie
nfoline AMCwith Taurus MPrior to Tbeen assoc
s equity dealedivision of Kas equity ad
ekhan Limiteds of experieefore joiningassociated wAsst. Dealer utual Fund Mutual Fun& Asst. Deal
ence in
, she Mutual aurus ciated er for Kotak dvisor d ence in g India ith L&T for 1.8 he was d as an er for 4
SEC
Serv
Cust
RegiAge
StatMut
Lega
Fund
Colle
The smooUnit fee aright
The Brespounit comp
The Aon th
CTION III –
vice Provider
todian
istrar and Trant
tutory auditotual Fund
al counsel
d Accountant
ecting Banke
Custodian woth inflow/ouholders, and as per the resto change th
Board of the Tonsibilities wholders withplaints.
AMC also obthe recognised
– SERVIC
N
C
ansfer CML
r for the S
TFr
t C
er
DwStiS
ill keep in sautflow of secensure that spective Custohe Custodian a
Trustee Comith regard to in the time li
tains servicesd exchange(s)
E PROVID
Name
Citi Bank N.A
Computer AgManagementLtd (CAMS)
S. R. Batliboi
There is no reFund/AMC. Hrenowned leg
Citi Bank N.A
During the Newith SEBI as cheme on suime. The list chemes are l
afe custody aurities and suthe benefits odial Agreemat their discre
pany and theprocessing oimit prescribe
s from CAMS or available
DERS
A.
ge t Services Pvt
& Co LLP
etained legal However, the gal counsel, if
A
ew Fund OffeCollecting Bauch terms anof the Colleaunched.
all the securuch other insdue to the ho
ment as amenetion.
e AMC have ef applicationsed in the Reg
for electronon online pla
Address
Trent Hou60, BandrBandra (E400 051
t.
No.178 (NM.G.R. SaKnown asHigh RoadNungamb600 034.
14th Floo
29 Senapa
Dadar (W
Mumbai 4
counsel to thAMC uses thf need arises.
Trent Hou60, BandrBandra (E400 051
er of the Scheanker(s) to and conditionscting Banker
ities and othstruments as oldings are rended from tim
ensured that ts and dispatcgulations and
ic connectivitatform of BSE
use, 3rd Floor,ra Kurla CompEast), Mumba
New No.10), alai (formerly s Kodambakkad), bakkam, Chen
r, The Ruby,
ati Bapat Mar
West),
400028, India
he Mutual e services of
use, 3rd Floorra Kurla CompEast), Mumba
eme, the AMccept the aps as may be s will be disc
her instrumenand when neecovered. Theme to time. Th
the Registrar hing Statemed also has su
ty in case of and/or NSE.
, G‐plex, ai ‐
am
nnai ‐
rg,
a
r,G‐plex, ai ‐
MC may appopplications fodecided by tclosed in the
nts belongingecessary in the Custodians he AMC & th
has adequateent of Accounfficient capac
Schemes of I
SEBI Regn. N
IN/CUS/00
INR0000028
NA
NA
IN/CUS/00
int banks(s) ror investmentthe AMC frome SID as and
g to the Funhe best interwill charge t
he Trustee res
e capacity to nts / Unit Certcity to handle
IFL Mutual F
No.
4
813
4
registeredt into them time towhen the
nd, ensure rest of the he Fund a serves the
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TATISTICS
he year
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ONDENSE
IIFL
2011‐2012
503.7500
NA
NA
529.4340
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5.10%@
5.12%
3.92%
25.54
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D FINANC
NIFTY ETF
2012‐20
531.6545
NA
NA
575.707NA
9.67%
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11.95
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CIAL INFO
IIFL
013 20
5** 1
1
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ORMATIO
L Fixed Maturit
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10.0000
10.0000
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10.1322
10.1322
1.32%@
1.50%
1.31%
32.01
0.45% 20‐Ja
ON
ty Plan ‐ Series
2012‐2013
10.1394**
10.1394*
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*
HIST
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TORICAL PER U
at the beginnin April 1) Growth OptionDividend OptioDirect Growth Direct Dividendends at the end of ton March 31) (CGrowth OptionDividend OptioDirect Growth Direct Dividendalised return
me Benchmark
dard Benchmar
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n crs.) of Recurring Es of allotment
• *First
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• ** NA
• ***NA
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UNIT STATISTIC
ng of the year
n on
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k Return
rk Returns
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t NAV Declare
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AV as on Apri
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et
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l 03, 2012
il 02, 2012
‐ since period
ark for IIFL Ni
ark for IIFL FM
FL FMP Serieswas declared
xed Maturity PSeries 6
2012‐2013
10.1068 10.1068 10.1073
NANA
10.088110.088110.0884
NANA
NA
NA
NA
NA
26‐Mar‐2013
31
d of performa
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6 has not beon April 3, 20
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ance is less th
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The above ca
• their cons• each of th• guardian,• in case of
knowledgemeuent change entity, etc. shwith the AMerification necations issue, the IPV condndividuals, wtatus (i.e miss
er’s/Spouse Nital Status, onality, ss Annual Incoerson Verifica
ding the abovsubject to thed below:
Ps: Micro SIPiled explana
ment’ in this d
nts required:
specified idemployer, Dr
address copya separate pr
ng documentsnumber or att
vestors shouobtained from
nts from Invents required:
address of Sik
proof shall bor attested by
dentification
tegory of inv
stituted Powe
he applicants,
in case of ap
f pledge/lien,
ent has to beto Address, Phould be donC. eed to carrieded by NISM/Aducted by Schwhose MF KYsing/not avail
Name,
ome or Net wation (IPV)
ve, investors e above KYC f
Ps upto 50,0ation on Micocument)
entification iriving License,
y. It is clarifiedroof of addre
s copy shall btested by any
ld attach a com KYC Registra
estors residin
kkim state and
be self attesty any compet
.
estors for the
er of Attorney
, in case of ap
pplication on
institution in
submitted foPin Code, Cone with KRA
d out by the KAMFI. For invheduled ComC is done, foable details)
worth as on re
investing thrformalities. In
000 per year cro SIPs, ple
instruments , Passport in
d that wheress is not requ
be self attesty competent
opy of KRA ‐ Kation Agency
ng in Sikkim:
d application
ted by the inent authority
e purpose of K
y (POA) holde
pplication in j
behalf of min
n whose favou
or all holders untry, Nationand such ch
Know Your Divestors who mercial Bankllowing is fur
ecent date
ough Micro Sn such cases,
per investorease refer p
like Voter IDlieu of PAN.
e photo identuired.
ed by the invauthority.
KYC Compliedy (KRA). Eligib
form should
nvestor / atty.
KYC complian
er, in case of
oint names,
nor,
ur the pledge
including POAnality, Occupaange in KRA
istributor (KYdeal under
ks will also be rther details
SIP route andthe client wil
r (aggregate uparagraph on
D card, Gove
ification docu
vestor / attes
d status quotile investors m
mention the
ested by the
nce shall inclu
investment th
e/ lien has bee
A, guardian, eation, Incomerecords will
D) registered“Direct” brokrelied upon. sought by KR
investor resil have to sub
under all the n ‘Micro SIP
ernment/Defe
uments conta
sted by the A
ng PAN Exemmust hold onl
same addres
e ARN holder
ude, if applica
hrough a POA
en made,
etc. e details, Dateoverwrite th
d Distributors ker code (wit
RAs for giving
iding in Statemit certain d
schemes of Ps exempt f
ense ID card
ains the addr
ARN holder m
mpt KYC Refery one PEKRN
ss.
r mentioning
able
A,
e of Birth, he records
who hold thout any
g KRA KYC
e of Sikkim ocuments
the Fund) from PAN
d, Card of
ress of the
mentioning
rence No .
g the ARN
SacT
bdsaartbt
t
A
Thds
Ti
D.
tavb
T
AdtG
ctw
• any perso'Non ‐acc
Separate proapplicant descompleted, aTransfer Agen
Pursuant to tbelieves that documentatiosuspicious trapplication(s)agents shall rejection of athe provisionbelieves thatthe same to F
Investors trathrough the Participant aAnti‐ Money
The AMC/ Truholder, if aftedoes not fulsuspicious in
The Fund wilin this regard
PAN mand
It is mandatothe PAN cardapplication foverification. Ibehalf of a m
Transactions
As per SEBI cdated June 3the officials Government)Mutual Fundcollecting sufto the satisfawithout any r
on making payeptance of Th
ocedures are sire to changeany changes tnts. These ch
the provisionany transacton, informatansactions to)/ allotment onot be liableany applications of the Prev transaction FIU‐IND.
nsacting in tStock Exchand this will bLaundering G
ustee shall haer due diligenfil the requinature with r
l adhere to s from time to
datory for a
ory for all invd issued by thor purchase on case of joininor, PAN det
by unit holde
ircular no. M30, 2008 inveappointed b) respectivelys. However, fficient documaction of thereference to t
yment on behird Party Pay
prescribed fe such informto KYC data anges will be
ns of the Prevtion is suspiciotion etc. by o FIU‐IND anof units. The Me in any mannon / allotmenvention of Mis suspicious
the units of ange Mechanbe consideredGuidelines.
ave absolute nce, the invesrements of regard to mo
uch guidelineo time.
ll Investors
estors to quoe Income Taxof Units of thnt holding, PAtails of the gu
ers/investors
RD/ DoP/MF/stors residingby the courty are exempthis would bmentary evidee Mutual Funthe investors
half of the acyment Instrum
for change inmation. POS wcan be done updated in t
vention of Mous in naturethe Investornd / or to fMutual Fund,ner whatsoevnt of units or oney Laundein nature wi
notified Schnism will be d as sufficien
discretion to stor/ unit hothe AML Poney launderin
es / procedur
s:
ote their Permx Departmente Schemes. IAN details of uardian must
who fail to su
/Cir ‐ 08/200g in the statets e.g. Officited from thebe subject to ence. The AMnd. Applicatio.
ccount holderments for sub
n name, addwill extend thee only throughe database
Money Laundee as regards mr, the AMC reeze the un, Trustee, AMver for any cmandatory r
ering Act, SEBthin the purv
emes througsubject to K
nt compliance
reject any aplder/a personlicy or the Ang.
res as may be
manent Accot, irrespectivenvestors will all holders shbe submitted
ubmit certifie
8 dated Aprile of Sikkim anial liquidatore mandatoryverification
MC reserves tons without
r(s), to the exbscriptions / i
ress and othe services of egh the POS amaintained b
ering Act, 200money laundeshall have anits under foMC and their rclaims arisingedemption oBI circulars, Aview of the A
gh BSE and/ KYC formalitie of SEBI circ
pplication, prn making theAMC/ Truste
e issued by SE
ount Number e of the amobe required hould be submd.
ed copy of PA
3, 2008 and nd Central Gr, Court recey requiremenof the veracihe right to asthe aforesai
xtent permitteinvestments'
her KYC relateffecting suchnd not throuby the RTA.
02, if after dering, on failuabsolute discolios of the respective Dirg on account f units due toML Policy anAct and SEBI c
or NSE in a ies carried ocular dated D
event further payment one believes th
EBI / any othe
(PAN) and suunt of investto submit themitted. In cas
N card are lia
circular no. Movernment, Seiver etc. (unt of PAN foity of the clask for the necd details are
ed under para
ed details, sh changes. Ough the Regis
ue diligence,ure to provideretion to reInvestor(s), rrectors, emploof freezing to non‐complid / or wherecirculars and
dematerializout by the DDecember 19
r transactions behalf of thhat the tran
er regulatory
ubmit certifiement, while me original PAse the applica
able to be reje
MRD/ DoP/CiState Governnder the car their invesim of the invcessary docume liable to be
agraph on
hould the nce KYC is strars and
, the AMC e required port such reject any oyees and the folios/ ance with e the AMC reporting
zed mode Depository , 2008 on
s by a unit e investor saction is
y authority
ed copy of making an N card for ation is on
ected.
r‐20/2008 ment and tegory of tments in vestors by mentation e rejected
E.
np
rr
a
o
F.
Micro SIP
Investmenexempt finstallmenThe exemindividualnot eligibspecified accordancCentres (Cprovided acknowleAgency (K
Bank Acco
In order to Regulations hname and accprovide the IForm. Applicresponsible frequired to pInvestor's Baand subsequeInvestor shalInvestors canof Multiple B
Mode of Pa
a. Residen
Payment
• By CheCSCs iof the
• Electrodesign
• The NApplicpleaseAmou
• Investopurcha
• Applicrejecte
b. NRIs, PI
Ps exempt fro
nt through Sfrom the reqnts in a rollinmption shall bls, NRIs but nle for this exphoto identice with the pCSCs) of the Aas proof odgement lettKRA) along wi
unt details
protect the have made it count numbenvestor's bancations withofor any loss aprovide "cancnk Account nent change inl submit the n register mulank Accounts
ayment:
nt Investors
can be made
eque / Deman which the aBanker's Cleonic transfer nated SchemeFO subscriptcation Form ae refer to thent ("ASBA")' gors may kindase of units oations accomed. IOs and Flls
om PAN Requ
Systematic Inquirement of g 12 months be available not PIOs), Miemption. Howfication docuprocess as perAMC or Registof identificatter quoting Pth the applica
mandatory
interest of mandatory foer where the nk name, banout these detarising out ofcelled" originnumber, namn the investooriginal to thltiple bank acs in respect of
e by any of th
and Draft / Paapplication foaring House oof funds ov
e collection aions can alsoand followinge Section 'Adgiven below idly note that of the Schemempanied by c
uirement:
nvestment PlPAN. The eperiod or in for eligible innors, Sole prwever, in lieuuments and ar the AMFI gutrar to know tion in lieu PAN Exempt ation form fo
y for all Inv
investors froor investors tpayments arenk account ntails will be f fraudulent nal cheque ore and addresr's bank manhe AMC/ Serccounts with f an Investor
e following m
ay Order / Baorm/transactiof that city; oer the internccount; or o be made bg the proceddditional modin this DocumDemand Dra
e(s) by investoheques / dem
ans (SIPs) upexemption sha financial yenvestors, beiroprietary firmu of PAN, eligany other docuidelines. Invthe list of accof PAN. InKYC Referen
or investment
vestors:
om frauduleo mention in e to be creditumber, branctreated as inencashment r bank statemss, at the timedate. In casevice Centre fthe Fund. FoFolio given b
modes:
anker's Cheqion slip is subor net or by wa
by investors bure as prescde of paymement. aft charges wors. mand drafts
pto 50,000hall be applicear i.e. April ‐ng individualms. HUFs andgible investor cument alongestors may cceptable idennvestors shoce No (PEKRs. Eligible inv
ent encashmetheir applicated. Hence, foch address, ancomplete anof cheques ament or copye of registrat if a copy of tfor verificatior details pleaelow in this d
ue payable lobmitted and d
y of Direct C
by availing Aribed in the ent through A
will not be bo
not fulfilling
0/‐ per year cable for SIP‐ March doesls (including d other categhas to submg with the Montact any ofntification docould also atN) obtained estors must h
ent of cheqution for purchor purchase oand account tnd rejected. and / or any y of bank pastion of the invthe above doon and the saase refer paradocument.
ocally in the drawn on a ba
Credit / RTGS
ASBA facility bform. For fuApplications
orne / reimb
the above c
per investoPs where aggs not exceed Joint holdersgories of inve
mit any one oficro SIP applf the Customcuments whictach a copyfrom KYC Rehold only one
ues, the curhase of Unitsof Units, Investype in the AThe AMC wdelay. The iss book pagevestor's bankocuments is same shall be agraph on 'Re
city of the dank which is a
S / NEFT/NEC
by filling up rther details Supported b
ursed by the
riteria are lia
r shall be gregate of
50,000. s who are estors will f standard ication, in er Service ch may be y of KYC egistration e PEKRN.
rrent SEBI , the bank stors must Application will not be nvestor is e with the k mandate ubmitted, returned.
egistration
esignated a member
CS etc. to
the ASBA on ASBA, y Blocked
e AMC for
able to be
Non ResiInvestorsForeign Regulatioaforesaid
NRIs and purchase
A subscriForeign I
• Repatr
In casinwarRupee
In casdebit also breservas ma
Flls mout odesign
In casNon‐rdebit AMC r
Payme
AMC applic
• Non Re
In theremittNRE /
Fll's ar
The Tpayme
ident Indianss (Flls) have bExchange Mons, 2000 for d regulations.
PIOs may pue units only on
ption by Flls /nvestment Pr
riation Basis:
e of NRIs andd remittancee account (NR
e of Indian Rcertificate frbe submittedves the right ty be necessa
ay pay their sf funds held nated branch
e Indian rupeesident Rupeto the Investreserves the r
ents shall be
may at its dcable in such c
epatriation Ba
e case of Ntance througFCNR / Non‐
re not allowe
Trustee/AMC,ent.
s (NRIs) and been grantedManagement investing in /
urchase unitsn a repatriatio
/ Multilateraromotion Boa
d PIOs residinge through norRE)/ Foreign C
upee Drafts pom the bankd with the apto reject the ry and as des
subscription ain Foreign Cof an author
ee drafts are ee Accounts, ator's accountright to reject
made by che
discretion acccase would b
sis:
RIs investingh normal banResident Ord
ed to make pa
, at its discre
Persons of d a general pe(Transfer or/ redeeming
s of the Fund on basis.
l Funding Ageard (FIPB).
g abroad, invrmal banking Currency (Non
purchased abk issuing the pplication forapplications.sired by the F
amounts eithCurrency Accrised dealer.
purchased ban account det shall also bet the applicat
ques / deman
cept subscripe of the date
g on non‐repnking channedinary Rupee A
ayment on No
etion, may c
Indian Originermission by r Issue of Sunits of the m
on a repatri
encies, on ful
vesting on repchannels or n‐Resident) a
broad or out odraft confirmrm. In case t NRIs shall alund in conne
er by inward counts or No
y the FN fromebit certificate enclosed. Intions.
nd drafts cros
ption accomp when the fu
patriable basels or chequeAccount (NRO
on‐repatriable
choose from
n (PIOs) residReserve Banecurity by amutual funds
ation and no
l repatriation
patriable basisout of fundsccount (FCNR
of funds heldming the debthe debit ceso be requirection with th
remittance tn‐Resident R
m abroad or te from the bn case the de
ssed "Accoun
panied with nds get credit
sis, payment e/demand draO).
e basis.
time to time
ding abroad nk of India una Person Resubject to co
on‐repatriatio
n basis, is subj
s, payments ms held in a NoR).
d in NRE/ FCNbit to the Invertificate is noed to furnish e investment
hrough normRupee Accoun
from Foreignank issuing thebit certificat
nt Payee Only
foreign curreted into the F
may be maafts drawn o
e to alter or
/ Foreign Insnder Scheduleesident Outsionditions set
n basis, while
ject to appro
may be madeon‐ Resident
NR account, aestor's accouot provided,such other dt in the Schem
mal banking chnts maintaine
n Currency Ache draft confite is not prov
".
ency instrumFund's accoun
ade either bout of funds h
r add other
stitutional e 5 of the ide India) out in the
e Flls may
oval by the
e either by (External)
n account unt should the AMC ocuments me(s).
hannels or ed with a
ccounts or irming the vided, the
ment. NAV nt.
by inward held in an
modes of
G.
Inves
a. Ro(iB
b. Suprshthstissi
c. SuSu
stinemm
d. Suthth
Non ‐ acce
“Third Party other than t
Applications accepted by
a. Paymentslove and investme
b. Paymentone‐time
c. Custodian
In case of pathe joint holexceptions, tApplication F
a. The KRA sb. A duly fill
person mServices C
stors are requ
egistration off his Pay‐in b.e. account inank Accounts
ubscription thre‐funded Inshould be proche Investor istating the accsue of the ingnature, nam
ubscriptions ubscription th50,000. Investating the nanstruments. Tmployee codmentioned in t
ubscriptions the instructionhe print out o
ptance of T
Payment Inshat of the Be
to Schemes the AMC exc
s made by Paaffection or nts through e
ts made by ansubscription,
n making inve
ayments fromlders of the bthe followingForm:
status of the
ed "Third Parmaking the payCentres.
uested to fur
f Pay‐in bankbank account nto which reds are mention
hrough pre‐fustruments sucured by the s also requirecount holdernstrument. Tme, employee
through prehrough a pre‐stor is requirame, addresThe said Certifde, bank seathe Certificat
through RTGSn which has bof the online b
Third Party
struments" mneficiary Inve
of IIFL Mutucept in the fol
arents/Grandas gift. Howeeach regular p
n Employer o, through pay
estments on b
m a joint bankbank account g additional d
Investor and
rty Payment Dyment i.e. th
rther note as
account: The(i.e. account demption / dned separatel
unded Instrumuch as Pay OInvestor onlyd to submit ar's name and he said Certie code, bank s
e‐funded Ins‐funded instrred to provids and PAN ficate should l and contace matches wi
S, NEFT, NECSbeen providedbank instructi
Payment I
means a paymestor.
ual Fund accollowing cases
Parents/Relaever single supurchase or s
on behalf of eyroll deductio
behalf of an F
k account, thefrom which ocuments are
the person m
Declaration Fird party. The
follows:
e investor at tfrom which s
dividend are ty in this docu
ments like PaOrder / Demay against a rega Certificate fthe accountificate shouldseal and conta
struments (Dument procue a certificat(if available)be duly certict number. Tith the first na
S, bank transfd to the Bankions reflectin
nstruments
ment made t
ompanied by :
ated Personsubscription vaingle SIP insta
employee unons.
FII or a Client.
e sole /first hpayment is me also require
making the pa
Form" from the said form a
the time of hsubscription to be paid). Tument.
ay Order / Deand Draft / Bgistered Pay‐from the Bant number frod be duly ceract number.
Demand Drared against cte from Bank) of the perified by the bThe AMC / Mamed investo
fer etc.: In suck indicating thg the NEFT Tr
s for subscr
through an in
a Third Party
s on behalf oalue shall notalment)
der Systemat
older of the made. In case ed to be man
yment.; and
he Investor (gvailable on th
is subscriptiopayment is mThe details on
mand Draft eBanker's Che‐in account. Anker issuing thm which thertified by the
aft, Pay Ordash shall onlyker issuing therson who habank managerMutual Fundor.
ch case, Inveshe account nuransfer.
riptions / in
nstrument is
y Payment In
f minor in cot extend abov
tic Investmen
Mutual Fund a payment isdatorily prov
guardian in cahe AMC's we
on for units mmade) and hisn facility for r
etc.: In case oeque, such prAlong with thehe pre‐fundee amount hase bank mana
der etc.) pry be acceptede pre‐ fundeas requestedr with his / hed / RTA will
stor is requireumber and th
nvestments
sued from an
nstrument sh
onsideration ve 50,000
nt Plans or lu
folio should s covered undvided togethe
ase of a minobsite/ at the
must provide ts Pay‐out banregistration o
of subscriptiore‐funded inse payment ind payment ins been debiteger with his
rocured agaid for investmd payment in for such per full signatucheck that t
ed to providehe debit instr
s:
n account
all not be
of natural (including
mp sum /
be one of der above er with the
r) and the Customer
the details nk account f Multiple
n through struments strument, nstrument ed for the / her full
nst cash: ent below nstrument re‐funded ure, name, the name
e a copy of uctions or
e. AAA
H. RA
Re
ll the above pplication FoMC reserves
RegistrationAddress:
egistration of
a. Registerinavoid acc
b. Investorsin other c
c. In case othe credit
d. Investor mtime of rthrough w(unregisteredempti
e. For the p(available
• Cancenames
• Bank saddres
UpdatFollow 1. Inveform” 2. The(i) Cof tnumLett
3. Seunitcasthe* acac If vestPh
mentioned orm. In case ithe right to r
n of Multip
f Multiple Ba
ng of Multipleceptance of th
can register cases.
f Multiple Ret of redempti
may howeverequesting fowritten instrered new baion request w
purpose of rege at the CSCs/
lled original cs of the accoustatement orss.
tion or Changwing process s
estors shall su” at any of the
e original of aCancelled origthe cheque Omber, accounter* duly sign
elf attested ptholder namee, old bank a letter head oBank letter sccount with tccount type, t
photocopieserification of tatement or hotocopies ca
documents, f the applicaeject the app
ple Bank Acc
ank Account:
e Bank Accouhird party pay
with the Fun
egistered Banion/ dividend
r specify any or the redemuctions. If reank account)would be proc
gistration of b/ AMC Websit
cheque leaf inunt holders arr copy of Ban
ge of Bank Acshall be follow
ubmit duly file Official Poin
ny of the folloginal cheque OR (ii) Self attnt holder’s naned by branch
photocopy ofe and bank acccount is alreof bank, confishould be onthe bank, thethe MICR cod
s of the abovbank accounpassbook shan also be att
to the extention for subsplication.
counts an I
unts will enabyments.
d upto 5 pay‐
nk Account, In proceeds (be
other registemption. Invesedemption re) or before cessed to the
bank accountte) together w
n respect of bre printed onnk Pass Book
ccount: wed for chang
lled in “Changnt of Acceptan
owing documwith first unitested copy ome and addreh manager/au
f any of the ccount numbeeady closed, airming the clon its letterhea bank accoun
de of the bran
ve stated docnt details to thall be returtested by the
nt applicablescription is no
Investor Fo
ble the Fund t
‐in bank acco
nvestor may eing "Pay‐out
ered bank acctor may chaequest is receverification currently reg
t(s), Investor with any of th
bank account the face of tpage with th
ge or updatio
ge of bank mnce of Transa
ments shall beitholder namof bank statemess with curreuthorized per
above stateder printed ona duly signed osure of said ad certifying nt informatioch & IFSC Cod
cuments are he AMC branrned to the e concerned
e, are requireot in accorda
olio and Pro
to systematica
unts in case o
choose one ot bank accoun
counts for crenge such Paeived togethand validatiogistered defau
should submhe following d
to be registehe cheque; ohe Investor's
on of bank acc
andate & Regactions (OPT)
e required fore and bank ament OR (iii) ent entries norsonnel
d document n the face of tand stampedaccount shallthat the Unn like PAN, bde.
submitted, innches / ISCs oinvestors ovBank. It shou
ed to be pronce with the
ocedure for
ally validate t
of individuals
of the registent").
edit of redemy‐out Bank aer with a chon of the neult old bank a
mit Bank Manddocuments
red where thr Bank Accou
counts in the
gistration of mof the Fund.
r new bank acccount numbBank pass boot older than
of the old bhe cheque shd original lettl be required.nit holder mabank account
nvestors musof CAMS. Thever the counuld be noted t
ovided along e above provi
r Change of
the pay‐in of
and HUFs an
ered bank acc
mption proceeaccount, as nange of banew bank accaccount.
date Registra
he account nu
nt number, n
folio:
multiple bank
ccount: ber printed oook page wit 3 months OR
ank account hall also be reter from such. aintains/mainnumber, ban
st produce oe original bannter upon vethat attestati
with the isions, the
f
funds and
nd upto 10
counts for
eds at the necessary, k account count the
tion Form
umber and
name and
k accounts
n the face h account R (iv) Bank
with first equired. In bank* on
ntained an nk branch,
riginal for nk account erification. ion by the
Proce
Baw Thacofw
Indirediba
f. The AMCone of thshall subm
g. Investor mby the BaRegistrat
h. Bank Accthe Invesbank acco
i. Where ananother a
j. A coolingpayouts wbank accrequest t
k. InvestorsForm avainformati
edure for Cha
Investors arealong with du
a) For KRA KY• Proof of n• Proof of idof identity i
b) For KRA ‐K• Proof of n• Any other The AMC readdress. Thverificationinvestors o
ank should bwith the full sig
here shall beccount. Furthf Bank mand
working days.
n case, the issatisfactory equirements ividend paymank account i
C will registere joint holdemit the origin
may note thaank communion Form.
ount details ator has not spount through
n Investor praccount as de
g‐off period owill be made counts shall bhrough such
s may also noailable at thion as it may
ange of Addr
e requested tuly filled in "C
YC not complinew address adentity (POI):if PAN is not u
KYC complied new address (r document/
eserves the rihe self attes at any of thover the cou
be done in orgnature, nam
e a cooling pher, in case ofate and disp
request for in respect oas stated ab
ments, if any, wnformation w
r the Bank Acrs of the bannal to the AM
t in case whenicating such
as mentionedpecifically de written instr
oposes to deefault account
of 10 calendainto such babe communicmeans as ma
ote the terme CSCs/ AMdeem fit for r
ress:
to note that Change of add
ied folios: and : Only PAN caupdated in th
folios: (POA) and form that the
ght to collectted copies ohe AMC brannter upon v
riginal only bme, employee
period of 10 f receipt of repatch of rede
change in of signature ove, the reqwill be proceswill be used fo
ccount only ak account. In C/ Service Ce
ere his bank change is al
d in the Applicsignated a deructions.
elete his existt.
ar days is reqnk accounts dcated to theay deemed fit
s and conditiC Website. Tregistering th
self attesteddress form":
ard copy shallhe folio.
e KYC Registra
t proof of oldof above statnches / ISCs erification. In
y the branchcode, bank s
calendar dayedemption reemption proc
bank accoumismatch/douest for suchssed as per spor such paym
after verifyingcase if a copy
entre for verif
account numso required t
cation Form sefault pay‐out
ting default p
quired for reduring the co Investor witt by the AMC.
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uly attested b
such investm
/ electronic thall be entitleTransmitter's
may include by tape recoient to enabl
considered u
cretion (incluy fax / web /itter agrees tsentatives of ations, lossesy suffered or nection with ronic transactthe Transmitt
ed facility(iesAMC reservestions.
cation Form
disinvestme
as per the abof the Comp
any, duly atte
Corporate n
s like PAN &
ate printed on
by any of the
ments/disinve
ransmission wed to treat ans original sign
signature veording devicee confirmatio
until time stam
ding but not / electronic trto indemnify the AMC, Mus, damages, incurred, susor any way rtion requestster even thou
s) at any poin the right to
ms:
ents in Mutu
bove Board Repany on the C
ested by the
ot covered u
& proof of K
n it
partners. Sig
estments in th
which the y such fax nature.
erification, e and the on of such
mped as a
limited to ransaction and keep
utual Fund costs and stained by relating to s including ugh it may
nt of time. introduce
ual Funds
esolution, Company's
Company
under the
KRA ‐ KYC
gnature of
he Mutual
• Certifiecertifie
• List co
• DocumCompl
• Cancel
c. HUF/AOP
• DocumCompl
• Copy othe Au
• Cancel
d. Trusts/Fu
• Copy o
• Copy oSchem
• List of Secret
• DocumCompl
• Cancel
e. Co‐opera
• Copy o
• Copy atteste
• List of
• DocumCompl
• Cancel
f. Any othe
In case oInvestors,to such Iauthorisecertified crequires.
g. Individua
Documen(compulso
ed copy of ted by the Par
ntaining nam
ments requireiance (compu
lled Cheque L
P/BOI/SPV:
ments requireiance (compu
of the Constituthorised Sign
lled Cheque L
unds:
of the Trust D
of the Resolumes, duly certi
the Trustee ary of the Tru
ments requireiance (compu
lled Cheque L
ative Societie
of the Registr
of the Resoled by the Sec
authorised si
ments requireiance (compu
lled Cheque L
er Non‐individ
of an applica, a duly certifnvestor to ined signatoriescopy of the in
al Investors:
nts required tory irrespecti
the Resolutiotner/authoris
mes and signat
ed to be suulsory irrespe
Leaf with the
ed to be suulsory irrespe
tuent Documnatories
Leaf with the
Deed attested
ution passed ified by the T
and signaturust on the Tru
ed to be suulsory irrespe
Leaf with the
s:
ation Certific
lution authorcretary/ office
ignatories wit
ed to be suulsory irrespe
Leaf with the
dual Investor
tion by any fied copy of tnvest in units must be suncorporation
o be submitteive of the am
on authorisinsed signatory
tures of the a
bmitted undective of the a
Name of the
bmitted undective of the a
ments or form
Name of the
by the Truste
by the Trustrustee/ Secre
es, authoriseust's letterhea
bmitted undective of the a
Name of the
ate attested S
rising investme bearer of th
th designatio
bmitted undective of the a
Name of the
r:
Non‐individuthe relevant rs of the Schubmitted alondeeds / cons
ed under norount of inves
ng investmeny.
authorized sig
er normal camount inves
partnership/
er normal camount inves
mation Docum
HUF/AOP/BO
ee/ Secretary
tee authorisinetary or by th
ed as per the ad.
er normal camount inves
Trust printed
Secretary/ of
ments/ disinvhe society.
n & their spe
er normal camount inves
Co‐Operative
ual Investor oresolution or eme(s), alonng with the Astitutive docu
rmal circumststment).
nts/ disinvest
gnatories to s
ircumstancessted).
/LLP printed
ircumstancessted).
ments (Legal E
OI/SPV printe
y.
ng investmene office beare
above resolu
ircumstancessted).
d on the Cheq
ffice bearer of
vestments in
ecimen signat
ircumstancessted).
e Society prin
other than ta document g with the uApplication Fuments shoul
tances like PA
tments in M
sign, duly atte
s like PAN &
s like PAN &
Entity Docum
ed
nts/disinvestmer of the soci
ution, duly at
s like PAN &
que
f the society.
n the Mutua
ures, attested
s like PAN &
nted on the C
he aforemenproviding eviupdated specForm / Transld be submitt
AN & proof of
utual Funds
ested by the p
& proof of K
& proof of K
ments) duly at
ments in Muety.
ttested by the
& proof of K
l Fund Schem
d by the Nota
& proof of K
heque
ntioned Non‐idence of thecimen signatusaction Slip. Fted, where th
f KRA ‐ KYC Co
Schemes,
partner.
KRA ‐ KYC
KRA ‐ KYC
ttested by
tual Fund
e notary /
KRA ‐ KYC
mes, duly
ary.
KRA ‐ KYC
‐individual authority ure list of Further, a he AMC so
ompliance
Note
a. Ab
b. CP
c. A/o
d. IfF
e. A
h. Non Resi
• In casefrom twith th
• For suaccomby the
• DocumCompl
i. Applicati
• An appAttorn
• The PoAttorn
• Documsubmit
j. Applicati
• In case
• In caseavailab
• Date omanda
• Birth c
• Schooletc., o
• Passpo
• Any ote:
All documentse self ‐ attest
Certified PAN AN card for v
AMC reservesother obligatf any of the aboreign LanguAny request fo
dent Investo
e Indian rupethe Bank issuhe Applicatio
bscriptions ampanied with Investor's ba
ments requireiance (compu
ons made un
plicant applyiney (POA) duly
ower of Attorney.
ments otherwtted by both
ons on behal
e of court app
e of natural gble as part of
of birth of theatory while op
certificate of t
l leaving certr
ort of the min
ther suitable
s not requiredted by the resCard copy is verification. the right to ions. bove documeage, then theor purchase o
rs:
ee drafts are uing the draftn Form.
amounts reman account danker(s).
ed to be suulsory irrespe
nder Power o
ng through py attested by
rney Docume
wise required the Investor a
lf of minor:
pointed legal
guardian, a dthe documen
e minor alongpening the ac
the minor, or
ificate / Mark
nor, or
proof evidenc
d to be submspective authmandatory fo
call for such
ents are in a le same have tof units may n
purchased at confirming
itted out of ddebit certifica
bmitted undective of the a
f Attorney:
power of attoy a notary pub
ent must cont
to be submiand the POA
guardian, sup
ocument evidnts submitted
g with photocccount on beh
r
k sheet issued
cing the date
mitted in origiorized signator all the abo
h other inform
anguage not to be translatnot be proces
broad or fromthe debit to
debit to the ate confirming
er normal camount inves
rney holder mblic at any of t
tain the signa
itted under nholder in cas
pporting docu
dencing the rd as per the b
copy of suppohalf of minor:
d by Higher S
of birth of th
inal or not reories specifieove investors.
mation / doc
specified in tted into Englissed if the nec
m FCNR / NRInvestor's ac
FCNR / NRE g the accoun
ircumstancessted).
must lodge anthe Official Po
atures of both
normal circume of applicati
umentary evi
relationship sbelow point.
orting docum:
Secondary Bo
he minor.
equired to beed therein. Investors wi
cuments that
the Eighth Schsh for submiscessary docum
RE A/c, an acccount shall a
A/c, the Appt type and ac
s like PAN &
n original or aoints of Acce
h the applica
mstances by ons made un
dence shall b
shall be obtai
ments as enum
ard of respec
attested by
ll be required
it deems fit
hedule of thession as requiments are no
count debit calso be enclo
plication formccount numb
& proof of K
a copy of the ptance.
nt and the co
an Investor snder a POA.
be obtained.
ined if the sa
merated below
ctive states, I
a notary pub
d to submit th
to fulfill its K
e Constitutionred by the AMt submitted.
certificate sed along
m must be ber, issued
KRA ‐ KYC
Power Of
onstituted
should be
ame is not
w shall be
CSE, CBSE
blic should
he original
KRA ‐ KYC
n of India / MC.
1. U
2. W3pmsfrut
Aasfospv
3. Tds
4. Trea
5. Tuo
6. TB
7. 7
8. T
• • •
9. Tes
I
II10. I
beb
S
Unit holders o
When the Mu30 days of theperiod, the AMmay be prescubscription arom the dateunitholders. Pransferable) w
An applicant iaccounts or ttatement of orm within fivhall receive tproceeds of avoting rights, a
The Mutual Fdays from theale/ trading w
The Mutual Fequest. In casa penal intere
The Trustee iunitholders inon their invest
The appointmBoard or by se
75% of the Un
The Trustee sh
WheneverWheneverWhen the
The Trustee sexpenses payahall be carrie
. A writtengiven in othe langu
. the Unit hn specific circby way of a peach folio or abe passed.
SECTION V
of the Scheme
utual Fund dee declaration MC shall be liribed from tias well as Rede of closure oProvided if a within 5 work
in whose appo hold units accounts speve working dthe account sny Redemptioas permitted,
und shall alloe closure of twithin five bu
Fund shall disse of failure tst of 15% or s
is bound to nformed aboutments.
ment of the AMeventy five pe
nit holders of
hall obtain th
r required to r required to Trustee decid
hall ensure table or any oed out unless:
communicatone English dage of the regholders are gicumstances, wpostal ballot oaccount repre
VI ‐ RIGH
es have a pro
clares a dividof the divideiable to pay ime to time fdemption/ Swof the initial sUnit holder
king days of t
plication has in demateria
ecifying the nays from the statements, aon requests o, associated w
ot units / refhe NFO and usiness days o
spatch Redemto dispatch resuch other ra
make such ut any inform
MC for the Mercent of the
a Scheme can
e consent of
do so by SEBIdo so if a reqdes to wind u
hat no changother change
tion about thdaily newspapgion where thven an optionwhere the apor such otheresenting a hol
TS OF UN
portionate rig
dend under thnd. In event onterest @15%for the delay witch of Units ubscription liso desires the receipt of
been acceptalised form anumber of undate of closu
all notices andor dividends owith such Uni
und of moneall the Schemof the allotme
mption proceedemption prte as may be
disclosures tmation known
Mutual Fund cUnit holders
n pass a reso
the Unit hold
I, in the intereuisition is maup the Schem
ge in the funwhich would
he proposed per having nahe Head Officn to exit at thpproval of unir means as mlding shall vo
NIT HOLD
ght in the ben
he Scheme, tof failure of d% per annumperiod. Accoshall be dispist and / or frthe Mutual Frequest for t
ed shall haveand the Mutunits allotted ture of the initd correspondor other distrts as per the
ey and dispatmes (except Eent date.
eeds within oceeds withi prescribed b
to the Unit hn to the Trust
can be terminof the Schem
lution to wind
ders:
est of the Unade by three‐fe or prematu
damental att modify the S
change is seationwide circce of the Muthe prevailing Nitholders is somay be approte and he sha
DERS OF T
neficial owne
he dividend wdispatch of divm to unitholdeount Statemepatched to therom the dateFund / AMC the certificate
e the option ual Fund/ AMto the applicatial subscriptidence with reributions. In aapplicable gu
tch statemenELSS) shall be
10 Business n 10 businessby SEBI from t
holders as atee which ma
nated by majome.
d‐up a Schem
it holders. fourths of theurely redeem
tributes of anScheme and a
nt to each Uculation as wtual Fund is siNet Asset Valought on any ved by SEBI. all have one v
THE SCHE
ership of the a
warrants shalvidend withiners or such otent reflecting e Unit holdere of receipt ofshall issue a e.
either to recMC shall issuant or issue uon list. The fiespect to the addition, suchuidelines.
ts of accounte available fo
days of reces days, the AMtime to time,
re essential ay have a ma
ority of the D
me.
e Unit holderthe Units.
ny Scheme oraffects the in
nit holder anwell as in a netuated; and lue without amatter, the sOnly one Unvote in respec
MES
assets of the S
ll be dispatchn the stipulatther rate of ithe new or a
r within 5 worf the requestUnit certific
ceive the state to such apunits in demairst‐named Uaccount as wh holder shal
ts within fiver ongoing rep
eiving the ReMC will be liafor the delay
in order to aterial advers
Directors of th
s of the Sche
r the trust ornterest of Uni
nd an advertiewspaper pu
ny Exit Load.same shall benit holder in rct of each res
Schemes.
hed within ed 30 day nterest as additional rking days t from the cate (non‐
tement of pplicant, a aterialized nit holder well as the l have the
e business purchase/
demption ble to pay y period.
keep the se bearing
he Trustee
me.
r fees and it holders,
isement is blished in
e obtained respect of olution to
SE
A
Equ
Equ
Pref
War
Futu
UnliRigh
Note
1. U
2. Tbse
3. D
4. Ino
ECTION V
A. Valuatio
ity and Equit
ity Shares
ference Share
rrants
ures and Opti
isted / Illiquidhts Equity Sec
es:
Unlisted / Illiq
hinly Traded oth less thanecurity.
Demerger: In c
n case of a den the date of
VII ‐ INVES
on Norms
y Related Sec
Tra
es
At closNatExcBomExcanoexc
ions At t
d / curities
In a
uid / Rights e
Equity/Equitn Rs. 5 lacs an
case of a dem
emerger penf corporate ac
STMENT V
curities
aded
the last qusing price ontional change (mbay change (BSEother change.
the closing pr
accordance w
equity securit
ty related Send the total v
merger, valuat
ding listing, tction.
VALUATIOAS
Non T
uoted n the Stock NSE)/ Stock E) or stock
Whensecurinot trtradedis use
Whenon anday thNSE / long closin
If tradsuspethen Compvaluatand docum
rice provided
with guideline
ies will be va
curity ‐ Whevolume is less
tion will be do
the resultant
ON NORMSSETS
Traded
n on a vality listed on rade then prid on anotherd.
n a security ny exchangehen previous Any other SEas date ofg price is less
ding in an eqended for mothe Asset
pany/Trusteestion norms tsuch norm
mented and r
by the respe
s prescribed
lued in accord
n trading in s than 50,000
one as appro
company/ies
MS FOR S
luation day,the NSE, doce at which ir stock exchan
does not traon a valuatclosing price E will be usedf the previos than 30 day
quity securityre than 30 da Managems will decide tto be followms would recorded
ctive stock ex
by SEBI
dance with gu
an equity/eq0 shares, it sh
ved by the Va
s shall be valu
SECURITIE
Thinly T
a oes it is nge
As per Sade tion on d as ous s.
y is ays, ent the wed be
xchanges
uidelines pres
quity related all be consid
aluation Com
ued at the in
ES AND O
Traded
EBI Regulatio
scribed by SE
security in aered as a thin
mmittee.
trinsic value
OTHER
on
EBI.
month is nly traded
arrived at
POLIC I. Va
TrTrpa
NoWm Thex
Spth
II. Va
TrTrpaFI
NoWov W
III. In In IV. AB
If caThTr
Note:*Secu
‐
‐
‐
* Gov* Foll
a
CY FOR VALUA
aluation of Mo
raded Securitieraded Securitiearticular valuat
on Traded SecWhen such secumaturity from co
he amortised pxceeds ±0.10%
pread betweenhroughout the
aluation of Mo
raded Securitieraded Securitiearticular valuatMMDA, and ow
on Traded SecWhen such secuver risk free be
Where required
nter Scheme Trter Scheme Tr
BNORMAL SITan abnormal tases, the Fund he decision of rustee at the m
: urities would b
For instrummore. For instrum100 croresIn cases ofmore will bwill be give
vernment Secuowing assets wa. Bank Fixed
ATION OF DEBT
oney Market a
es es will be valution day.
curities urities are not ost or last valu
price may be %, the valuation
n Purchase Yielife of instrum
oney Market a
es es shall be valtion day. In cawn trades.
curities urities are not enchmark yield
suitable mark
ransfers ansfer would b
TUATION: trade is determManager wouValuation Com
meeting held su
be considered aments maturin
ments maturins or more. f self trades (Sebe considered en a higher priourities and Treawill be valued ad Deposits b. C
T AND MONEY
and Debt Secur
ued at the wei
traded on a puation price wh
used for valuan shall be adjus
eld and Benchents and woul
and Debt Secur
ued at the wease of multiple
traded on a pd obtained from
k up / mark dow
be done at fair
mined, the saidld seek approvmmittee in sucubsequent to s
as traded undeng above 1 yea
g between les
elf trade meanfor valuation. ority. For this pasury Bills will at cost in additBLO / Reverse
Y MARKET INST
rities with resi
ghted average
articular valuahichever is mor
ation as long asted to bring it
hmark Yield asd be changed
rities with resi
eighted average platforms rep
articular valuam agency(ies) e
wn shall be ap
valuation as s
d trade will be val of Valuatioch abnormal sisaid valuation c
er following criar, ‐ if there ar
s than1 1 year
n trades done bIn case there apurpose markebe valued at agtion to incomeRepo c. Bill Re
TRUMENTS:
idual maturity
e YTM at whic
ation day they re recent.
as it is within within the ±0.
s fixed by Funonly if there is
idual maturity
e YTM at whicporting trades
ation day they entrusted for t
plied to bench
tated above.
excluded fromn Committee ftuations shall committee me
teria: re at least two
r ‐ if there are
by the schemeare both qualifet lot means INggregated pric accrual / amoe‐discounting d
y of up to 60 da
ch they are tra
shall be valued
±0.10% of the.10% band.
d Manager at justification fo
y above 60 day
ch they are traon the same
shall be valuethe said purpos
mark yield to
m the computafor determininbe reported toeeting.
o trades in mar
at least three
s of IIFL Mutuafying market trNR 5 Crore. ces provided byortization: d. Cash Manage
ays
aded and repo
d on Straight l
e reference pr
the time of por the change.
ys .
aded and repoday, the order
ed at benchmase by AMFI.
value the secu
ation of weightg the approprio the Board of
rket lot aggreg
trades in mar
al Fund), only aades and self t
y CRISIL and IC
ement Bills
orted on FIMM
ine amortizati
rice. In case th
purchase wou
orted on FIMMr of preference
rk yield/matrix
urity at fair valu
ted average YTiate method off Directors of t
gating to Rs. 2
ket lot aggrega
a trade of a matrades, the ma
CRA.
MDA on the
on basis to
he variance
ld be fixed
MDA on the e would be
x of spread
ue.
TM. In such f valuation. the AMC &
5 crores or
ating to Rs.
arket lot or rket trades
B. In ac
a. TScSc
b. Foinod
c. Ddd
d. InTtoAdA
e. Inm
f. Tsethexwop
g. Btheo
h. Wthin
i. Wvavapcr
j. IncrEbthin
Account
cordance wit
he AMC, for cheme, so ascheme and, in
or the purponvestments inn investmenistributable in
Dividend incomate the shareividend incom
n respect of herefore, who the date ofAccount. Similate of sale s
Account.
n determiningmethod shall b
ransactions fettlement dathe financial sxample, acquwould be recobligation to proceeds of sa
onus shares the bonus enntitlements sn the stock e
Where incomehe guidelines n the manner
When in the calue of the ualue being curchase priceredited to res
n the case ofredited to an qualisation Aalance on thehe net incomn the Revenue
ting Policies
h the Regulat
each Schemes to explain n particular, g
oses of the finn the balancets cannot bencome.
me earned bye is quoted ome shall be re
all interest‐ben such invef purchase shlarly, interestshall not be
g the holdingbe followed fo
for purchase te, so that thstatements fouisitions throorded, in thepay the price ale or an enfo
to which the ntitlement acshall be recogxchange on a
e receivable o issued by SE specified by
case of an Opunit, if positivredited to Ce and face vserves, the fa
f an Open‐enEqualisation
Account. The e Equalisatioe of the Funde Account on
s & Standa
tions, the AM
e, shall keep its transactiogive a true an
nancial statee sheet at mae distributed
y a Scheme sn an ex‐dividecognised on
bearing invesstments are phall not be tret received at treated as a
g cost of inveor each secur
or sale of inhe effect of alor that year. ugh private e event of a or, in the eve
orceable oblig
Scheme becoccrues are tgnised only wan ex‐rights b
on investmenEBI, provision guidelines iss
pen‐ended Scve, shall be crapital Accouvalue of the ce value bein
nded Scheme Account andnet balance on Account ded but is only aly after the n
rds
MC will follow
and maintainons and to dnd fair view o
ments, the Mrket value. H, provision s
shall be recogdend basis. Fothe date of d
tments, incopurchased, ineated as a cothe time of san addition t
estments andrity.
nvestments sl investmentsWhere invesplacement opurchase, asent of a sale, gation to deliv
omes entitledraded on th
when the origiasis.
nts has been shall be madsued by SEBI
cheme units aredited to rent. Similarly,unit, if positng debited to
, when unitsd when units aon this accouebited or credan adjustmenet income of
the accounti
n proper boodisclose at anf the state of
Mutual Fund owever, sincshall be mad
gnised, not oor investmentdeclaration.
ome shall be nterest paid fost of purchasale for the pto sale value
d the gain or
shall be recos traded duritment transar purchases os of the datewhen the Scver the instru
d shall be reche stock excinal shares on
accrued and de by debiting
are sold, the serves and if when units tive, shall bethe Capital A
s are sold an are repurchaunt shall be crdited to the Rnt to the distrthe Fund is d
ng policies an
ks of accountny point of tf affairs of the
shall mark ae the unrealide for exclus
on the date thts which are
accrued on for the periodase but shall period from tbut shall be
loss on sale
gnised as of ng a financiaactions take por sales throe on which thheme obtainsments sold.
cognised onlyhange on ann which the r
has not beeg to the reven
difference bf negative shaare repurch debited to Account.
appropriate sed an approredited or deRevenue Accoributable surpdetermined.
nd standards,
t, records antime the finae Fund.
ll investmentzed gain arisision of this i
he dividend inot quoted o
a day‐to‐dayd from the lasbe debited tothe last interee credited to
of investmen
the trade dl year are recplace outsideugh private the Scheme os an enforcea
y when the orn ex‐bonus ight entitlem
n received fonue account
etween the sall be debitedhased, the direserves and
part of the opriate amounebited to the ount shall noplus. It shall, t
, as detailed b
d documentsancial positio
ts to market ing out of apitem when a
is declared, bon the stock
y basis as it ist interest duo Interest Reest due date o Interest Re
nts, the "aver
ate and not corded and ree the stock mtreaty, the trobtains an enable right to c
riginal sharesbasis. Similaent accrues a
or a period spthe income s
sale price andd to reservesfference betd, if negative
sale proceednt would be dRevenue Accot decrease otherefore, be
below:
s, for each n of each
and carry preciation arriving at
but on the exchange,
is earned. ue date up ecoverable up to the
ecoverable
rage cost"
as of the eflected in market, for ransaction nforceable collect the
s on which rly, rights are traded
pecified in so accrued
d the face s, the face tween the e, shall be
ds shall be debited to count. The r increase e reflected
k. Tcud
l. UWp
m. Tch
C. All inReguinter
All inas am
The BInvesthe M
The pvis‐a‐
The Cin thline w
he cost of ustomarily iniscount offer
Underwriting Where there ortion applica
he accountinhange as per
Procedur
nvestment dulations and tnal guideline
nvestment demended from
Board of Direstment CommMutual Fund a
performance ‐vis the respe
Chief Executive interest of with the inves
investments cluded in theed shall be re
commission is devolvemeable to the de
ng policies anchanges in th
re and Reco
decisions, relathe investmes as may be p
cisions shall b time to time
ctors of the Amittee shall, inand to review
of each scheective benchm
ve Officer of the Unit holstment objec
acquired ore broker's boeduced from t
shall be recoent on the Sevolvement s
nd standardshe Regulation
ording of In
ating to theent objectivesprescribed by
be recorded ie.
AMC has apponter‐alia, be tw the portfolio
me shall be mmark index as
the AMC shaders. The Funtive of the Sc
r purchased ought note. Inthe cost of th
ognised as reScheme, the shall be reduc
outlined abns.
nvestment D
e schemes, ss of the respy the Boards o
in terms of SE
ointed an Invto formulate o and perform
monitored bys mentioned i
all inter‐alia end Manager cheme(s) and
shall includn respect of phe investment
evenue only wfull underwrced from the
ove are as p
Decisions:
shall be undpective Schemof the AMC / T
EBI Circular N
vestment Comand review tmance of the
the Boards on the respect
ensure that thshall ensure in the intere
e brokerage,privately plact.
when there iriting commiscost of the in
per the existi
ertaken by tme(s). The FuTrustee Comp
No. MFD / CIR
mmittee of ththe investmenSchemes per
of AMC and Ttive SIDs.
he investmenthat the fundst of the Unit
, stamp chaced debt instr
s no devolvession receivenvestment.
ing Regulatio
the AMC in und may addpany or any i
R / 6 / 73 / 20
e AMC. The pnt policy for triodically.
rustee Comp
nts made by tds of the Scht holders.
arges and anruments any
ement on thed and not m
ons and are s
accordance ditionally obsnternal comm
000 dated July
primary functthe various sc
any on a peri
the fund maneme(s) are in
ny charge front‐end
e Scheme. merely the
subject to
with the erve such mittee.
y 27, 2000
tion of the chemes of
iodic basis
nagers are nvested in
A. TaxationAs per thinvesting based on
The inforis neitherspecific toor its owparticipat
i. To th
a. Theeliginco
The Sectjurisis refore
b. Secu
Thetran
c. IncoNo orieunitbot
In torie
Income distributo
Effectivrate (%)
SECTION
n on investhe taxation lain the units the Fund's u
mation stater designed noo each investwn tax consution in the var
he Mutual Fun
e Fund is a Mgible for the bome of the Fu
Fund will retion 196(iv) osdiction, the seceived. As theign taxes may
urities Transa
e Mutual Fundnsactions of p
ome Distributincome distented fund, itholders of mth open ende
terms of sectiented fund, it
uted Indivi('HUF
ve tax )
28.32
(tax r10 psurchrate osurch
N VIII ‐ TA
ing in Mutuaws in force aof the varionderstanding
d below is onor intended totor and in vieultant with rrious scheme
ndS
Mutual Fund rbenefits of seund is exemp
eceive all its of the Act. Wsame may behe income ofy not be avai
action Tax (ST
d is liable to ppurchase or s
tion Tax: ribution tax n terms of semutual fundsd and close e
ion 115R of tht is required t
idual and HF’)
25
rate of 25 peper cent tharge by way of 3 per cent arge)
X & LEGA
ual Fundsas at the datus Schemes g of the tax la
nly for the puo be a substitew of the chaespect to thes of the Fund
registered wiection 10(23Dt from incom
income withoWhere the Fun subject to wf the fund is lable in India.
TT)
pay securitiesale of specifie
is payable byection 115R s. The benefitended equity
he Act, whereto pay tax on
indu Undivid
r cent plus suhereon plus of education on the incom
AL & GEN
te of this docof the Fund ws in force a
urposes of protute for profeanging tax lawhe specific tad.
ith the SecurD) of the Inc
me tax.
out any dedund receives awithholding in exempt from.
s transaction ed securities.
y the Fund, of the Act, wt of exemptioriented sche
e the incomeincome distri
ded Family
urcharge @ additional cess at the me tax plus
ERAL INF
cument, someare stated bs of the date
oviding generessional tax aws, each inveax implication
rities and Excome‐tax Act,
uction of tax any income frthe relevant
m tax in India
tax (STT) at p
in respect owhich deals won from incoemes.
e is distributedibuted by it, a
Persons othe
33.99
(tax rate of rate of 10 surcharge byof 3 per cesurcharge)
FORMATI
e broad incoelow. The inof this docum
ral informatioadvice. As thestor is advisens arising ou
change Board 1961 ("the A
at source urom investmejurisdiction fa, credit/ refu
prescribed rat
f schemes inwith tax on inome distribut
d by a schemas under w.e.
er than Indivi
30 per cent per cent th
y way of educent on the
ON
me tax impliformation soment.
on to the invee tax consequed to consult ut of his or
of India andAct"). Accord
nder the proents made infrom which thund in respec
tes on the val
n the nature ncome distribtion tax is av
me other than f June 1, 201
iduals and HU
plus surcharghereon plus acation Cess ate income ta
cations of o stated is
estors and uences are his or her her or its
d hence, is dingly, the
ovisions of n overseas he income ct of such
ue of
of equity butable to vailable to
an equity 3:
UFs
ge at the additional t the rate ax plus
d. Serv
Thav
ii. To th
a. InInuu
Exin
Thbde
b. CaAcalem
Co
Caacin
Lo
In
Asununchno
Com
In
In
i. A
g
vice tax he Mutual Fuvailed by it, a
he Unit holde
ncome receivn accordance nit holders innitholders.
xemption froncome arising
he characteriusiness incomepend on wh
apital Gains Ts per the proapital asset, iess from the dmore than 12
omputation o
apital gains ocquisition. Wflation index
ong‐term cap
case of Equit
s per Sectionnits of an equnits to the hargeable to Sot be availabl
ompanies areminimum alter
n case of Sche
n respect of sc
As per sectiorate of 20 peducation cegains on traneducation cebenefit of cos
und is liable at applicable r
rs
ved from Mutwith the provn respect of
om income tg from the tra
ization of gaime would deether the un
Tax: ovisions of secs considered date of its acmonths, it is t
of Capital Ga
n transfer of While calculatinotified by th
pital gains
ty Oriented F
n 10(38) of tuity oriented mutual fundSecurities Trae.
e required tornate tax liab
emes other th
chemes other
on 112@ of thper cent (pluss) after factnsfer of units ess and secost indexation
for paymentrates.
tual Fund visions of secunits of the
ax under secansfer/redem
ins / losses aepend on theit holder has
ction 2(42A) to be a shorquisition by ttreated as a l
in
units will be ng long‐termhe Governme
Fund:
he Act, long‐fund entered would be ansaction Tax
o include suchility under se
han Equity Or
r than equity
he Act, long‐teus applicable oring the benshall, howevndary and h.
t of service t
ction 10(35)(aFund will be
ction 10(35) ption of thes
rising from te classificationclassified suc
of the Act, a rt‐term capitathe unit holdeong‐term cap
computed aftm capital gainent of India.
‐term capitald into in a reexempt fromx (STT) at app
h long term cction 115JB o
iented Funds
oriented fun
erm capital gsurcharge a
nefit of cost ver, be limitehigher educat
tax as recipie
a) of the Act, ie exempt fro
of the Act we units.
ransfer/ reden of the saidch units as cap
unit of a Mutal asset, if it ier. Accordingpital asset.
ter taking intons, such cost
gains arisingcognised stocm income‐taxlicable rates.
capital gains of the Act.
:
ds, the tax im
gains on transand educatioinflation inded to 10 per ction cess) of
ent of servic
income receivom income‐ta
would, howe
emption of u units by thepital assets o
tual Fund, hes held for a pgly, if the unit
o account thewill be inde
g from the tck exchange x, provided If STT is not p
in computing
mplications ar
sfer of units n cess and ex. Income tacent (plus apf the gains c
es on variou
ved by all catax in the han
ever, not app
nits as capitae unit holderr as stock in t
eld by the invperiod of 12 mt is held for a
e cost of theexed by using
ransfer/redemor redemptiosuch a tranpaid, exempt
g the book p
re as follows:
are liable to secondary anax on long‐terplicable surchcomputed wit
s services
tegories of nds of the
ply to any
al gains or . It would trade.
vestor as a months or period of
eir g the cost
mption of on of such saction is ion would
profits and
tax at the nd higher rm capital harge and thout the
Short
In caAs pefund to thsale i
In ca
Short
Furthbelowmaxishortspeci
Non‐
Subjeresidtax isany,
Inves
WheincomAct. W
Losse
As pethreereceithe eAct, fixedallottperioSuch
The lbalansubse
ii.
t‐term capita
ase of Equity er Section 11entered into
he mutual funis chargeable
se of Scheme
t Term Capita
her, in case ow the aforemmum amount‐term capitaified above.
‐ residents
ect to provisioent of a couns payable at twhichever is
stment by Mi
re sale / repume is greaterWhen the chi
es arising fro
er the provisie months prioive the incomextent of incowhere any u by the Fundted (free of cod of nine mo loss will how
long‐term cance long‐termequent years
Further, in cacapital gains maximum ambe adjusted fliable to inco
al gains
Oriented Fun1A of the Acto in a recognind is taxed at to STT.
es other than
al Gains are ta
of individuals/mentioned mt not chargeal gains. There
ons of Incomntry with whicthe rates promore benefic
inors
urchase is ma, where the sild attains ma
m sale of uni
ons of sectionor to the reco
me from units)ome distributnits ("origina for the purpcost) based ononths after thwever, be deem
pital loss shm capital loss.
ase of individis below the mount not chfrom long‐terme tax at the
nd: t, short‐term sed stock exct 15 per cent
n Equity Orien
axed at norm
/ HUFs, beingmaximum amable to tax anefore only th
e Tax Act, 19ch India has sovided in the cial to such n
ade during thsaid income isajority, such t
ts
n 94(7) of theord date (dat) and sold witted by the Ful units") are poses of entitn the holdinge record datemed to be the
all be availab shall be carr
uals/ HUFs, bmaximum amhargeable to trm capital gaie rates specifi
capital gainschange or fro(plus applica
nted Funds:
al rates as ap
g residents, wmount not chnd total income balance sho
56 and the Fisigned a DoubAct, as discuon‐resident u
he minority os not coveredax liability wi
e Act, loss ariste fixed by ththin a period und in respecacquired witlement of thg of the origine, shall be igne cost of acqu
ble for set offried forward
being residentmount not chtax and total ns. Thereforeied above.
from the traom the /redeable surcharg
pplicable to ea
where the tohargeable to me excluding ort term capi
inance Act, 2ble Taxation Aussed above, unit holder.
of the child, tad by the exceill be on the c
sing on transfee Fund for thof nine montct of such unihin a period e unitholder nal units, the nored in the cuisition of the
f against longseparately fo
ts, where theargeable to tincome excl
e only the bal
ansfer/redemmption of sue, education
ach unit hold
tal income etax, then thshort‐term cital gains will
012, In case oAvoidance Agor the rates
ax will be leveption in the pchild.
er of units, whhe purposes oths after the its. As per theof three moto receive boloss, if any, o
computation e bonus units.
g‐term capitaor set off only
e total incomax then the duding long‐telance long ter
ption of unitsch units of acess), provid
er.
xcluding shohe difference capital gains, be liable to
of non‐residegreement (whprovided in t
ied on eitherproviso to the
hich are acquof entitlemenrecord date, e provisions nths prior toonus units) anon sale of theof the unit ho.
al gains on say against lon
me excluding difference beterm capital grm capital ga
s of an equityn equity orieded such tran
rt‐term capitbetween thshall be adjuincome tax a
ent unit holdehich is in forcthe such agre
r of the parene section 64(
uired within ant of the unit shall not be aof section 94 the record dnd any bonuse original unitolder's taxabl
ale of other ag‐term capita
long‐term tween the ains, shall ins will be
y oriented nted fund saction of
al gains is he current sted from at the rate
er who is a e) income eement, if
nts, whose 1A) of the
a period of holder to allowed to 4(8) of the date (date s units are ts within a e income.
assets and al gains in
Howelong‐termgainscondeligib
Shortsale subse
New
Any ibehaFebru
Wea
UnitsWea
Secu
The iEffec
Natu
Deliv
Non
Sale
Value
B
ever, each un‐term capital capital gainss on sale of itions. Henceble for set off
t‐term capitaof other asseequent years
pension Sche
income, inclualf of, the Neuary 2008), is
lth Tax
s held under lth Tax Act, 1
rities Transac
investor is rective June 1, 2
ure of Transa
very based pu
n‐delivery bas
e of units to th
e of taxable s
B Legal Inf
i. Nomin
PursuaholderUnits h
The UnAccept(multipnecessdeath docum
nit holder is aloss arising os arising on sunits of an ee, losses arisinf against taxab
al loss shall bets and balan. Carry forwar
eme
uding gains frew Pension Ss exempt in th
the Scheme957 and ther
ction Tax
quired to bea2013, the Sell
action
urchase/sale
sed sale trans
he mutual fun
securities tran
formation
ation Facility
ant to Regular to nominateheld by him sh
nit Holder/s ctance of tranple nominatisary formalitieof a Unitho
ments please r
dvised to conon sale / repusale of other equity of an ng from suchble capital ga
be available fonce short‐termrd of losses is
rom redemptSystem Trusthe hands of s
es of the Funefore, not lia
ar STT on cerer will be sub
on a recogni
action on a re
nd
nsaction in ca
y:
ation 29A of e (in the mannhall vest in th
can at the timnsactions, reqons) to recees. To enableolder, the AMrefer to sectio
nsult his / herrchase of uniassets. Undeequity orien
h type of tranins.
or set off agam capital loss admissible m
ion of units ot (as establisuch person u
nd are not treble to wealth
tain transactbject to follow
ized stock exc
ecognised sto
se of units sh
the SEBI (MFner prescribee event of his
me an applicaquest for a Neive the Unite the AMC to MC shall calon on ‘Transfe
r or its own pts of an equiter Section 10nted fund aresaction of sa
ainst both lons shall be carmaximum upt
of scheme of hed under thnder section
eated as asseh‐tax.
ions in units wing STT:
change
ock exchange
hall be the pri
F) Regulationed under the s death.
tion is made Nomination Fts upon his/transfer the l for requisier and Transm
professional taty oriented fu(38) of Income exempt frole of units of
ng‐term and rried forwardto eight asses
Mutual Fundhe provisions10(44) of the
ets within th
of units of eq
On
On
ice at which s
ns, the AMC SEBI (MF) Re
or by subseqForm in orde/ her death unit holdingste documenmission of un
ax advisor beund referred me Tax Act, 1om Income Tequity orien
short‐term cd for set off assment years.
d, received bys of Indian Tre Act.
he meaning o
quity oriented
Tax rate (%)
Purchase – N
Sale – 0.001%
0.025%
0.001%
such units are
is providing gulations), a
quently writiner to nominatsubject to ts in the namets from the its').
efore claimingto above, aga1956, long terTax, subject tted fund wou
capital gains against capita.
y any person rusts Act, 188
of section 2(e
d schemes of
Nil,
%
e purchased o
an option toperson(s) in w
ng to a Officiate one/morehe completioe of the NomNominee (f
g set off of ainst long‐rm capital to certain uld not be
arising on al gains in
for, or on 82, on 27
ea) of the
f the fund.
or sold.
o the Unit whom the
al Point of e person/s on of the inee upon for list of
Nominschem
Wherea persoIn suchthe mo
NominholdingEven thnomin
By prograntepropertrusteethe noproper
Non‐inFamilybehalf corpor
A non‐Minor(nominguardiaGoverntrust.
Nominof allocallocatevent Mutua
Nominfor a fothose nominFund /
The noproducNominAMC oheirs.
nation will bees in the folio
e the Units aron(s) in whomh cases, all joode of holding
nation shall bg and no newhose investorate.
ovision of thisd by law to trty after the e for the legaomination facrty by virtue o
ndividuals inc, holder of Pof a minor. Trate, partners
‐resident Ind(s) can be noee shall be pan of the nonment, a loca
nation can becation / sharetion / share shof Unitholdeal Fund / AMC
nation in respolio/account individuals wation. On ca/AMC shall no
omination facction of suchnee(s). Transfeof all liability
maintained o or account.
e held by mom all the rightint holders shg is not "Joint
be mandatoryw folios / accors who do not
s facility the Ahe nominee(death of theal heirs or legility providedof this nomina
cluding socieower of AttoThe Nominee ship firm, Kart
ian can be aominated anprovided by tominated minal authority,
made for mae in favour ohould be in wrs not indicaC, by invoking
ect of the Unwill overwritewho hold Unncellation of ot be under an
cility extende evidence wer of Units / p towards the
at the folio o
ore than one ts in the Unithould sign tht".
y for new foounts for indit wish to nom
AMC is not is). A nominat Unit holder.atees as the cd herein shallation.
ty, trust, boorney cannot shall not be ata of Hindu U
Nominee sund in that evhe Unit holdenor. Nominatany person d
aximum of thf each of thewhole numbeting the percg default optio
its stands rese the existing nits on their f the nominany obligation
d under the Shich in their payment to te estate of t
or account le
person jointlyts shall vest ine request for
olios / accouividuals in sinminate must s
n any way attion in respec The nominecase may be. not necessa
ody corporatenominate. Na trust other Undivided Fam
ubject to the vent, the namer. However,ion can also designated by
hree nomineee nominees shrs without ancentage of alon shall settle
scinded uponnomination. own behalftion, the nomto transfer th
Scheme is suopinion is suhe nominee(he deceased
evel and will b
y, the joint Un the event or nomination/
nts opened ngle holding wsign separate
ttempting to ct of the Unite(s) shall rece It is hereby crily acquire a
e, partnershiomination wthan a religiomily or a Powe
exchange come and addr in such casebe in favoury virtue of hi
es. In case of hould be indny decimals mllocation / she the claim eq
the redemptCancellation f singly or jomination shahe Units in fa
bject to existufficient, pros) of the sumUnit holder
be applicable
Unit holders mf death of all/cancellation
by individuawill be openely confirming
grant any rits does not creive the Unitclarified that any title or be
p firm, Kartaill be not alloous or charitaer of Attorne
ontrols in forress of the ges, the unit hr of the Centis office or a
multiple nomicated againsmaking a totalhare for eachqually among
tion of Units. of nominatioointly and wll stand rescvour of the n
ting laws. Theceed to effec
ms shall dischaand his/her/
e for investm
may together the joint Unof nominatio
ls especially ed without nog their non‐int
ghts other threate an inters only as an the nomineeeneficial inter
a of Hindu Uowed in a folble trust, socy holder.
rce from timeguardian of tolder(s) cannral Governmreligious or
minees, the pst their namel of 100 perceh of the nomgst all the nom
Every new non can be mad
who made thinded and thnominee(s).
e AMC shall, ct the paymearge the Mutu/their succes
ents in all
nominate it holders. on, even if
with sole omination. tention to
han those rest in the agent and s(s) under rest in the
Undivided io held on ciety, body
e to time. the minor not be the ent, State charitable
ercentage e and such ent. In the inees, the minees.
omination de only by e original he Mutual
subject to ent to the ual Fund / ssors/legal
Nomin
For unprovidnominrules aFund oheirs. Ijoint hall the the sobe det
ii. Preven
Please under
iii. Transf
The Mthe Scdeletioadditiorespecholdingtransfe
If a trathe AMopiniothe Un
TransmIf Unitthe Unappear
a. Lettb. Dea
mac. Ban
cand. KRA
alre
Transmis
The mem
a. Lett
nation in case
nits of the Sched by the Uation includinand bye‐laws of all liabilityIn case nominolder(s), the joint holdersle holder of Dermined by a
ntion of Mone
refer note onsection II ‐'Ho
fer and Trans
utual Fund whemes on anon of name frons / deletionct of deletiongs) as this iser.
ansferee becoMC shall, subjn is sufficientnits.
mission to sus are held bynits shall be r in the regist
ter from survath Certificatnager*, nk Account Dencelled chequA complied steady available
ssion in case
mbers of the H
ter Requestin
e of Units hel
heme(s) heldUnit holder tong any variatof the Depo
y towards thenation has besecurities wis, the securitiDP account, tan order of th
ey Launderin
n 'Preventionow to apply'.
mission of un
will be repurchn ongoing barom the folions of names w of names ws treated as
omes a holdeject to produt, proceed to
rviving unit hy more than otransmitted ter of Unit ho
viving unit holte in original
etails of the ne or bank statatus as obta
of HUF, due
HUF need to s
g for change
d in Electron
d in electronio the depostion, cancellaository. Payme estate of teen made forll be transmies will be trahe securities he competent
g and Know Y
n of Money La
nits:
hasing (subjecasis and heno of the Unit will not be alill not be apptransmission
r of the Unitsction of sucheffect the tra
holders in casone registerein favour of lders with the
lders to the For photocop
new first unitatement bearined from KR
to death of K
submit follow
of Karta,
nic (Demat) M
c (demat) foitory will be tion or substent to the nohe deceasedr DP account wtted to the sansmitted to twould be trat court.
Your Custom
aundering and
ct to completce the transholder is deellowed underplicable in can (transfer of
s by operatioh evidence anansfer, if the
se of death ofed Unit holdethe remainine Registrar) o
Fund / AMC repy duly nota
t holder alonging the accouRA agencies o
Karta:
wing documen
Mode
rm with the applicable t
titution of Noominee of th Unit holder with joint hourviving holdthe nominee.ansmitted to
er (KYC) requ
d Know Your
tion of Lock‐infer facility isemed as tranr any folio of se of death of units by op
n of law or und submissionintended tran
f one or moreer, then, uponng Holder(s) on production
equesting forarized or atte
g with attestaunt details anor their webs
nts for transm
Depository, tto the Units ominee(s) shahe sums shalland his/her lders, in caseder(s). Only in. In case nomthe account
uirements:
Customer (KY
n Period, if ans found redunsfer of Unitsthe Scheme.of a Unit holdperation of l
upon enforcemn of such docnsferee is oth
e unit holdern death of on(in the orde
n of the follow
r transmissionested by gaz
ation by a band account hoite of the surv
mission due to
the nominatiof the Scheall be governl discharge thlegal succes
e of death of an the event omination is notof legal heir(
YC) requirem
ny) and issuinndant. Any as. In view of t The said proder (in respelaw) of Units
ment of a pleuments, whicherwise eligib
rs: ne of the Unier in which twing docume
n of units, ette officer o
nk branch malders name.viving unit hold
o death of Ka
on details eme. Such ed by the he Mutual ssors/legal any of the f death of t made by s), as may
ents
ng units of addition / the same, ovisions in ct of joint s and not
edge, then ch in their ble to hold
it holders, he names nts:
or a bank
anager* or
ders, if not
rta:
b. Deaman
c. Dulyin th
d. Prooe. Indef. In ca
is anof a
• Notar• Notar• Notar
Transmis
Units shaholding)
a. Lettb. Dea
manc. Ban
banhold
d. KRAe. If th
nom
Transmis
If the Unholder, trepresen
a. Lettb. Dea
manc. Ban
cancd. Prooe. Indef. Indig. If th
the h. If th
• No• Leor
• Le * w
th Certificatenager*. y certified Bahe bank accouof of KRA ‐ KYemnity bond ase of no survn objection frny of the follo
rized copy of rized copy of rized copy of
ssion to regis
all be transm where the U
ter from claimth Certificatenager* k Account Dek branch manders name A ‐ KYC of the he transmissminee/s in the
ssion to claim
nit holder hasthe Units shantative(s) on
ter from claimath Certificatenager*, k Account Decelled chequeof of KRA ‐ KYemnity Bond vidual affidavhe transmissioclaimant/s whe transmissiootarised copyegal Heir Certr etter of Admi
In case of cewith his/ her f
e in original
nk certificateunt of the HUYC Compliancsigned by all viving co‐parrom any survowing manda
Settlement DDeed of PartiDecree of the
stered nomin
itted in favounit holder/s h
mant nomineee/s in origina
etails of the nager* or can
claimant/s, ion amount e specified fo
mant/s, wher
s not appointell be transmitproduction o
mant/s to thee/s in origina
etails of the ne bearing theYC Compliancfrom legal hevits from legaon amount is with the deceaon amount is y of Probatedtificate or Suc
nistration, in
ertification byfull signature
or photocop
e stating that UF e of the new the survivingceners or theiving membeatory docume
Deed, or ition, or e relevant com
nee/s in case
ur of the nomhave appoint
e/s to the Funal or photoco
new first unincelled chequ
is One Larmat.
e nominee is
ed a nomineetted in favourf the followin
Fund / AMC al or photoco
new first unit e account detace of the claimeir/s al heir/s below Onased unithold
One Lakh o Will, or ccession Cert
case of Intes
y bank manage, name, emp
py duly nota
the signatur
Karta. coparcenerse transmissionrs of the HUFents:
mpetent Cou
of death of S
minee (only uped a nominee
nd / AMC reqopy duly nota
t holder as pue or bank sta
akh or more
s not registere
e or in the casr of or as otheng documents
/ RTA requesopy duly not
holder alongails and accoumant/s
ne Lakh: any ader/s. or more: Any
ificate or Cla
tate Successi
ger, the doculoyee code, b
rized or atte
e and details
and new Karn amount is F, transmissio
rt.
Sole or All uni
pon death of ae upon produ
uesting for trarized or att
per specified atement bear
: Indemnity
ed, in case of
se where the erwise directes:
sting for transarized or att
g with attestaunt holders n
appropriate d
one of the d
imant's Certif
on.
ument shouldbank seal and
ested by gaze
of new Karta
rta One Lakh o
on will be effe
it holders:
all the Unit huction of the f
ransmission oested by gaz
format alongring the accou
duly signed
f death of Sol
nominee dieed by the Uni
smission of uested by gaz
ation by a banname,
ocument evid
ocuments me
ficate issued
d be certifiedcontact num
ette officer o
a have been
or more or whected only on
olders, in casfollowing doc
of units, zette officer
g with attestaunt details an
and execute
le or All unit
es before the it holder's leg
nits, zette officer
nk branch ma
dencing relat
entioned belo
by a compet
by the bankmber
or a bank
appended
here there n the basis
se of Joint cuments:
or a bank
ation by a d account
ed by the
holders:
Unit gal
or a bank
anager* or
tionship of
ow:
ent court,
k manager
iv.
a. D• Eachwithrede • OAn Obe w • SuchautoTrusReg In cmatSEB The
• iperi
• t
Isdad
N
a
b
U
Flpt
Tfr
Duration
Duration of thClose ‐ en
h closed‐endhout any actemption date
Open ‐ ended Open‐ended /wound up as
Close‐endh scheme(s) omatically bestee/ AMC/ Uulations, the
ase of Close‐turity date / fI (MF) Regula
Units of Close
if the Schemeiod of such co
the Unit hold
t may, howevsavings schedocumentaryafter the comdeceased Uni
Note:
a. WhereKRA‐KY
b. The lisseek s
Units held in
For units of thock‐in periodprovisions of to time.
The delivery form as may rules/regulati
of the Schem
he Scheme: nded Schemeed Scheme/ t by the unie of the Schem
Scheme(s): / Interval Schprovided in (b
ded Scheme(swill remain Ce converted iUnit holders. Scheme may
‐ended Schemfinal redempations.
e‐ended Sche
e Informationonversion; or
ers are provid
ver, be notedemes of they evidence to mpletion of onit holder.
e the units areYC, PAN, Ban
st of documenuch additiona
Electronic (D
he Scheme(s)d, if any) anSEBI (Deposi
instructions be required ions as may b
me/Winding u
(s): Plan will havit holder(s) rme/ Plan, the
heme has a peb) below.
s) with automClose ‐ endedinto an OpenThereafter, t
y be wound up
me(s), the Mution date int
eme/ Plan may
n Document (
ded with an o
d that in the e Fund, the the satisfactne year or an
e to be transmk details, inde
nts mentioneal documents
Demat) Mode
) held in electnd will be sutories and Pa
for transfer ofrom time tobe in force go
up
ve a maturityredeemed on units will be
erpetual life.
matic conversd for the perin‐ ended Schthe duration p as provided
utual Fund mo an Open‐en
y be converte
(SID) / Offer D
option to rede
event of deathnominee/ le
tion of the AMny time therea
mitted to a clemnity shoul
d above is nos, as it deems
e:
tronic (dematubject to thearticipants) R
of units will o time and trverning trans
y date / final n maturity dredeemed at
However in t
sion into Opeiod mentioneeme withoutof the Schem
d in (b) below
may convert tnded Scheme
ed into Open‐e
Document (O
eem their un
h of the Unit egal heir, suMC, will be aafter, from th
aimant who id be of the gu
ot exhaustive fit.
t) form, the Ue transmissioegulations, 1
have to be loransfer will besfer of securit
redemption date/final redt the Applicab
terms of SEBI
en‐ended Sched in the SID t any further me is perpetuw.
the Scheme/ e/ Plan and t
ended Schem
OD) of such Sc
its in full.
holder of opeubject to prble to redeemhe date of all
is a minor, vauardian of th
and the AMC
Units will be ton facility in996 as may b
odged with te effected inties in demate
date and widemption dable NAV.
(MF) Regula
heme upon mand subsequ reference frual. However
Plans under his shall be i
me,‐
cheme disclos
en‐ended equroduction of m the investmotment of Un
arious docume nominee.
C reserves the
transferable ( accordance be amended f
he DP in the accordance erialized form
ll be compulate. On mat
tions, the Sch
maturity: uently the Scrom the Mutr in terms of
the Schemen accordance
ses the optio
uity linked requisite
ment only nits to the
ents like
e right to
subject to with the from time
e requisite with such
m.
sorily and urity/final
heme may
heme will tual Fund/ SEBI (MF)
after the e with the
on and the
A Cl
Provroll the samProvwritrede
b. WA CloredemSEBI (i) A sa. onb. if sc. if S
Furthto M(Mut
Acco
(ii) Wcircu
a.
b.
Effec
On ashall
a. b. c.
ProceIn the
1.
ose‐ended Sc
vided that a Cover and all roll over, the
me has been fivided further,ting and the Ueem their hol
Winding Up: osed‐ended Smption of the(MF) Regulat
scheme of a Mn the happeniseventy five pSEBI so direct
her in case of inimum Numtual Funds) Re
rdingly, the S
Where a Schemmstances lea
to SEBI; a
in two dathe place
ct of Winding
nd from the :
Cease to cCease to cCease to i
edure and me event of the
The trusteby simpleperson / a
Provided the matur
The Trustbest inter
cheme shall b
Close ended Sother materie net assets aled with SEBI, that such roUnit holders wdings in full a
Scheme/ Plane Units unlesions.
Mutual Fund ng of any eveper cent of thes in the intere
non‐fulfillmember of Investegulations, 19
Scheme(s) sha
me is to be wding to the w
nd
ily newspapewhere the M
Up
date of the p
carry on any bcreate or canissue or redee
anner of wine Scheme bei
ee shall call a majority of Uagency to tak
that a meetinrity period of
ee or the perrests of the U
be fully redee
Scheme may al details of tand net asset . oll over will bewho do not oat net asset va
n shall be wss it is rolled‐
may be wounent which, in te Unit holdersest of the Un
ent of SEBI Cirors in Schem996 would be
all be wound
wound up puwinding up of t
rs having circMutual Fund is
publication of
business activcel Units in them Units in th
ding up: ing wound up
meeting of tUnit holders pke the steps fo
ng of the Unithe Scheme.
rson authorisnit holders of
emed at the e
be allowed tothe Scheme ivalue of the
e permitted oopt for the roalue based pr
wound up onover for a fu
nd up, after rethe opinion os of a Schemeit holders.
rcular SEBI/ IMe(s)/ Plans ofecome applica
up by followi
rsuant to subthe Scheme:
culation all ovs formed.
f the notice a
vities in respehe Scheme; he Scheme.
p, the AMC sh
the Unit holdepresent and vor winding up
it holders sha
sed as above,f that Scheme
nd of the ma
o be rolled ovncluding the Scheme, are
only in case ofoll over or havrice.
the expiry rther period
epaying the aof the Trusteepass a resolu
MD/CIR No. 1f Mutual Fundable automat
ing the guide
b clause (i) ab
ver India and
as stated abo
ect of the Sch
hall proceed a
ers of the Schvoting at the mp of the Schem
all not be nec
, shall disposee.
turity period
ver if the purplikely compo
e disclosed to
f those Unit hve not given
of duration under sub‐re
mount due toe, requires theution that the
10/22701/03 ds, the provisitically withou
lines laid dow
bove, the Tru
also in a vern
ove, the Trust
heme so woun
as follows:
heme to consmeeting for ame.
cessary if the
e off the asse
.
pose, period osition of asse the Unit hol
holders who ewritten conse
fixed in the egulation (4) o
o the Unit hole scheme to be Scheme be w
dated Decemions of Regulat any referen
wn by SEBI.
stee shall giv
nacular newsp
tee or the AM
nd up;
sider and passauthorising th
Scheme is w
ets of the Sch
and other terets immediateders and a co
express their cent shall be a
Scheme/ Plaof regulation
lders‐ be wound upwound up; or
mber 12, 2003ation 39(2) (cnce from SEBI.
ve notice disc
paper circulat
MC as the cas
s necessary rehe Trustee or
wound up at t
heme concern
rms of the ely before opy of the
consent in allowed to
an on the 33 of the
p; or r
3 relating c) of SEBI .
closing the
ting at
se maybe,
esolutions any other
the end of
ned in the
2.
3.
4.
Uncla
v
The Uby w(NBFAMCupondiscrthere
The provipledgconc
In caPledgrequ
The procedischargefor meetiproportiowinding u
On the cowinding udisposal oavailable f
Notwithstof half‐yethe Schem
After the Scheme h
aimed redem
SEBI has v
The unclamarket othree yeathis amouat the eneducationinvestors charged b
Pledge of Un
Units under tway of a pledgCs) or any o/Registrar win receipt of detion of the eof.
Pledgor will ides written ged, the Plederned Schem
ase of Units ge/Assignmenisite forms/fo
eeds of the s of such liabilng the expenn to their resup was taken.
ompletion of tup containingof assets of tfor distributio
tanding anytharly reports ame ceases to e
receipt of reave been com
mption and di
vide its circul
aimed redemr money marars from the dunt can be trand of the thirn. It should bthrough let
by the AMC fo
nits
he respectivege / charge inother Body Cll take note oduly completbank / Fl /
not be able authorisatiodgee will havme). Decision o
held in elecnt of the Uniormalities as
sale made in lities as are dnses connectespective inter
the winding ug particulars the Scheme on to the Unit
hing containeand annual reexist.
port referredmplied with, t
ividend amou
ar dated Nov
mption and drket instrumedue date shaansferred to rd year. The be specificalltters to takeor managing
e Scheme(s) (n favour of scCorporate foof such pledgeed form andNBFC or any
to redeem Un to the funve complete of the AMC sh
ctronic form,its of the Schmay be requi
pursuance oue and payabed with such rests in the as
up, the Trustesuch as circbefore windt holders and
ed herein, theeports shall c
d to in (2) abohe Scheme sh
unts:
ember 24, 20
dividend amoents only andll be paid at ta pool accouincome earnly noted thate their unclaunclaimed am
(subject to cocheduled banor raising loae (by marking requisite doother body
Units that arnd that the pauthority to hall be final in
, the rules oheme(s). Unitired by the De
of the above,ble under thewinding up, ssets of the S
ee shall forwacumstances leing up, expea certificate
e provisions ocontinue to be
ove, if SEBI ishall cease to e
000, asked M
ounts may bed the investothe prevailingnt and the inned on such t the AMC wimed amounmounts shall n
ompletion of ks, financial ans (subject g a lien etc.) / ocuments. Diconcerned a
re pledged upledge/lien credeem suchn all cases of
of Depositoryts held in eleepository.
, shall in thee Scheme andthe balance cheme as on
ard to SEBI aneading to thnses of the from the Aud
of SEBI (MF) Re applicable u
s satisfied thaexist.
utual Funds t
e deployed brs who claimg Net Asset Vnvestors can cfunds can bewould make nts. Further, not exceed 50
Lock‐in Periodinstitutions (Fto conditioncharge in its sbursement and the Mutu
ntil the entitcharge may bh Units (subjlien marking.
y applicable ctronic form
e first instanc after makingshall be paidthe date whe
nd the Unit he winding upScheme for wditors of the M
Regulations inuntil the wind
t all measure
to follow the f
by the mutuam these amouValue. After aclaim the ame used for tha continuousthe investm0 basis points
d, if any) mayFl), non‐bankns of the lenrecords. . Lieof such loanual Fund assu
ty to which tbe removed.ect to lock‐in.
for pledge can be pledg
ce be utilisedg appropriate to the Unit en the decisio
olders, a repop, the steps winding up, nMutual Fund.
n respect of dding up is com
es for winding
following gui
al funds in caunts during a period of thount at NAV he purpose os effort to rement manages.
y be offered aking finance cnding instituten shall be mas will be at tumes no resp
the Units are As long as n period, if a
will be applged by comp
d towards e provision holders in on for the
ort on the taken for net assets
disclosures mpleted or
g up of the
delines:
all money period of ree years, prevailing
of investor emind the ement fee
as security companies tion). The arked only the entire ponsibility
e pledged Units are any of the
icable for pleting the
vii.
On mdate unitspaid whosdate.
viii. S
The tempsuitasuspesize f/redeand tof th& Trpurch
1.
2.
3. Iw
4. Dt
5. I
6. Ia
7. D8.
In thUnitsmay or its
Invesprior
ix .Ri
Payment
maturity of thand proceed
s held in electon the matuse names app.
Suspension o
Mutual Fundporarily or indble investmeend purchasefurther may pemption eiththe Trustee Ce circumstanrustee may ahase/ redemp
When onethe assets
When, as Trustee apracticabl
n the event owithout which
During periodthe interests o
n case of nat
n the event oany of the CSC
During the peIf so directed
e above evens and/or distrbe rejected bs agents and p
stors are requr to the matur
ight to limit R
of Maturity P
he Scheme/reds will be paitronic form, trity date, at tpear on the R
of Purchase an
d at its sole definitely, if ent opportune of Units in tprove detrimeer temporariCompany. Theces and justifalso decide tption of Units
e or more stos of the Schem
a result of pond the AMC, le without be
of a breakdowh the value of
ds of extremeof the Unit ho
ural calamitie
of any force mCs.
eriod of Book by SEBI
ntualities, theribution of divby the Trusteepayment has
uested to notrity of the Sch
Redemption:
Proceeds:
espective Plaid to the Unithe units will the prevailingRegister of Un
nd / or Redem
discretion rein the opinioities are not the Scheme tental to the ely or indefinie approval frofication for thto temporarils, declaration
ock exchangesme are closed
olitical, econothe disposal oeing detrimen
wn in the meathe securitie
volatility of molders of the
es, strikes, rio
majeure or di
Closure.
e normal timvidend will noe, the AMC obeen receive
te that no reheme. Unit ho
an, the outstait holders, wbe extinguisg NAV on thanit holders on
mption of Un
eserves the on of the AMavailable for
temporarily oexisting unit hitely will be wom the Boardhe proposed aly suspend dn and distribut
s or markets,d otherwise th
omic or moneof the assets ntal to the inte
ans of commus of the Schem
markets, whicScheme(s).
ots and bandh
isaster that a
e taken, for ot be applicar their respeced.
demption/ reolders who w
anding Units ithout any fuhed with theat date. The mn the respecti
nits and Divid
right to suspC the generar deploymentor indefinitelyholders of thewith the priod of Directorsaction shall bdeterminationtion of divide
which providhan for ordin
etary events oof the Schemerests of the
unication usedme cannot be
ch in the opin
hs etc.
ffects the no
processing oble. Further active agents u
epurchase of wish to exit ma
shall be redeurther referene depository amaturity amove maturity d
dend Distribu
pend purchaal market cont of funds. Ty, if the AMC e Scheme. Hoor approval fr of AMC and e informed ton of NAV of end in any of t
de basis for vary holidays o
or any circumme is not reasoUnit holders.
d for the value accurately c
nion of the AM
ormal function
f requests foan order to puntil it has be
units shall beay do so thro
eemed at thence from theand the redemunt will be pdates, at the
tion
se and / or nditions are nhe AMC, alsoviews that inowever, the srom the Boarthe Trustee Co SEBI in advathe Schemethe following
aluation for aor trading is r
mstances outsonable, or wo.
ation of invescalculated.
MC are prejud
ning of the A
or purchase apurchase uniten confirmed
e allowed in ugh the Stock
e NAV of thee Unit holdermption amouaid to the Unprevailing NA
redemption not favourablo reserves thncreasing the suspension ofrd of DirectorCompany giviance. Furthere(s), and cong events:
a substantial restricted.
side the contould not reas
stments of the
dicial or detri
MC or the Re
nd / or redes is not bindid in writing by
a Close endek Exchange m
e maturity rs. For the unt will be nit holders AV on that
of Units, le and /or he right to Scheme's f purchase rs of AMC ing details r, the AMC nsequently
portion of
trol of the onably be
e Scheme,
imental to
egistrar or
mption of ng on and y the AMC
ed Scheme mode
The Ain vieredeePlan/
Unusmarksituadiscrsingle
Any Ufor Rbasissuch Day, being
C
AMC may, in ew the unforemed on any/ Option or su
sual market ckets, natural ctions, where etion, to limie Business Da
Units which bRedemption ts of the AppliccircumstanceRedemption g carried forw
C. Generali. Power
The Treffect the te
ii. Power
If any diffinconsistepurpose o
iii. Schem
In accordvary or aapplicablsame shaholder obinding.
iv. Under
SubjecobtainRules on act
The cathe unSchem
consultation reseen circumy Business dayuch other per
conditions incalamities, coit considers tit Redemptioay.
by virtue of tho the next Bucable NAV (sues, to the extwill be made
ward for Rede
Informatio
to Make Rule
rustee may, fto the provisrms and rules
r to Remove D
ficulty arises ent with suchof removing s
me(s) to be bi
dance with analter all or anle, after obtaall be bindingor such perso
rwriting by th
ct to the Regns a certificatand Securitietivities as und
apital adequanderwriting ome.
with the Trumstances/unuy, to 5% of thrcentage as th
nclude, but nommunicationthat such susns with respe
hese limitatiousiness Day, ubject to the tent multiple e on pro‐rata emption to th
on
es
from time to sions of the Ss that may be
Difficulties
in giving effeh provisions, uch difficulty
inding on Inv
nd subject to ny of the featining the priog on each Uniton(s) express
he Fund
gulations, thee of registrates and Exchanderwriters.
acy norms foobligation of t
stee, in the lausual markethe total numbhe AMC may
ot limited ton breakdownpension is neect to any sin
ons are not rein order of reprevailing loaRedemptionbasis, based he next Busine
time, prescriScheme(s) wite framed from
ect to the prowhich appea
y.
vestors/Unith
the Regulatiotures, and teor approval ot holder and sly had agree
e Scheme mation in terms nge Board of I
r the purposethe Scheme s
arger interestt conditions, ber of Units tdetermine.
o, extreme vos, internal sysecessary. In adngle Investor/
edeemed on aeceipt. Redemad) of the Bus requests areon the size ofess Day(s).
be such termth power to tm time to tim
ovisions of thar to them to
holders
ons, the Trusterms and conof SEBI and thany person(sed that such
ay enter intoof the SecuriIndia (Underw
e of underwrshall not at a
t of the Unit limit the tothen issued an
olatility of thstem breakdoddition, the T/Unitholder t
a particular Bmptions so casiness Day one received at f each Redem
ms and make sthe AMC to ae.
he Scheme(s)o be necessa
tee may, fromnditions of thhe Unit holde) claiming thrh features, te
o underwritinties and Exchwriters) Regu
riting shall beany time exce
holders of thtal number ond outstandin
he stock, fixeowns, strikes,Trustee reservto an amount
Business Day arried forwarn which Redemthe same tim
mption reques
such rules foadd to, alter
), the Trusteeary, desirable
m time to time Scheme(s) ers of the Schrough or underms and co
ng agreementhange Board olations, 1993
e the net asseeed the total
e Scheme anof Units whicng under any
ed income an, bandhs, riotves the right,t upto 10 c
will be carried will be pricmption is mame on a singlest, the balanc
r the purposeor amend all
e may do anye or expedien
me, add to or / Fund, and eme(s) / Funer them as if nditions sho
ts only after of India (Und, authorising
ets of the Schnet asset va
nd keeping h may be Scheme /
nd money ts or other in its sole crore on a
d forward ced on the de. Under e Business ce amount
e of giving or any of
ything not nt, for the
otherwise wherever
nd and the each Unit uld be so
the Fund erwriters) it to carry
heme and lue of the
v. Stock L
SubjecLendinat a nreturn
Such ireasonaccordengagexceedguaranwith t
As witfailureagreemSuch fsecurithe poapprovlead toexpos
If perborrowtime tperiodexpiry
vi. Borro
Underfor thUnithoof thepermitthe Trentity such bin a co
vii. Mast
As an assignname the mnumb
Lending and b
ct to the SEBng. Stock Lennegotiated coned by the bo
investments nable returnsdance with the in Stock Led in value, tntee, governhe approved
th other modee of the othement enteredfailure can reties, the inabossible loss ofved intermedo temporary ure in stock le
rmitted by Swing. The Schto time. Stocd of time, at ay of the stipul
wing by the M
r the Regulatihe purpose olders. Furthe Scheme andtted by the Rustee from aat market reborrowings, ifost, which wo
ter Account /
investor friened for one uof the unit hoode of holdiner of Units al
borrowing by
I Regulationsding means tompensation orrower on th
shall be mads commensuhe investmenending. The lthe value ofment securitintermediary
es of extensioer party, in td into betweeesult in the bility of the apf any corporadiary. The Milliquidity. Thending activit
SEBI under eheme may alsk borrowing a negotiated ated period.
Mutual Fund
ions, the Funof repurchaser, as per thed the durationRegulations frny of its Sponlated rates pf required, wiould be dealt w
Folio:
ndly measureunit holder holder/s and ong match. In lotted/ redee
y the Mutual
s as applicablthe lending ofin order to ee expiry of th
de when in vrate with risnt objective oending transf the securitiies or certificy.
ons of credit, this case theen the lenderpossible losspproved interate benefits autual Fund mhe AMC with ties as deeme
extant regulaso enter into means the bcompensatio
d is allowed tse, redemptie Regulations,n of such borrom time to tnsors/Associarevailing at thill be as deterwith in consu
, unless otheaving holdingorder of unit hsuch a case,emed will be
Fund
e from time f stock to anoenhance retuhe stipulated
view of the Fks associatedof the Schemactions may ies lent. Thecate of depo
there are rise approved inr of securitiess of rights tormediary to raccruing to thmay not be aa view to enhed fit from tim
ations/guidel'Repo/Reversborrowing of on. The securi
to borrow to ion of Units, the Fund shrrowing shall time. The Funate/Group comhe time and armined by thultation with t
rwise requestgs in differenholders (in ca, one consolidreflected in h
to time, the other person urns of the pperiod.
Fund Managed with such e. The AMC wrequire proce collateral csits or other
ks inherent tontermediary, i.e. the scheo the collatereturn the seche lender fromble to sell suhance the retme to time.
ines, the scse Repo' transtock from aities borrowe
meet the tems or paymenall not borrownot exceed and may raisempanies/Comapplicable to e Trustee. Suthe Trustee.
ted by the Unnt Scheme(s) ase of more thdated Accounhis or her acc
Mutual Fundor entity for ortfolio. The
er, such invesinvestments will adhere tourement of ccan be in thsecurities as
o stock lendinto comply wme and the aral put up bycurities deposm the securituch lent out sturns of the S
cheme may sactions, as mnother persoed will be retu
mporary liquint of interesw more thana period of six such borrowmmercial Bansimilar borrouch borrowing
nit holder, onof the Mutuhan one unit nt Statementcount and a s
d may, engaga fixed periosecurities le
stments couland shall beo strict limitscollateral whe form of cs may be agr
ng, including with the termapproved intey the borrowsited by the leties depositedsecurities andSchemes, may
also engagemay be permion or entity furned to the
dity needs ofst or dividen 20% of the Nx months or awings after apks in India or owings. The segs, if raised, m
ne Folio Numbual Fund, proholder), nomt will be provtatement to t
e in Stock od of time, ent will be
d provide e made in s should it ich would ash, bank reed upon
the risk of ms of the ermediary. wer of the ender and d with the d this can y increase
in stock itted from for a fixed lender on
f the Fund nd to the Net Assets as may be pproval by any other ecurity for may result
ber will be ovided the minees and vided. The this effect
will bemultipwith id
viii. Inves
Upon autheto upd
Prior corresprescr
The amajorincludthe ab
The Mprior taddresprocesterminThe st
List ofa. Seb. Nc. Sia. P
ix. Chang
Whenfollow
a. Rb. N
inc. N
Thm
d. Thgu••
e. Bth
f. P
e issued to thple applicatiodentical mod
stments of th
attaining mnticated by hdate its record
to minor attspondence adribed docume
ccount shall ity and the ing fresh regbove applicati
Mutual Fund sto the minor ss advising thssed beyond nate the stantanding instru
f standard doervice Requesew Bank manignature atteroof of the KR
ge in Guardia
there is a cwing documen
equest lettero Objection Ln case the exiotarized copyhe attestatiomanager of a she new guaruardian. • In case of• In case ofank attestatiohe new guardroof of the KR
he Unit holdens and / or sue of holding a
he minor inve
majority, a mhis banker as ds and permi
taining majoddress advisinents to chang
be frozen foguardian wiistration of STion form alon
hall continueattaining mahe guardian athe date of tding instructuction shall be
ocuments to cst form, duly ndate where station of theRA complied
an:
hange in guants are requir
from the newLetter (NoC) osting guardiay or attested on may also scheduled bardian must b
f natural guarf court appoinon attesting tdian is registeRA complied
r. The AMC rubsequent puand address.
estor on attai
minor has towell as his net the erstwhi
rity, the Mung the guarde the status o
or operation ll not be abTP SIP and SWng with the pr
e to process thajority and wand the minothe minor attion is receivee terminated
change accoufilled and conaccount chane major by a mstatus as obta
ardian either ed to be subm
w guardian,or Consent Len is alive. copy of the Dbe done by nk. e a natural g
rdian, a documnted legal guathe signaturered as the gustatus as obta
reserves the rurchases und
ining majorit
o write to tew bank manle minor to o
tual Fund mian and the mof the accoun
by the guarble undertakeWP after the rescribed doc
he existing still send an ador that the extaining majored by the Mutwithin 30 da
unt status fromntaining detanged from mimanager of a ained from K
due to mutumitted prior t
etter from ex
Death Certifica special ex
guardian (i.e
ment evidencardian, suppoe of the newuardian. ained from K
right to assigner a new app
ty:
the fund, givdate, PAN deperate the ac
may send an minor to subnt to "major".
rdian on the e any financdate of the mcuments are r
tanding instrudvance noticexisting standrity till the timtual Fund aloys from the d
m minor to mils like name nor to major,scheduled baRA agencies o
ual consent oto registering
isting guardia
cate of the deecutive magi
. father or m
cing the relatirting documeguardian in a
RA agencies o
n the existingplication form
ving his speetails, in ordeccount in his o
advance nomit an applic
day the mincial and nonminor attaininreceived by th
uctions like SIe to the regising instructiome a instructong with the pdate of receiv
major as are foof major, foli, ank / Bank Ceor their webs
or demise of the new gua
an or Court O
eceased guardistrate, AMC
mother) or a
ionship shall entary evidena bank accou
or their webs
g Folio Numbm by an existin
ecimen signaer to facilitateown right.
tice to the rcation form a
nor attains th‐financial trang majority tilhe Mutual Fu
P, STP, SWP rstered corresons will contition from theprescribed doving the instru
ollows: io numbers, e
ertificate / Letite of the Ma
existing guardian:
Order for new
dian, where aauthorised
court appoin
be obtained.nce shall be obnt of the min
ite.
er against ng holder,
ture duly e the Fund
registered along with
he age of ansactions ll the time nd.
registered pondence nue to be e major to ocuments. uction.
etc.
tter, ajor.
rdian, the
guardian,
applicable. official or
nted legal
btained. nor where
x. Inter‐S
Transfonly if
a. SuExptra
b. Thwh
xi. Assoc
The Aand / establpositioaforesbasis Regulacompa
The Scthe lim
Servicadviceto SEB
• an• an
or• th
of
Names of
Sr No. Gro
1 Ind
2 Mo
3 Ind
4 Ind
5 Ind
6 Ind
7 Ind
8 Ind
9 Ind
10 IIFL
11 IIFL
12 IIFL
Scheme Trans
fers of investf ‐
ch transfers aplanation: "sansactions. e securities shich such tran
ciate Transact
MC may, fromor enter intished at a laton to providsaid companito the exteations), afteranies and the
cheme(s) of tmits under the
es of the gre etc. FurtherBI Regulations
ny unlisted seny security issr he listed secuf the Scheme
f associates o
oup Companyia Infoline Invoneyline Credia Infoline Coia Infoline Maia Infoline Insia Infoline Insia Infoline Hoia Infoline Meia Infoline DisL Capital LimitL Wealth ManL Energy Limit
sfer of Invest
ments from o
are done at thspot basis"
so transferrednsfer has bee
tions:
m time to timto transactioter date in cae the requisies (includingnt permittedr an evaluate services to b
he Fund may e Regulations
oup /associar, while dealins pursuant to
ecurity of an asued by way
rities of grou.
of the Sponso
y & Associatevestment Servit Limited ommodities Liarketing Servsurance Brokesurance Serviousing Financedia and Resestribution Coted nagement Limted
tments:
one scheme t
he prevailing shall have s
d shall be in n made.
me, for the puns with the se such an assite services g its employed under the tion of the be provided b
invest in thes.
ate companieng with the awhich, Schem
associate or gof private pla
up companies
ors or the Ass
es vices Limited
imited ices Limiteders Limited ces Ltd. e Ltd.earch Servicempany Limite
mited
to another sc
market pricesame meani
conformity w
urpose of conSponsors, itsssociate compto the AMCees or relativapplicable lcompetitiven
by them.
securities of
es may includaforementionme(s) of IIFL M
group companacement by a
s of the Spon
et Managem
(IIISL)
es Limited ed
cheme in the
e for quoted ining as specif
with the inve
nducting its ns associates/ pany (includin. The AMC wves) on commaws / rules ness of the
f the group co
de broking, ded associate Mutual Fund
ny of the Spoan associate o
sors which is
ment Company
same mutua
nstruments oified by stoc
stment objec
normal businesubsidiaries,
ng its employwill conduct mercial terms/ regulationpricing offe
ompanies of t
distribution, companies, tshall not mak
nsors; or or group com
s in excess of
y as on date
l fund shall b
on spot basis.ck exchange
ctive of the s
ess, use the s, establishedyees or relativits business s and on armns (including ered by the
the Sponsors
investment athe Scheme wke any investm
mpany of the
f 25% of the n
of SAI are as
be allowed
for spot
scheme to
services of or to be ves) is in a with the
m's length the SEBI associate
subject to
and other will adhere ment in:
Sponsors;
net assets
follows:
Deali
1. In T
smw
2. U
C II
sA
3. STss
4. BIId
13 IIFL
14 Ind
15 Ind
16 IIFL
17 IIFL
18 Fine
19 IIFL
20 Ind
21 IIFL
22 IIFL
23 IIFL
24 IIFL
25 IIFL
26 IIFL
27 IIFL
28 IIFL
29 IIFL
30 IIFL
31 IIFL
32 Ind
33 Gam34 Jai 35 Nat36 Shr
37 Me
ings with ass
nvestment in The AMC will,uch investmemade under twill be subject
Underwriting Companies: IFL Mutual Fuecurities madAppropriate d
Subscription bThe Scheme(subscriptions ubscriptions
Brokerage andIFL Mutual Fudistribution se
L Realty Limiteian Infoline Tia Infoline AsL (Thane) PrivL Trustee Servest Wealth ML Alternate Asia Infoline CoL (Asia) Pte. LiL Capital Pte. L Securities PtL Inc L Private WeaL Wealth (UK)L Securities CeL Capital CeyloL Private WeaL Private WeaL Private Weaia Infoline Lim
mmon InfrastPrakash Assotional Thermairam City Uni
liora Asset Re
ociates comp
Group Comp, before inveents, the critehe Scheme. It to the limits
obligations
und under itsde by any of isclosures in
by the Schems) of IIFL Mushall be in acshall be made
d Commissiound may utilervices.
ed Trustee Compset Managemate Limited vices Limited Managers Pvt sset Advisors ommodities Dimited Limited te. Limited
lth (Mauritiu Limited eylon (Pvt) Ltdon Ltd lth Hong Konlth Managemlth (Suisse) SAmited
tructure Projeciates Ltd (wal Power Comion Finance Lt
econstruction
panies
panies of the esting in the seria for the evnvestments us under the Re
undertaken
s Scheme(s) mthe associaterelation to th
me(s) in issuestual Fund maccordance wie as required
n paid to assise the servic
pany Limitedment Compan
Ltd Ltd.
DMCC
s) Ltd
d
ng Limited ment (Dubai) LA
ects Ltd (w.e.f.e.f Feb 14, 2mpany (w.e.f Ftd. (w.e.f Oct
n Company Lt
Sponsor andsecurities of valuation beiunder the Schegulations.
by the Sch
may enter inte companies he same, shal
s lead managay subscribe th the applic by the SEBI R
ociates / relaces of the Sp
ny Limited
Limited
f Nov 11, 201012) Feb 28, 2012)tober 31,2012
td. (w.e.f Feb
d the AMC the group cong the same heme in the s
heme(s) of t
to underwritiin accordancl be made, as
ged by the assto issues leaable regulatoRegulations.
ated parties/ ponsor / asso
11)
) 2)
25, 2012)
ompanies of tas is appliedecurities of t
he Fund wit
ng contracts ce with the as required by
sociate compad managed ory requireme
group compaociate compa
the Sponsor ad to other simhe group com
th respect to
with respect applicable regthe SEBI Reg
panies: by the assocents. Disclosu
anies of sponanies for brok
and the AMCmilar investmempanies of th
o issues of
to any publicgulatory requulations.
ciate companures pertainin
nsor/ AMC: king and / or
C, evaluate ents to be e Sponsor
Associate
c issues of uirements.
nies. Such ng to such
r sale and
AssoTrans
S
IIFL
IIFL
IIFL OppFun
IIFL OppFun
IIFL
IIFL
@Ind Tran
Sche
*** T
ciate Transacsaction in Sec
Scheme whichTransacted
Nifty ETF
Nifty ETF
Divideportunities Ind
Divideportunities Ind
FMP Series 6
FMP Series 6
dicates less tha
nsactions do
eme in which TIIFL
IIFL Div Op
Transactions
ctions (for pecurities of As
h
Asswhotransa
JaiprakAssocia
NTPC L
end dex
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end dex
India In
6 India Finance
6 India HousinLtd
n 0.01 Crores.
ne by Assoc
Transaction DoNifty ETF
p Index Fund
reported by
eriod *April 0ssociate(s) by
sociate in se security action done
kash ates Ltd
Ltd.
Ltd.
nfoline Ltd.
Infolinee Ltd
Infolineng Finance
ciate(s) in Sc
one At
***
stock exchan
01, 2012 to My IIFL Mutual
Purc
0.02
0.16
2.89
0.08
e 15.03
e e
10.02
chemes of IIF
Associate transacted India Infolin
India Infolin
nge
March 31, 2013Fund: (figure
hase
0
0
0
0
0
0
FL Mutual F
which S
ne Ltd.
ne Ltd.
3) es ‐ in Rs. Cro
Sale
0.11
0.26
0.09
0.09
0.00
0.00
und: (figure
ubscription 8.20
39.21
re)
Ty
es ‐ in Rs. Cro
Redemption10.39
0.00
ype of Securit
Equity
Equity
Equity
Equity
Debt
Debt
ore)
ty
Secu
Aswho
(CIndi
Indi
Indi
InFin
Comm
A
Com
In
IMan
urities Transssociate with om transaction
done ounterparty) ia Infoline Ltd
ia Infoline Ltd
ia Infoline Ltd
ndia Infoline ance Limited
mission paid$
Associate to whom
mmission paid
ndia Infoline Limited
IFL Wealth nagement Ltd
actions with
n Scheme in
transad IIFL FM
d IIFL FM
d IIFL FM
IIFL FM
to Associate(s
d
NaturAssociaRelat
Assoc
d Assoc
h Associate(
n which acted P Sr‐3
2.4
P Sr‐1 1.4
P Sr‐6
25
P Sr‐6 38
s) for distributi
re of tion / tion
Bciate
ciate
s) by IIFL M
Purchase
45
43
.05
.19
ion of units (fig
Business G
Amount of Business given 24.6
19.78
utual Fund a
Sa0.
0.
0.
0.
gures in Rs. Cr
Given to Associ
% of totareceived
Fu65
50.9
40.9
as a Counter
ale T00
00
00
00
rore):
iate
l business d by the und
C
96%
90%
rparty: (figu
Type of SecuriCertificate o
Deposit
Certificate oDeposit
Debt
Debt
Commission P
Amount of Commission pa
**
0.03
0.03
ures‐in Rs.Cr
ty f
f
Paid to Associa
aid
% of tocommisspaid t
distribut
49.28
45.96
rore)
ate tal sion o tors
%
%
Brok
Awho
Othe
A
xii. D
TA(e••••••••
•
xiii. IROd Inin
Aeu IIISM
kerage paid
Associate to om Brokerage
Paid
er Payments
Associate to w
IIFL Wealth
Documents AvThe following Annex, Kamalexcluding Sat• Memoran• Investmen• Trust Deed• Mutual Fu• Agreemen• Agreemen• Consent o• Securities
thereto. • Indian Tru
Investor Servnvestor can Registrar for Officer. Somedocuments.
n order to pnformation o
All grievancesendeavour toup with the Re
nvestors can ndia Infoline IFL Centre, 3r
Senapati BapaMumbai‐400
to Associate
e Natur
AssociaRelat
s made to As
hom payment
Management
vailable for Indocuments wla City, Senaturdays, Sunddum and Artint Managemed and amendund Registratint between thnt with Registf Auditors to and Exchang
sts Act, 1882
vices and Invapproach thredressal of e service requ
rotect confidf the investor
s will be forw handle transegistrar to en
contact the IAsset Managrd floor Annexat Marg, Lowe013
e(s) for carry
re of tion / tion
V
ssociate (fig
t made N
Ltd
MP
nspection will be availabpati Bapat Mdays and publicles of Assocent Agreemenments thereton Certificatehe Mutual Funrar and Shareact in the sai
ge Board of In
.
vestor Grievane Customer their Grieva
uests can be p
entiality of ir for verificat
warded to thsactions efficnsure timely r
nvestor Relatgement Compx, Kamala Cityer Parel,
ying out sec
Value of TransA
Amount
N
gures in Rs. C
Nature of Paym
Marketing, SalePromotion rela
expenses
ble for inspecMarg, Lower ic holidays):iation of the nt to, if any e nd and the Cue Transfer Agd capacity ndia (Mutual F
nces RedressService Centances. The Aprocessed on
nformation, tion of the inv
he Registrar, iently and reredressal and
tions Officer opany Limitedy,
ondary mar
saction done tAssociate
% of totatransacti
Fu
IL
Crore)
ment
es & ated
ction at the oParel, Mumb
AMC
ustodian ents
Funds) Regula
sal Mechanismtres (CSCs) oAMC has desily upon recei
the customervestor's ident
if required, fsolve investo prompt inve
of the AMC a
rket transact
hrough
al value of on of the und
Amount
NIL
ffice of the Mbai‐400 013
ations, 1996 a
m f AMC or Reignated Mr. ipt of a writte
r service repity.
for necessaryor grievances stor service.
s per the belo
tions (figure
Brokerage Pa
Amount
Mutual Fund aduring busin
and amendm
egistrar or anAshutosh Naen request wi
resentatives
y action. Thepromptly and
ow given deta
es in Rs. Cror
aid to Associat% of tobrokerapaid by
Fund
at, IIFL Centreess hours on
ents from tim
ny of the Braik as Investoth required s
may require
AMC will atd will be clos
ails:
re):
e tal age the d
e, 3rd floor n any day
me to time
anches of or Service supporting
e personal
t all times sely follow
PTE
Fa
Complaint Code
I A ND
I B Ip
I C NR
I D IpR
II A NSAC
II B DS
II C NRS
III A Wb
III B Ub
III C DS
III D Wc
III E NcPn
IV O
aI
bCRUR
Notw(Mut
Phone: 022‐42Toll Free: 180E‐mail: service
For any grievapproach eith
Type of Comp
Non receipt of Dividend on Unnterest on delapayment of DivNon receipt of Redemption Pronterest on delapayment of Redemption Non receipt of Statement of Account/Unit Certificate Discrepancy in Statement of AcNon receipt of AReport/AbridgeSummary Wrong switch between SchemUnauthorized swbetween SchemDeviation from Scheme attributWrong or excescharges/load Non updation ochanges viz. addPAN, bank detanomination, etcOthers
a. Correction onvestor Informb. Non Receipt Cheque pertainRefund of FractUnits / NFO NIGRefunds Total
withstanding tual Funds) R
249 9000 0 ‐200‐ 2267 [email protected]
vances with rher the stock
plaint# (a) Ncompend
tbegiof th
its ayed idend
oceeds ayed
ccount Annual ed
mes witch mes
tes ss
of dress, ils, c
f ation of ing to ional GO
anything coegulations, 1
m
respect to trabroker or the
No. of plaints ding at the inning he year
(b) NComprecedurin
ye
2
1
4
4
ontained in t1996 and the
ansactions the investor grie
No. of plaints eived ng the ear
Withn 30days
23 23
2 2
1 1
10 10
5 5
1 1
4 4
41 41
this Statemeguidelines th
hrough BSE aevance cell of
Resolvedi s
30‐60 days
60180day
ent of Additihere under sh
and/ or NSE, f the respectiv
Action on (a
A‐0 ys
Beyond 180 days
ional Informhall be applic
the Investorve stock exch
a) and (b) Non
Actionable *
0‐3mon
s
ation, the pable.
rs/Unit Holdehange.
Pendi3 nth
3‐6 months
provisions of
ers should
ing 6‐9 months
9‐12month
the SEBI
hs
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