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Date Created: 12/21/15
Reliance Fixed Horizon Key Information Memorandum Cum Application Form Fund - XXIII - Series 12 Please refer complete details on all pages and scheme description/details while applying.A Close Ended Income Scheme) App. no. NFO Opening Date : June 05, 2013 11th floor & 12th floor, One Indiabulls Centre, Tower 1, Jupiter Mills Compound, 841, Senapati Bapat Marg, Elphinstone Road, Mumbai NFO Closing Date : June 12, 2013 TO BE FILLED IN CAPITAL LETTERS. Pl. use one box for each letter, leaving one box blank between two words. Please tick whichever is Tenure : 1110 Days eXIStIng FolIo no. FHFXXIII12-00000068 Broker / Agent Code Sub Broker / Sub Agent ARN CodEmployee Unique Identification NumbeSub Broker / Sub Agent CodDate and Time of Receipt Registrar Serial No. ARN-25682 E044267 “I/we hereby confirm that the eUIn box has been intentionally 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 notwithstanding the 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. TRANSACTION CHARGES (Please tick any one of the below. Refer Instruction No. 26) I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS I AM AN EXISTING INVESTOR IN MUTUAL FUNDS OR Rs. 150 will be deducted as transaction charge for per purchase of Rs. 100 will be deducted as transaction charge for per Rs. 10,000 and more purchase of Rs. 10,000 and more Unitholding option - Demat Mode Physical Mode demAt AccoUnt detAIlS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the Depository Participant. Ref. Instruction No.21) Demat Account details are compulsory if demat mode is opted above. national Depository central Depository Securities participant Name __________________________________________ depository participant Name __________________________________ depository Securities DP ID No. I N Target ID No. limited Beneficiary limited Account No. APPlIcAnt InFoRmAtIon mode oF HoldIng occUPAtIon StAtUS IndIVIdUAl StAtUS non-IndIVIdUAl Single Business Professional Service 1st Applicant Resident Indian Partnership firm FIIs Society Joint Retired Student Housewife NRI AOP/BOI Banks FIs Anyone or Survivor(s) Civil Servant Politician Forex Dealer 2nd Applicant Resident Indian Current/Former MP/MLA/MLC/Head of State NRI Trust Company/Body Corporate Senior Executive of State owned corporation 3rd Applicant Resident Indian HUF Others ________________ (Tick whichever) Student Political Party Official NRI Others Name of Sole / 1st applicant/Minor/Karta of HUF/Non-Individual Mr. / Miss / Master / M/s. Date of Birth** D D M M Y Y Y Y (**Date of Birth Mandatory only if Applicant is Minor) Name of Parent / Guardian in case of Minor / or Contact Person for Non-Individual applicanMr. Mrs. Miss Relation with Minor/Designation M A N D A T O R Y Name of 2nd applicant Mr. Mrs. Miss Date of Birth D D M M Y Y Y Y Name of 3rd applicant Mr. Mrs. Miss Date of Birth D D M M Y Y Y Y PeRmAnent AccoUnt nUmBeR (PAn) & kYc compliant - mandatory (Ref. Instruction no.12 & 13) PAN 1st applicant Attached PAN Proof Attached KYC Acknowledgement Copy PAN 2nd applicant Attached PAN Proof Attached KYC Acknowledgement Copy PAN 3rd applicant Attached PAN Proof Attached KYC Acknowledgement Copy contAct detAIlS Mailing Address (Please provide complete address, P.O. Box alone is not adequate) Add 1 Add 2 District Add 3 City State Country Pin Overseas Address (Mandatory for NRI/FII Applicants) Addess for Correspondence (for NRI Applicants only)Indian Foreign City Country Zip Tel. No. STD Code ______________________________ Office _____________________ Residence ____________________________ Fax ______________________________ Mobile No. +________________________________________ E-mail ID. ______________________________________________________________________▯_____________ (Refer Instruction No. 28) *E-MAIL COMMUNICATION *If the investor has provided his E-mail Address in application form all future communication shall be in the electronic mode. Acknowledgement ARN-25682 App. no. FHFXXIII12-00000068 Received from _____________________________________________________________________▯________________________________ An application for allotment of Reliance Fixed Horizon Fund - XXIII - Series 12 Growth Option Units under Reliance Fixed Horizon Fund - XXIII - Series 12 - Direct Plan Dividend Payout Option 1) Purchase Application Cheque / DD No. _________________________ Dated _____/_______/_______ Rs. ___________________ Drawn on Bank _______________________________________________________________________▯_________ 2) Switch Over From (Scheme) __________________________________________________________▯_______ Plan: ________________________________ Option: _____________________________________ Amount Rs. Or Units Acceptance of the Application is subject to the application being complete in all respects and submission of the relevant required documSignature, date & Stamp ARN-25682 BAnk AccoUnt detAIlS mAndAtoRY (Refer Instruction no. 5) A/c. type SB Current NRO NRE FCNR Account No. M A N D A T O R Y Bank M A N D A T O R Y Branch Address M A N D A T O R Y Branch City M A N D A T O R Y PIN M A N D A T O R Y I.F.S.C. Code M A N D A T O R Y 9 Digit MICR Code M A N D A T O R Y RMF will endeavour to provide payment of Dividend / Redemption / Refund(If any) through ECS,NEFT, Cheque, Demand Draft or Direct Credit into investors bank account wherever possible. mode oF PAYment / SUBScRIPtIon detAIlS mAndAtoRY (Refer Instruction no. 14 & 16) Reliance Fixed Horizon FuXXIII - Series 12 Growth Option Investment Amount Rs. Reliance Fixed Horizon FuXXIII - Series 12 - Direct Plan Dividend Payout Option Instrument details: Cheque DD* No.: Dated: Drawn on _______________________Bank & Branch_____________________ Source of Funds:SB Current NRO NRE* FCNR* Rupee Draft purchased abroad* Other* Pl. Specify Account No. ______________________________ * Please attach an Account debit certificate from Bankers For Switch Switch Over From (Scheme) __________________________________________________________▯_____________________________________________________________ Plan: ________________________________ Option: ____________________________________ Amount Rs. Or Units Switch over application to be submitted only at designated Investor Service centers of RmF maturity Instruction Switch to Scheme/Plan : ___________________________________________________▯_____Proceeds to be dispatched / Credit to Bank A/c (as may be applicable.) (Default) As a default mechanism, the Scheme shall be fully redeemed on the date of maturity and redemption proceeds shall be dispatched to / credited in the bank account of the unitholders within 10 Business days from the date of redemption or repurchase. nomInAtIon (Please see Instruction no. 17) I/We _________________________________________________, ___________________▯________________________ and _____________________________________________ (Unit holder 1) (Uni▯t holder 2) (Unit h▯older 3) do hereby nominate the person(s) more particularly described hereunder/and*/cancel the nomination made by me/us on the ________day of ____________________________ in respect of the Units under Folio No. (* strike out which is not applicable) Name and Address of Nominee(s) Date Date of Name and Address of Guardian Signature of Guardian Proportion (%) by which the units will be shared by of Birth each Nominee (should aggregate to 100%) (to be furnished in case the Nominee is a minor) I/ We ________________________________________________, ____________________▯_________________________and______________________________________________ (Unit holder 1) (Unit hol▯der 2) (Unit ▯holder 3) do hereby declare that we do not wish to nominate any person/person(s) in the folio/account. Sole / 1st applicant/ 2nd applicant/ 3rd applicant/ Authorised Signatory Authorised Signatory Authorised Signatory declARAtIon & SIgnAtURe/S (Refer Instruction no. 8) I/We would like to invest in Reliance Fixed Horizon Fund - XXIII - Series 12 subject to terms of the Scheme Information Document and subsequent amendments thereto. I/We have read the instructions and the Scheme Information Document before filling the Application Form. I/We have understood the details of the scheme and I/We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. I/We have not received any indicative portfolio and indicative yield in any communication, in any manner whatsoever from Reliance Mutual Fund/Reliance Capital Asset Management Limited and its empanelled brokers. Further, I agree that the transaction charge (if applicable) shall be deducted from the subscription amount and the said charges shall be paid to the distributors. APPlIcABle to nRIs onlY I/We confirm that I am/We are Non-Resident of Indian Nationality/Origin and I/We hereby confirm that the funds for subscription have been remitted from abroad through normal banking channels or from funds in my/our Non-Resident External/Ordinary Account/FCNR Account. Place : _________________________________ Date : _____________________ SIgnAtURe/S Sole / 1st applicant / Guardian / Authorised Signa2nd Applicant / Authorised Signatory 3rd Applicant / Authorised Signatory cHeck lISt Please ensure that: ARN-25682 Documents Companies TrustsSocietiesartnershiFIIs Investments through Your Application Form is complete in all respect, Name, Address & contact details Firms Constituted Attorney 1. Resolution/Authorisation to invest P P P P are mentioned in full, signed by all applicants. 2. List of Authorised Signatories with Specimen Bank Account Details are entered completely and correctly. Signature(s) P P P P P P Permanent Account Number (PAN) of all the applicants are mandatory.morandum & Articles of Association 4. Trust Deed P Please refer to instruction no. 12 for details. 5. Bye-Laws P For KYC, please refer to instruction no. 13 for details. Appropriate Option is ticked. 6. Partnership Deed P 7. Overseas Auditor’s Certificate P The Cheque / DD is drawn in favour of “Reliance Fixed Horizon 8. Notarised Power of Attorney P signed. 9. Proof of PAN P P P P P P Application Number is mentioned on the reverse of the Cheque / DD.YC Compliant P P P P P P Documents as listed alongside are submitted along with the Application (as applicable to your specific case). Reliance Capital Asset Management Limited A Reliance Capital Company APP No.: FHFXXIII12-00000068 AUTO SWITCH FORM Please read the instructions carefully. before filling up the application 1. DISTRIBUTOR/BROKER INFORMATION Name & Broker Code / ARN Sub Broker / Sub Agent ARN Code Employee Unique Identification Number Sub Broker / Sub Agent Code ARN-25682 E044267 “I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this is an “execution-only” transay the employee/relationshipaccetiobn manager/sales person of the above distributor or notwithstanding the advice of in-appropriaelatpilp 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 brious factors including the service rendered by the distributor. 2. EXISTING UNIT HOLDER INFORMATION FOLIO NO. 3. PARTICULARS OF APPLICANT Unitholding Option Demat Mode Physical Mode (Refer Instruction No. 10) 4.DEMAT ACCOUNT DETAILS (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the Depository Participant.) Demat Account details are compulsory if demat mode is opted above. National Depository Central Depository Securities participant Name ____________________________________ Depository participant Name ______________________________________ Depository Securities DP ID No. I N Limited Target ID No. Limited Beneficiary Account No. Date of Birth ** Name of Sole / 1st applicant/Minor/Karta of HUF/ Non-Individual Mr. / Miss / Master / M/s. D D M M Y Y Y Y (** Date of birth mandatory only if applicant is minor) Name of Parent / Guardian in case of Minor / or Contact Person for Non-Individual appliMr.ts Mrs. Miss Relotn with Minor/Designation MA N DATO RY Date of Birth Name of 2nd applicant Mr. Mrs. Miss D D M M Y Y Y Y Date of Birth D D M M Y Y Y Y Name of 3rd applicant Mr. Mrs. Miss Date of Birth D D M M Y Y Y Y 5. PERMANENT ACCOUNT NUMBER (PAN) & KYC Compliant PAN 1st applicant Attached PAN Proof Attached KYC Acknowledgement Copy PAN 2nd applicant Attached PAN Proof Attached KYC Acknowledgement Copy PAN 3rd applicant Attached PAN Proof Attached KYC Acknowledgement Copy 6. AUTO SWITCH FACILITY (Refer Instruction No. 3) Name of ‘Transferor’ Scheme/Plan/Option _________________________________________________________________________________________________ I/ We would like to Auto Switc h Rs. _______________________OR_ Units. On _________________ Name of ‘Transferee’ Scheme/Plan/Option _________________________________________________________________________________________________ 7.MATURITY INSTRUCTION Switch to Scheme/Plan : __________________________________________________Proceeds to be dispatched / Credit to Bank A/c (as may be applicable.) (Default) As a default mechanism, the Scheme shall be fully redeemed on the date of maturity and redemption proceeds shall be dispatched to / credited in the bank account ofthe unitholders within 10 Business Days from the date ofredemption orrepurchase. 8. DECLARATION & SIGNATURE/S I/We would like to invest in Reliance ________________________subject to terms of the Scheme Information Document and subsequent amendmto.s there I/We have read the instructions and the Scheme Information Document before filling the Application Form. I/We have understood the details of the scheme and I/We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. I/We have not received any indicative portfolio and indicative yield in any communication, in any manner whatsoever from Reliance Mutual Fund/Reliance Capital Asset Management Limited and its empanelled brokers. APPLICABLE TO NRIs ONLY: I/We confirm that I am/We are Non-Resident of Indian Nationality/Origin and I/We hereby confirm that the funds for subscription have been remitted from abroad through normal banking channels or from funds in my/our Non-Resident External/Ordinary Account/FCNR Account. First/Sole Unit holder / Guardian Second Unit holder Third Unit holder Acknowledgement Receipt of Auto Switch Application Form ( To be filled in by the Unit holder) APP No. : FHFXXIII12-00000068 ARN-25682 Folio No. Stamp of receiving branch Received from _____________________________________________________________________________________ Auto Switch Rs. _______________________________OR ________________________________________ Units on __________________________ From Scheme _____________________________ Plan _________________ Option ________________ & Signature to Scheme_______________________________ Plan _________________ Option ________________ INSTRUCTIONS FOR AUTO SWITCH (1) Auto Switch facility is a Special facility available to th(10) The Unit holders are given an Option to hold the units by way existing investors having investments in Specified of an Account Statement or in Dematerialized ('Demat') form. Schemes of Reliance Mutual Fund (RMF) only during the Unit holders opting to hold the units in demat form must New Fund Offering (NFO) period whereby investors can provide their Demat Account details in the specified section of switch their units from such Specified Schemes at the the application form. The Unit holder intending to hold the specified date during the NFO Period. units in Demat form are required to have a beneficiary account with the DP (registered with NSDL / CDSL as may be indicated by the Fund at the time of launch of the Plan) and will be (2) Unit holders are advised to read the Statement of Additional Information (SAI), Scheme Information required to indicate in the application the DP's name, DP ID Number and the beneficiary account number of the applicant Document (SID) and Key Information Memorandum with the DP. In case Unit holders do not provide their Demat (KIM) of the Scheme which is available at all the Designated Investor Service Centers (DISC), brokers / Account details, an Account Statement shall be sent to them. Such investors will not be able to trade on the stock exchange distributors and on our website tillthe holdings are converted in to demat form. www.reliancemutual.com carefully before investing. (3) This Auto Switch Form can be used only by Existing Unit (11) For Direct Investments, please mention “Direct” in the column “Name & BrokerCode / ARN”. holders having investments in Specified Schemes of Reliance Mutual Fund to switch their units. RCAM reserves the right to extend or limit the said facility on (12) This facility will not be available for units which are under any such terms and conditions as may be decided from time Lien/Pledged orany lock-in period. to time. For eligible/specified transferor scheme please referto SID. (13) The application is subject to detailed scrutiny and verification. Applications which are not complete in all respect are liable for (4) Existing unit holders having investments in Schemes rejection either at the collection point itself or subsequently other than Specified Schemes and wish to switch their after detailed scrutiny / verification at the back office of the investments have to fill up Switch Section of the Registrar. Application Form. (14) RCAM reserves the right to withdraw this amend or withdraw (5) The application for Auto Switch will be processed on the this facility orchange the procedures from time to time. closing day ofthe NFO. (15) Investors are requested to clearly mention the Plan and the (6) All valid Auto Switch request would be treated as switch- Option in which investment is to be made. Incase of any out / redemption fortheTransferorScheme. ambuigity, the application will be liable to to rejected. In the absence of clear indication as to the choice of Option (Growth (7) The units from the Specified Transferor Scheme will be or Dividend Payout), by default, the units will be allotted under the Growth Option ofthe Plan. switched, subject to provisions mentioned in the Scheme Information Document of the Transferor Scheme. The units in theTransferee Scheme will be allotted at the NFO (16) Investors subscribing under Direct Plan of XYZ Fund will have Price ofthe Scheme on the allotment date. to indicate the Scheme / Plan name in the application form as “XYZ Fund - Direct Plan”. Investors should also indicate (8) Unit holder are required to maintain clear balance in “Direct” in the ARN column. In case ARN code is mentioned in accordance with amount specified in the Auto Switch the application form, but “Direct Plan” is indicated against the Scheme name, ARN code will be ignored and the application Application Form on the execution date. In case of insufficient balance in the account / folio, the will be processed under Direct Plan. If the investor does not mention Direct against the scheme name and the ARN code is application forAuto Switch willbe rejected. also not provided the default allotment would be made in the Direct Plan. (9) Unit holders should note that Unit holders' details and mode of holding (single, joint, anyone or survivor) in the (17) Employee Unique Identification Number (EUIN) would assist Transferee Scheme will be as per the existing folio number of the Transferor Scheme. Units will be allotted in tackling the problem of mis-selling even if the employee / underthe same folio number. relationship manager / sales person leave the employment of the distributor. A CKN OWLEDGEMENT SLIP ARN-25682 11th & 12th Floor, One Indiabulls Centre, Tower 1, Jupiter Mill Compound, 841, Senapati BapatMarg Elphinstone Road, Mumbai-400 013 Toll free: 1800-300-11111 • www.reliancemutual.com INSTRuCTIONS TO HELP YOu COMPLETE THE MAIN APPLICATION FORM 1. Please read the Key Information Memorandum and the Scheme Information Document of Reliance Fixed Horizon Fund - XXIII - Series 12 carefully before investing. All applicants are deemed to have read, understood and accepted the terms subject to which this offer is being made and bind themselves to the terms upon signing the Application Form and tendering payment. 2. The application form must be filled in English in BLOCK letters using Black or Dark Blue Colored ink. Incomplete applications are liable to be rejected. Please refer to the checklist at the bottom of the application form to ensure that the requisite details and attachments have been provided. This will help in avoiding processing delays and / or rejection of your Application Form. 3. The Applicants’ name and address must be given in full (P.O. Box No. alone is not sufficient). In case of multiple applicants, all communication and payments towards dividend / redemption will be made in the name of / favoring first applicant only. If the first applicant is a minor, the name of the Guardian who will sign on behalf of the minor should be filled in the space provided. Please fill in your date of birth as this may be required for validating your identity for certain transactions/communication. Also, please provide Telephone No./E-mail Id. of the first applicant, so as to facilitate faster and efficient communication. 4. The Minimum investment amount for Reliance Fixed Horizon Fund - XXIII - Series 12 under all Plan is Rs. 5,000 per option and in multiples of Re. 1 thereafter. 5. As per the SEBI guidelines, it is mandatory for investors to mention their bank account details in the application form. In the absence of the bank details the application form will be rejected. RCAM / RMF is also providing a facility to the investors to register multiple bank accounts. By registering multiple bank accounts, the investors can use any of the registered bank accounts to receive redemption / dividend proceeds. These account details will be used by the RCAM / RMF for verification of instrument used for subscription to ensure that third party payments are not used for mutual fund subscription, except as permitted. Investors are requested to avail the facility of registering multiple bank accounts by filling in the Application Form for Registration of Multiple Bank Accounts available at our DISC or on our website at www.reliancemutual. com 6. In case of non-individual applicants, i.e. HUF / Companies / AOP / BOI / Trusts / Societies / FIIs etc. the name, email-ID and telephone number of the contact person to whom the correspondence should be addressed to should be provided. 7. With effect from October 1, 2011, in accordance with SEBI Circular No. Cir/ IMD/ DF/16/ 2011 dated September 8, 2011, the investor whose transaction has been accepted by the RCAM/RMF shall receive the following: (i) On acceptance of the application, a confirmation by way of email and/or SMS within 5 Business Days from the date of receipt of transaction request will be sent to the Unit holders registered e-mail address and/or mobile number. (ii) Thereafter, a CAS shall be issued for each calendar month on or before 10th of the immediately succeeding month to the Unit holder(s) in whose folio(s) transaction(s) has/have taken place during the month by physical/e-mail mode. CAS shall contain details relating to all the transactions carried out by the investor across all schemes of all mutual funds during the month and holding at the end of the month including transaction charges paid to the distributor. The word ‘transaction’ shall include purchase, redemption, switch, dividend payout, dividend reinvestment, systematic investment plan, systematic withdrawal plan, systematic transfer plan and bonus transactions. (iii) For the purpose of sending CAS, common investors across mutual funds shall be identified by their Permanent Account Number (PAN). In case of a specific request received from the Unit holders, RCAM / RMF will provide the account statement to the investors within 5 Business Days from the receipt of such request. In the event the account has more than one registered holder, the first named Unit holder shall receive the CAS/account statement. CAS shall not be received by the Unit holders for the folio(s) not updated with PAN details. The Unit holders are therefore requested to ensure that the folio(s) are updated with their PAN. For Micro SIP and Sikkim based investors whose PAN details are not mandatorily required to be updated Account Statement will be dispatched by RCAM/RMF for each calendar month on or before 10th of the immediately succeeding month. Further, CAS detailing holding of investment across all schemes of all mutual funds at the end of every six months (i.e. September/ March), shall be sent by mail/e-mail on or before 10th day of succeeding month as the case may be, to all such Unit holders in whose folios no transaction has taken place during that period. The half yearly consolidated account statement will be sent by e-mail to the Unit holders whose e-mail address is available, unless a specific request is made to receive in physical. The statement of holding of the beneficiary account holder for units held in demat will be sent by the respective DPs periodically. If the investor(s) has/have provided his/their email address in the application form or any subsequent communication in any of the folio belonging to the investor(s), RMF/Asset Management Company reserves the right to use Electronic Mail (email) as a default mode to send various communication which include account statements for transactions done by the investor(s). The investor(s) may request for a physical account statement by writing or calling RMF’s Investor Service Center/ Registrar & Transfer Agent. In case of specific request received from the investor(s), RMF shall endeavor to provide the account statement to the investor(s) within 5 working days from the receipt of such request. 8. Signatures should be in English or in any other Indian language. Thumb impressions must be attested by a Judicial Magistrate/Notary Public under his/her official seal. In case of HUF, the Karta should sign on behalf of the HUF. Authorised signatories, signing on behalf of a Co./Body Corp./ Society/Trust etc. should sign under their official designation. A list of Authorised Signatories with their names & designations duly certified /attested by the bankers should be attached with the application form. 9. In case the application is made under a Power of Attorney (PoA), a duly certified copy thereof duly notarised should be submitted with the application. The POA document should contain the signatures of both the Applicant & the constituted Attorney. 10. Application made by a Limited Company or by a Body Corporate or a registered Society or a Trust, should be accompanied by a copy of the relevant resolution or authority to make the application, as the case may be, alongwith a certified copy of the Memorandum and Articles of Association or Trust Deed / Bye Laws / Partnership Deed, whichever is applicable. 11. The relationship/status of the guardian as father, mother or legal guardian and Date of birth of the minor shall be specified in the application form and following documents shall be submitted alongwith the application form as evidence: i. Birth certificate of the minor, or ii. School leaving certificate / Mark sheet issued by Higher Secondary Board of respective states, ICSE, CBSE etc., or iii. Passport of the minor, or iv. Any other suitable proof evidencing the date of birth of the minor. v. In case of court appointed legal guardian, supporting documentary evidence shall be provided. vi. In case of natural guardian a document evidencing the relationship if the same is not available as part of the documents submitted as per point. i - iv above. 12. Permanent Account Number (PAN) SEBI has made it mandatory for all applicants (in the case of application in joint names, each of the applicants) to mention his/her permanent account number (PAN) irrespective of the amount of purchase. *Where the applicant is a minor, and does not possess his / her own PAN, he / she shall quote the PAN of his/ her father or mother or the guardian, signing on behalf of the minor, as the case may be. In order to verify that the PAN of the applicants (in case of application in joint names, each of the applicants) has been duly and correctly quoted therein, the applicants shall attach along with the purchase application, a photocopy of the PAN card duly self-certified along with the original PAN Card. The original PAN Card will be returned immediately across the counter after verification *includes fresh/ additional purchase, Systematic Investment. Micro SIP & Investors residing in the state of Sikkim are exempt from the mandatory requirement of PAN proof submission however they are required to mandatorily submit KYC Acknowledgement copy to Reliance Mutual Fund. Applications not complying with the above requirement may not be accepted/ processed. Additionally, in the event of any Application Form being subsequently rejected for mismatch / non-verification of applicant’s PAN details with the details on the website of the Income Tax Department, the investment transaction will be cancelled and the amount may be redeemed at the applicable NAV, subject to payment of exit load, if any. Please contact any of the Investor Service Centres/ Karvy/ Distributors or visit our website www.reliancemutual.com for further details. 13. Prevention of Money Laundering and Know Your Client (KYC) In order to reduce hardship and help investors dealing with SEBI intermediaries, SEBI issued three circulars - MIRSD/SE/Cir-21/2011 dated October 05, 2011, MIRSD/Cir-23/2011 dated December 02, 2011 and MIRSD/Cir-26/2011 dated December 23, 2011 informing SEBI registered intermediaries as mentioned therein to follow, with effect from January 01, 2012, a uniform KYC compliance procedure for all the investors dealing with them on or after that date. SEBI also issued KYC Registration Agency ( “KRA”) Regulations 2011 and the guidelines in pursuance of the said Regulations and for In-Person Verification (“IPV”). All investors (individual and non- individual) are required for KYC compliance. However, applications should note that minors cannot apply for KYC compliance and any investment in the name of minors should be through a Guardian, who should be KYC compliant for the purpose of investing with a Mutual Fund. Also applicants/ unit holders intending, to apply for units currently holding units and operating their Mutual Fund folios through a Power of Attorney (PoA) must ensure that the issue of PoA and the holder of the PoA must mention their KYC compliance status at the time of investment. PoA holders are not permitted to apply for KYC compliance on behalf of the issuer of the PoA, Separate procedures are prescribed for change in name, address, and other KYC related details, should the applicant desire to change such information,POS will extend the services of effecting such changes. In line with the SEBI circular No. MIRSD/Cir-5/2012 dated April 13, 2012 and various other guidelines issued by SEBI on the procedural matters for KYC Compliances, the Investors are requested to note the following additional provisions shall be applicable for “KYC Compliances” with effect from December 1, 2012: 1) In case of an existing investor of RMF and who is already KYC Compliant under the erstwhile centralized KYC with CVL (CVLMF) then there will be no effect on subsequent Purchase/Additional Purchase (or ongoing SIPs/STPs,etc) in the existing folios/accounts which are KYC compliant. Existing Folio holder can also open a new folio with Reliance Mutual Fund with the erstwhile centralized KYC 2) In case of an existing investor of Reliance Mutual Fund and who is not KYC Compliant as per our records, the investor will have to submit the standard KYC Application forms available in the website www.cvlkra.com along with supporting documents at any of the SEBI registered intermediaries at the time of purchase / additional purchase / new registration of SIP/STP etc. In Person Verification (IPV) will be mandatory at the time of KYC Submission. This uniform KYC submission would a onetime submission of documentation. 3) Investors who have complied with KYC process before December 31, 2011 (KYC status with CVL-KRA as “MF - VERIFIED BY CVLMF”) and not invested in the schemes of Reliance Mutual Fund i.e not opened a folio earlier, and wishes to invest on or after December 01, 2012, such investors will be required to submit ‘missing/not available’ KYC information and complete the IPV requirements. Updation of ‘missing / not available’ KYC information along with IPV is currently a one-time requirment and needs to be completed with any one of the mutual funds i.e. need not be done with all the mutual funds where investors have existing investments. Once the same is done then the KYC status at CVL-KRA will change to ‘Verified by CVL KRA’ after due verification. In such a scenario, where the KYC status changes to ‘Verified by CVL KRA’, investors need not submit the ‘missing/not available’ KYC information to mutual funds again. Individual Investors are required to submit ‘KYC Details Change Form’ issued by CVL-KRA available on their website www.cvlkra.com. In case of Non Individual investors, complied with KYC process before December 31, 2011, KYC needs to be done afresh due to significant and major changes in KYC requirements. Investors to provide the complete details in the KYC application form along with the required documents (for individual investors or non-individual investors as appropriate). The said form is available on RMF’s website i.e. www.reliancemutual.com or on the website of Association of Mutual Funds In India i.e. www.amfiindia.com or on the website of any authorised KRA’s. Instructions continued 14. Payment should be made by a single cheque/DD and must be payable locally, in the city where the official collection centre of RMF is located / where the application is submitted. Out station cheques/ DDs or cash will not be accepted. The applications (including Switches/transfers from other eligible Reliance Mutual Fund Schemes / Plans) will be accepted at all the Designated Investor Service Centers of Reliance Mutual Fund (i.e. Branches of Reliance Capital Asset Management Limited & Karvy Computershare Private Limited) mentioned in the KIM. The Cheque/DD should be crossed/marked “Account payee” and drawn in favour of “Reliance Fixed Horizon Fund” Reliance Mutual Fund will not accept Third Party Payments for subscriptions. When payment is made from a bank account other than that of the beneficiary investor, the same is referred to as a “Third Party Payment”. In case of subscription with joint holders, the first holder is considered as the beneficiary investor. 15. Please mention the application serial no. on the reverse of the cheque/demand draft tendered with the application. 16. In case payment is made through Demand Draft or Bankers Cheque or Indian Rupee draft purchased abroad or from FCNR / NRE A/c., an Account Debit Certificate from the Bank issuing the draft, confirming the debit should be submitted. For subscription made by NRE / FCNR Account cheques, the application forms must be accompanied with a photocopy of the cheque or Account Debit Letter / Certificate from the bankers. 17. Nomination: (I) For units held in physical mode: (a) Nomination facility is available to individuals applying on their own behalf i.e. singly or jointly. Nomination is mandatory for folios opened by individuals with single mode of holding. (b) Multiple nominee (Resident, NRI, Including Minor) can be nominated. Nomination can also be in favour of the Central Government, State Government, a local authority, any person designated by virtue of his office or a religious or charitable trust. (c) Nomination of an NRI is subject to requirements, if any, prescribed by RBI and SEBI from time to time. (d) Nomination can be changed at any time during the currency of the investment by the same persons who have made the nominations. (e) Unitholder being either parent or lawful guardian on behalf of a minor and an eligible institution, societies, bodies corporate, HUF, AoPs, BoIs and partnership firms shall have no right to make any nomination. (f) The nominee shall not be a trust (other than a religious or charitable trust), society, body corporate, partnership firm, karta of HUF or power of attorney holder. (g) On registration of nomination a suitable endorsement shall be made on the statement of account or in the form of a separate letter. (h) The facility of nomination is available to a unitholder under SEBI (MFs) Regulations and guidelines issued by SEBI from time to time. (i) Nomination in respect of units stands rescinded, upon the transfer of units. (j) On cancellation of nominations, the nomination shall stand rescinded and RMF shall not be under any obligation to transfer the units in favour of the nominee (k) Where a nomination in respect of any unit has been made, the units shall, on the death of the single unitholder or all the holders, vest in the nominee and on compliance of necessary formalities the nominee shall be issued a SOA in respect of the units so vested subject to any charge or encumbrance over the said units. Nominee would be able to hold the units provided he is otherwise eligible to become a unitholder of the scheme. (l) Where there are two or more unitholders one of whom has expired the title to units shall vest in the surviving unitholder(s) who may retain the nomination or change or cancel the same. However, nonexpression of desire to change or substitute the nominee by surviving unitholder shall be deemed to be the consent of surviving unitholder for the existing nomination. (m) Transmission made by the AMC as aforesaid, shall be a full discharge to the AMC from all liabilities in respect of the said units. (n) In case of a Zero Balance Folio Holder, nomination mentioned in Zero Balance Folio form shall be taken as default unless Scheme specific nomination has been made. (o) Where a folio has joint holders, all joint holders should sign the request for Nomination/cancellation of nomination, even if the mode of holding is not “joint” (p) Power of Attorney (POA) holder cannot sign the Nomination form. (q) Nomination is not allowed in a folio held on behalf of a minor. (r) If the investor does not fill in the nomination details under nomination section of the Application form then by default it shall be treated as his consent not to register the nomination in the folio/account. (s) Nomination is maintained at the folio level and not at the scheme level. If the investor fills in a fresh application form with new Nominee Name than the same shall supercede the existing nominee details in the folio. (II) For units held in Electronic mode: (a) The nomination facility will not be provided for the units held in Electronic Form with the Depository. The nomination details provided by the Unit holder to the depository will be applicable to the Units of the Scheme. Such nomination including any variation, cancellation or substitution of Nominee(s) shall be governed by the rules and bye-laws of the Depository. 18. In case of NRI/FII investors the Account Statements and other correspondence will be sent to the mailing address mentioned. The Redemption cheques and dividend warrants will be sent to the bankers directly. 19. All applications are accepted subject to detailed scrutiny and verification. Applications which are not complete in all respects are liable for rejection, either at the collection point itself or subsequently after details scrutiny/verification at the back office of the registrars. 20. Please contact your nearest Investor Service Centre or write to the Registrars, Ms. Karvy Computershare Pvt. Ltd., Madhura Estate, Municipal No.1-9/13/C, Plot No.13 & 13C, Survey No.74 & 75, Madhapur Village,Serlingampally Mandal & Municipality, R.R.District, Hyderabad - 500 081. or send an email to firstname.lastname@example.org. 21. The Unit holders are given an Option to hold the units by way of an Account Statement or in Dematerialized (‘Demat’) form. Unit holders opting to hold the units in demat form must provide their Demat Account details in the specified section of the application form. The Unit holder intending to hold the units in Demat form are required to have a beneficiary account with the Depository Participant (DP) (registered with NSDL / CDSL as may be indicated by the Fund at the time of launch of the Plan) and will be required to indicate in the application the DP’s name, DP ID Number and the beneficiary account number of the applicant with the DP.Applicants must ensure that the sequence of names and other details like Client ID, Address and PAN details as mentioned in the application form matches that of the account held with the Depository Participant. Only those applications where the details are matched with the depository data will be treated as valid applications. If the details mentioned in the application are incomplete/incorrect, not matched with the depository data, the application shall be treated as invalid and shall be liable to be rejected. In case Unit holders do not provide their Demat Account details, an Account Statement shall be sent to them. Such investors will not be able to trade on the stock exchange till the holdings are converted in to demat form. Unit Holders opting the units in the demat mode , can submit redemption/switch only through DP or through stock exchange platform. 22. The units from the Transferor Scheme will be switched in to the Reliance Fixed Horizon Fund - XXIII - Series 12 subject to provisions mentioned in the Scheme Information Document of the Transferor Scheme. The units in the Transferee Scheme i.e. Reliance Fixed Horizon Fund - XXIII - Series 12 will be allotted at the New Fund Offer Price of the Scheme on the allotment date. 23. Investors are requested to clearly mention the Plan and the Option in which investment is to be made. Incase of any ambuigity, the application will be liable to to rejected. In the absence of clear indication as to the choice of Option (Growth or Dividend Payout), by default, the units will be allotted under the Growth Option of the Plan. 24. Investors subscribing under Direct Plan of XYZ Fund will have to indicate the Scheme / Plan name in the application form as “XYZ Fund - Direct Plan”. Investors should also indicate “Direct” in the ARN column. In case ARN code is mentioned in the application form, but “Direct Plan” is indicated against the Scheme name, ARN code will be ignored and the application will be processed under Direct Plan. If the investor does not mention Direct against the scheme name and the ARN code is also not provided the default allotment would be made in the Direct Plan. 25. For Direct Investments, please mention “Direct” in the column “Broker / Agent Code”. 26. TRANSACTION CHARGES 1) In accordance with SEBI Circular No. IMD/ DF/13/ 2011 dated August 22, 2011, with effect from November 1, 2011, Reliance Capital Asset Management Limited (RCAM)/ RMF shall deduct a Transaction Charge on per purchase / subscription of Rs. 10,000/- and above, as may be received from new investors (an investor who invests for the first time in any mutual fund schemes) and existing investors. The distributors shall have an option to either “Opt-in / Opt-out” from levying transaction charge based on the type of product. Therefore, the “Opt-in / Opt-out” status shall be at distributor level, basis the product selected by the distributor at the Mutual Fund industry level. Such charges shall be deducted if the investments are being made through the distributor/ agent and that distributor / agent has opted to receive the transaction charges as mentioned below: • For the new investor a transaction charge of Rs 150/- shall be levied for per purchase / subscription of Rs 10,000 and above; and • For the existing investor a transaction charge of Rs 100/- shall be levied for per purchase / subscription of Rs 10,000 and above. The transaction charge shall be deducted from the subscription amount and paid to the distributor/agent, as the case may be and the balance shall be invested. The statement of account shall clearly state that the net investment as gross subscription less transaction charge and give the number of units allotted against the net investment. In case of investments through Systematic Investment Plan (SIP) the transaction charges shall be deducted only if the total commitment through SIP (i.e. amount per SIP installment x No. of installments) amounts to Rs. 10,000/- and above. In such cases, the transaction charges shall be deducted in 3-4 installments. Transaction charges shall not be deducted if: (a) The amount per purchases /subscriptions is less than Rs. 10,000/-; (b) The transaction pertains to other than purchases/ subscriptions relating to new inflows such as Switch/ STP/ /DTP/, etc. (c) Purchases/Subscriptions made directly with the Fund through any mode (i.e. not through any distributor/agent). (d) Subscription made through Exchange Platform irrespective of investment amount. 2) RCAM will endeavor to check if the investor is an existing or a new investor to Mutual Fund. In case the investor is found to be an existing investor then transaction charges of Rs 100 will be applicable else the investor declaration will be considered and transaction charges will be levied accordingly. 3) If the investor has not ticked / not signed the declaration then by default investor will be treated as an existing investor and transaction charges of Rs 100 will be deducted for investment of Rs 10000 and above. 27. Employee Unique Identification Number (EUIN) would assist in tackling the problem of mis-selling even if the employee/relationship manager/sales person leave the employment of the distributor. 28. It is mandatory for NRI Investors to provide a valid email id and or mobile number. The same shall be required for opening a new folio / zero balance folio.In absence of valid email id and /or mobile number, RCAM reserves the right to reject the application. Reliance Fixed Horizon Key Information Memorandum Cum Application Form for APPLICATION SuPPORTE▯ ▯Y ▯LOCKE▯ AMOuNT (AS▯A) FORM Fund - XXIII - Series 12 (A Close Ended Income Scheme) App. no. 11th floor & 12th floor, One Indiabulls Centre, Tower 1, Jupiter Mills Compound, 841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400 013.8 Please refer complete details on all pages and scheme description / details while applying. BROKER / AGENT INFORMATION FOR OFFICE USE ONLY Name and AMFI Regn NoSub Broker Name & ARN CodEmployee Unique Identification Sub Broker Name & Code SCSB SCSB IFSC Code Syndicate Member Code SL No. ARN-25682 E044267 “I/we hereby confirm that the eUIn box has been intentionally 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 notwithstanding the 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. TRANSACTION CHARGES (Please tick any one of the below. Refer Instruction No. 1▯) I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS I AM AN EXISTING INVESTOR IN MUTUAL FUNDS OR Rs. 150 will be deducted as transaction charge for per purchase of Rs. 100 will be deducted as transaction charge for per Rs. 10,000 and more purchase of Rs. 10,000 and more ASBA facility is available only for investor subscribing for units in dematerialsed form. demAt AccoUnt detAIlS national Depository central Depository Securities participant Name __________________________________________ depository participant Name _________________________________________ depository DP ID No. I N Securities limited Beneficiary Account No. limited Target ID No. Investor category (Ref. Instruction no.10) IND NRI HUF CO FI MF NIF IF IC ▯C FII FIISA EMP DIR OTHERS___________________________ Name of Sole / 1st applicant/Minor/Karta of HUF/Non-Individual Mr. / Miss / Master / M/s. Date of Birth** D D M M Y Y Y Y (**Date of Birth Mandatory only if Applicant is Minor) Relation with Minor/Designation M A N D A T O R Y Permanent Account number (PAn) & kYc compliant - mandatory PAN of 1st applicant Attached Pan Proof Attached KYC Acknowledgement Copy Instrument details: Reliance Fixed Horizon FunXXIII - Series 12 Growth Option
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