A Simple Way to Invest-Common Transaction Slip (for Existing Investors Only)

(Lumpsum Purchase & Switch)

To be submitted mandatorily: 1. Your FATCA (Foreign Account Tax Compliance Act) Details (if not already submitted) and
2.Ultimate Beneficial Owner (UBO) information (for non-individuals only) using the attached forms.
KYC acknowledgement is mandatory for all investors w.e.f. 01/01/2011.
KYC compliant ■ Yes ■ No (if no, please provide KYC proof/additional documents if not submitted earlier)
CKYC compliant ■ Yes ■ No (if no, please provide CKYC form & proof/additional documents.
If yes, please provide 14 digit CKYC Number) ISC’s signature &
Distributor's ARN & Name Sub-broker's ARN (code) Sub-broker Code (internal) EUIN*
(Employee Unique Idendification Number)
Registered Investment
Adviser (RIA) Code
Time Stamping
ARN-3280

* Declaration for “Execution only” transaction (only where EUIN box is left blank)
■ I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this transaction is executed without any interaction or advice by the
employee/relationship manager/sales person of the above distributor/sub broker or notwithstanding the advice of inappropriateness,if any, provided by the
employee/relationship manager/sales person of the distributor/sub broker.

Signature of Signature of Signature of

First/Sole Applicant/ Second Third
Guardian Applicant Applicant

Transaction charges For Rs. 10,000 and above: Upfront commission shall be paid directly by the investor to the AMFI-registered distributors based
Folio No
■ Existing Investor-Rs.100 ■ New Investor-Rs.150 on the investors’ assessment of various factors including services rendered by the distributor.

Name of First/Sole Applicant (capital Letters)

Permanent Account Number (PAN)* PEKRN Central KYC Number ■ CKYC Proof attached (Mandatory)

*Mandatory
First/Sole Applicant/Guardian
Second Applicant
Third Applicant
E-Mail* Mobile No*
Default Communication mode is E-mail only, if you wish to receive following document(s) via physical mode: Please tick (✓)
■ Account Statement ■ Annual Report ■ Other Statutory Information
■ Additional Purchase Fund Name_______________________________________________________________________
Plans: Options: ■ Dividend Payout ■ Dividend Re-Investment ■ Dividend Sweep ■ Growth
Dividend Frequency: (For Fixed Income Funds only) ■ Daily ■ Weekly ■ Fortnightly ■ Monthly ■ Quarterly ■ Half-Yearly ■ Annual
■ Regular
Dividend Sweep Target Scheme................................................................................
■ Direct (If an investor fails to specify the option, he will be allotted units under the default option/suboption of the Target scheme.) Any / each correction carried out in selecting the target scheme has to be counter-signed by the investor(s) to make it a valid selection

Mode of payment: ■ Cheque/DD ■ RTGS/NEFT ■ Fund Transfer ■ One Time Mandate (OTM)
Bank (on which Cheque is drawn or by which Demand Draft is issued) Branch

Amount (figures) Amount (in words) Cheque/DD No (attach a cancelled cheque leaf) Cheque/DD Date
Rs D D MM Y Y Y Y
DEMAT Account Details
■ National Securities Depository Ltd. Depository Participant
■ Central Depository Services (India) Ltd. DP ID Number Beneficiary Account Number
Investor willing to invest in Demat option, may provide a copy of the DP Statement enabling us to match the Demat details as stated in the application form.

■ Switch ■ Amount................................................. ■ Units.......................

Target Scheme:.........................................................................................(Fund)
Source Scheme:...........................................................(Fund) Plan: ■ Regular ■ Direct
Plan: ■ Regular ■ Direct Options: Dividend ■ Payout ■ Re-Investment ■ Sweep ■ Growth
■ Others ..................................
Options:
TO Dividend Frequency: (For Fixed Income Funds only)
Dividend ■ Payout ■ Re-Investment ■ Sweep ■ Growth ■ Daily ■ Weekly ■ Fortnightly ■ Monthly■ Quarterly ■ Half-Yearly ■ Annual
■ Others .........................
Dividend Sweep Target Scheme................................................................................
Dividend Frequency: ■ Daily ■ Weekly ■ Fortnightly (If an investor fails to specify the option, he will be allotted units under the default option/suboption of the Target scheme.) Any /
■ Monthly ■ Quarterly ■ Half-Yearly ■ Annual each correction carried out in selecting the target scheme has to be counter-signed by the investor(s) to make it a valid selection
Declaration: I/We • having read and understood the contents of the Statement of Additional Information/Scheme Information Document/addenda issued to the SID and Signature
KIM till date • hereby apply for units under the scheme(s) as indicated in the application form • agree to abide by the terms, conditions, rules and regulations of the
scheme(s) • agree to the terms and conditions for Auto Debit • have not received nor been induced by any rebate or gifts, directly or indirectly in making this investment First / Sole
• do not have any existing Micro SIPs/investments which together with the current application will result in the total investments exceeding Rs. 50,000 in a financial year Applicant /
or a rolling period of twelve months (applicable for PAN exempt category of investors). The ARN holder has disclosed to me/us all the commissions (in the form of trail Guardian
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.
Applicable to NRIs only: Please (✓) ■ I/We confirm that I am/We are Non-Resident of Indian Nationality/Origin and I/We hereby confirm that the funds for subscription Second
have been remitted from abroad through normal banking channels or from funds in my/our Non-Resident External/Ordinary Account/FCNR Account on a ■ Repatriation Applicant
Basis ■ Non-Repatriation Basis.
I/We hereby declare that all the particulars given herein are true, correct and complete to the best of my/our knowledge and belief. I/ We further agree not to hold Sundaram
Asset Management, its sponsor, their employees, authorised agents, service providers, representatives of the distributors liable for any Third
consequences/losses/costs/damages in case of any of the above particulars being false, incorrect or incomplete or in case of my/our not intimating/delay in intimating
any changes to the above particulars. I/We hereby authorise Sundaram Asset Management to disclose, share, remit in any form, mode or manner, all/any of the information Applicant
provided by me/ us, including all changes, updates to such information as and when provided by me/us, to any Indian or foreign governmental or statutory or judicial
authorities/agencies, the tax/revenue authorities and other investigation agencies and SEBI registered intermediaries without any obligation of advising me/us of the same. Request Date D D M M Y Y Y Y
I/We hereby agree to provide any additional information/documentation that may be required in connection with this application.
✁
Acknowledgement Request Date: Time Stamp/Seal
■ Purchase Cheque /DD Number.................................. D D MM Y Y Y Y
■ Switch From......................................................... (Scheme) To.........................................................
Folio No Fund
Plans: ■ Regular ■ Direct Options: Dividend ■ Payout ■ Re-Investment ■ Sweep or ■ Growth
Dividend ■ Daily ■ Weekly ■ Fortnightly ■ Monthly Amount
Frequency: ■ Quarterly ■ Half-Yearly ■ Annual

Contact No. 1860 425 7237 (India) E-mail: [email protected]

+91 44 2831 0301 (NRI) SMS SFUND to 56767 (NRI): [email protected]
www.sundarammutual.com Sundaram Mutual Fund
 A Simple Way to Invest-Common Transaction Slip (for Existing Investors Only)
■ (Applicable only for investments through RIA) RIA Consent Declaration: I/We, the above-named person/s have invested in Name:
the Scheme(s) of Sundaram Mutual Fund under Direct Plan under the above mentioned Account No(s)./Folio No(s). Address
I/We hereby give you my/our consent to share/provide the transactions data feed/portfolio holdings/NAV etc. in respect of my/our
investments under Direct Plan of all Schemes managed by you, to the below mentioned Mutual Fund Distributor/SEBI-Registered
Investment Advisor (Correction – Advisor): City PIN
AMFI Registration Number ARN - SEBI Registration No. E-Mail ID Tel.No
KYC details (Mandatory) ■ Individual ■ Non-Individual (Please attach mandatory Ultimate Beneficial Ownership (UBO) declaration form)
Status of First/Sole Applicant [Please (✓)] Occupation Details [Please (✓)] Gross Annual Income (in `) [Please (✓)] PEP Status
■ Listed Company (To be filled only if the applicant is an individual) First Applicant First Applicant
■ Unlisted Company First Applicant For Individuals [Please (✓)] Politically Exposed
■ Private Sector Service ■ Public Sector Service ■ Below 1 Lac ■ 1-5 Lacs Person (PEP) Status (Also applicable for authorised
■ Individual ■ Government Service ■ Business ■ 5-10 Lacs ■ 10-25 Lacs signatories/Promoters/Karta/Trustee/Whole time Directors)
■ Minor through guardian ■ Professional ■ Agriculturist ■ > 25 Lacs - 1 Crore ■ > 1 Crore (or) ■ I am PEP
■ HUF ■ Retired ■ Housewife ■ I am related to PEP ■ Not Applicable
■ Student ■ Forex Dealer Net-worth (Mandatory for non-individuals) ` For Non-Individuals providing any of the below
■ Partnership ...................................................................... as on
■ Others................................... (please specify) mentioned services [Please (✓)]
■ Society/Club Second Applicant | D | D | M | M | Y | Y | Y | Y | (Not older than one year) ■ Foreign Exchange/Money Changer Services
■ Company ■ Private Sector Service ■ Public Sector Service ■ Gaming/Gambling/Lottery/Casino Services
Second Applicant
■ Body Corporate ■ Government Service ■ Business ■ Money Lending/Pawning
■ Professional ■ Agriculturist ■ Below 1 Lac ■ 1-5 Lacs ■ None of the above
■ Trust
■ Retired ■ Housewife ■ 5-10 Lacs ■ 10-25 Lacs Second Applicant
■ Mutual Fund ■ Student ■ Forex Dealer ■ > 25 Lacs - 1 Crore (To be filled only if the applicant is an individual)
■ FPI ■ Others................................... (please specify) ■ I am PEP
■ NRI-Repatriable ■ > 1 Crore (or) Net-worth................................... ■ I am related to PEP
Third Applicant
■ NRI-Non-Repatriable ■ Private Sector Service ■ Public Sector Service Third Applicant ■ Not Applicable
■ FII/Sub account of FII ■ Government Service ■ Business ■ Below 1 Lac ■ 1-5 Lacs Third Applicant
■ Professional ■ Agriculturist ■ 5-10 Lacs ■ 10-25 Lacs (To be filled only if the applicant is an individual)
■ Fund of Funds in India ■ Retired ■ Housewife ■ I am PEP
■ QFI ■ Student ■ Forex Dealer ■ > 25 Lacs - 1 Crore ■ I am related to PEP
■ Others................................... (please specify) ■ Others................................... (please specify) ■ > 1 Crore (or) Net-worth................................... ■ Not Applicable
The below information is required for all applicant(s) / guardian / PoA holder
FATCA-CRS DETAILS For Individuals (Mandatory) Non Individual investors & HUF should mandatorily fill separate FATCA-CRS Annexure
Category First Applicant/Guardian Second Applicant Third Applicant
1. Are you a Tax Resident of
Country other than India?  Yes  No  Yes  No  Yes  No
2. Is your Country of Birth/
citizenship other than India?  Yes  No  Yes  No  Yes  No
3. Is your Residence address /
Mailing address / Telephone  Yes  No  Yes  No  Yes  No
No. other than in India?
4. Is the PoA holder / person to
whom signatory authority is
given, covered under any of the  Yes  No  Yes  No  Yes  No
categories 1, 2 or 3 above?
If you have answered YES to any of above, please provide the below details
Country of Tax Residence
Nationality
Tax Identification Number$
or Reason for not providing TIN
Identification Type (TIN or
Other, please specify)
Residence address for tax
purposes (include City, State,
Country & Pin code)
■ Residential or Business ■ Residential or Business ■ Residential or Business
Address Type ■ Residential ■ Business ■ Residential ■ Business ■ Residential ■ Business
■ Registered Office ■ Registered Office ■ Registered Office
City of birth
Country of birth
$ In case any of applicant being resident/ tax payer in more than one country, provide tax identification number for each such country separately.
Certification & Signatures: I/We hereby declare that all the particulars given herein are true, correct and complete to the best of my/our knowledge and belief. I/ We further agree not to hold
Sundaram Asset Management, its sponsor, their employees, authorised agents, service providers, representatives of the distributors liable for any consequences/losses/costs/damages in case of Signature
any of the above particulars being false, incorrect or incomplete or in case of my/our not intimating/delay in intimating any changes to the above particulars. I/We hereby authorise Sundaram Asset
Management to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/ us, including all changes, updates to such information as and when provided by
me/us, to any Indian or foreign governmental or statutory or judicial authorities/agencies, the tax/revenue authorities, other investigation agencies and SEBI registered intermediaries without any First / Sole
obligation of advising me/us of the same. I/We hereby agree to provide any additional information/documentation that may be required in connection with this application. Applicant /
Certification: I/We have understood the information requirements of this Form (read along with the FATCA-CRS Instructions), and hereby certify that the information provided by me/us on this Form
is true, correct, and complete. I/We also confirm that I/We have read and understood the FATCA-CRS Terms and Conditions and hereby accept the same. Guardian
I/We agree to indemnify Sundaram Asset Management Company Limited in respect of any false, misleading, inaccurate and incomplete information regarding my/our “U.S. person” status for U.S.
federal income tax purposes. or in respect of any other information as may be required under applicable tax laws.
FATCA-CRS Instructions
Details under FATCA-CRS/Foreign Tax Laws: The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income Tax Rules 1962, which Rules require Indian financial Second
institutions such as the Bank to seek additional personal, tax and beneficial owner information and certain certifications and documentation from all our account holders. In certain circumstances Applicant
(including if we do not receive a valid self-certification from you) we may be obliged to share information on your account with relevant tax authorities/appointed agencies. If you have any questions
about your tax residency, please contact your tax advisor. Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days. Towards
compliance, we may also be required to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding from the account or any proceeds in
relation thereto. As may be required by domestic or overseas regulators/ tax authorities, we may also be constrained to withhold and pay out any sums from your account or close or suspend your
account(s).
If you are a US citizen or resident or greencard holder, please include United States in the Country of Tax Residence field along with your US Tax Identification Number. Foreign Account Third Applicant
Tax Compliance provisions (commonly known as FATCA) are contained in the US Hire Act 2010.
$ It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such identifiers. If no TIN is yet available or has not yet been issued, please provide an
explanation with supporting doucments and attach this to the form.

Contact No. 1860 425 7237 (India) E-mail: [email protected]

+91 44 2831 0301 (NRI) SMS SFUND to 56767 (NRI): [email protected]
www.sundarammutual.com Sundaram Mutual Fund