key information memorandum cum application form - Rrfinance.com

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the bank account holders name/s, investor should attach bank pass bookcopy/bank statement/bank letter to substantiate that the first unit holder isone of the joint holders of the bank account. Where a payment is through aDD, a bank certification of bank account and account holders name of the bankaccount used for DD issuance should be attached, in the required format.*Third Party Payment: When a payment is from a bank account other than thatof the beneficiary investor, the same is referred to as a “Third Party Payment”.It is further clarified that In case of mutual fund subscriptions, the first unitholder is considered as the beneficiary investor, even if there are joint unitholders. In case of payments from a bank account jointly held, the first holderof the mutual fund subscription has to be one of the joint holders of the bankaccount from which the payment is made.In specific exceptional situations where Third Party payment is permitted like(i). Payment by Parents / Grand-Parents / Related persons on behalf of a minor(other than registered guardian) in consideration of natural love and affectionor as gift for value not exceeding Rs 50,000 for each purchase, (ii). Payment byan Employer on behalf of Employee under Systematic Investment Plans/lumpsum/one-time subscription through Payroll deductions or (iii). Custodian onbehalf of an FII or a client. (iv) Payment by Asset Management Company to aDistributor empanelled with it on account of commission/incentive etc. in theform of the Mutual Fund Units of the Funds managed by such AMC throughSystematic Investment Plans or lump sum / one-time subscription, subject tocompliance with SEBI Regulations and Guidelines issued by AMFI, from time totime. Investors submitting their applications through the above mentioned‘exceptional situations’ are required to comply with the following, withoutwhich applications for subscriptions for units will be rejected /not processed/refunded. Mandatory KYC for all investor (guardian in case of minor) and theperson making the payment i.e. third party. In order for an application to beconsidered as valid, investors and the person making the payment should attachtheir valid KYC to the application form irrespective of amount. Along withsubmission of a separate ‘Third Party Payment Declaration Form’ from investor(guardian in case of minor) and person making the payment i.e. third party. Thesaid Declaration form shall, inter allia, contain the details of bank account fromwhich the payment is made and the relationship with the investor(s). ‘Investorsare advised to visit www.dspblacrock.com > Knowledge Centre for more details,including declaration format or approach any of the offices of the fund. TheAMC reserves a right to reject the transaction or call for additional details, ifpayment bank account and other details are not mentioned on the form and/ordo not match with payment instrument and/or necessary documents anddeclaration, as applicable to respective investors and transactions, are notattached or are insufficient. In case the funds are transferred to the mutualfund account prior to the application rejection, then amount transferred maynot be refunded or redeemed unless the investor establishes KYC withadditional documentation.Date: January 30, 201310
DSP BLACKROCKAPPLICATION FORMPlease read instructions before filling this FormOpens:Closes:Distributor Name and ARN Sub Broker CodeEmployee Unique ID. No. (EUIN)(Refer note below)For Office use onlyDistributorContact No:1. TRANSACTION CHARGES (Please refer instruction 1 and tick any one)Applicable for transactions routed through a distributor who has ‘opted in’ for transaction charges.I am a First Time Investor in Mutual Fund Industry.(Rs 150 will be deducted.)2. FIRST APPLICANT’S DETAILSClose Ended Income SchemeInvestors should mention the EUIN of the person who has advised the investor. If left blank, the fund will assume following declaration by the investor “I/We hereby confirm that the EUIN box has beenintentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the employee/relationship manager/sales person of the above distributor or notwithstandingthe advice of in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor and the distributor has not charged any advisory fees on this transaction”.Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.I am an Existing Investor in Mutual Fund Industry.(Rs 100 will be deducted.)Name of First Applicant (Should match with PAN Card) Gender Male Female Title Mr. Ms. M/sExisting Folio NumberDate of Birth(Mandatory for minor)PAN(1st Applicant / Guardian)EncloseD D M M Y Y Y YKYC AcknowledgementName of Guardian if minor / Contact Person for non-individuals / PoA Holder name:For Investments “On behalf of Minor”#( Attach Mandatory Documents as per instructions).Proof of DoBattached #Birth Certificate School Certificate / Mark sheetPassport Any other …………….…..................…….#Guardian named below is : Father Mother Court AppointedPoA PAN*KYC*Correspondence Address*PoA PAN & KYC is mandatoryLandmarkCityPin Code(Mandatory)Status of Sole/1st Applicant (Please tick ) Resident Individual On Behalf Of Minor HUF Sole Proprietorship NRI (Repatriable)NRI (Non-Repatriable) LLP Partnership Firm Company AOP/BOI Body Corporate Trust Society FII FOF - MF schemes Provident FundStateSuperannuation / Pension Fund Gratuity Fund Bank / FI Government Body Insurance Companies Others(Please specify)DSPBR eServicesDSPBR eSMSEmail ID(in capital)Mobile+91STD Code Tel. (Off) Tel. (Resi.)FaxDSPBR OnlinePIN (Please tick )NEWYes, I wish to have a PIN for internet / telephone transactions and agree to terms and conditions of PIN Issuance andUsage as available in SID/SAI and www.dspblackrock.comEmail ID, Date of Birth, Mobile Number, PAN are mandatory details for issuance of PIN and Online Facility.3. JOINT APPLICANTS’ DETAILSMode of Holding (Please tick ) Joint (Default) Anyone or Survivor SingleName of Second Applicant (Should match with PAN Card) Title Mr. Ms. M/sPAN (2nd applicant )Name of Third Applicant (Should match with PAN Card)EncloseKYC AcknowledgementTitle Mr. Ms. M/sPAN (3rd applicant )EncloseKYC AcknowledgementACKNOWLEDGEMENT SLIP (To be filled in by the investor)Received, subject to realisation, verification and conditions, an application for purchase of Units as mentioned in the application form.DSP BLACKROCK MUTUAL FUNDApplication No.FromCheque no. Date Amount Scheme
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Page 5 and 6: Risk Management Strategies Risk Ris
Page 7 and 8: Applicable NAV forrepurchaseDespatc
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Page 13 and 14: INSTRUCTIONSThese instructions form
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