Transaction Slip Nippon
Transaction Slip Nippon
Please use separate transaction slip for each scheme. This Form is for use of Existing Investors only. To be filled in CAPITAL LETTERS
1. Distributor / Broker Information
Name & Broker Code / ARN Sub Agent ARN Code Sub Agent Code *Employee Unique Identification Number RIA Code++
3. Unitholding Option - Demat Mode Physical Mode These details are compulsory if the investor wishes to hold the units in DEMAT mode. Ref. Instruction No. 10.
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.
National Securities Depository Limited (NSDL) Central Depository Securities Limited (CDSL)
I N
DP ID No. Beneficiary Account No. Target ID No.
Enclosures (Please tick any one box) : Client Master List (CML) Transaction cum Holding Statement Cancelled Delivery Instruction Slip (DIS)
4. Additional Purchase (Refer Instruction No.4.2 & 8) (If the investor wishes to invest in Direct Plan please mention Direct Plan against the scheme name)
Payment Mode : OTBM Facility (One Time Bank Mandate) Cheque DD Funds Transfer Cash$ (Refer Instruction No. 14) RTGS / NEFT
6. Switch (Refer Instruction No. 8) (If the investor wishes to invest in Direct Plan please mention Direct Plan against the scheme name)
Partial Switch OR Full Switch
Amount: ` or Units:
Switch over application needs to be submitted only at Designated Investor Service Centre (DISC) of NIMF
7. Contact Number (The contact details are required for Reference purpose only. Kindly note that the same will not be updated in your folio.)
Mobile No. provided pertains to Self spouse Dependent children Dependent Siblings
Mobile No / Tel No.
Dependent Parents A Guardian in case of a minor
8. Declaration
I/We would like to invest in Nippon India_____________________________ subject to terms of the Statement of Additional Information (SAI), Scheme Information Document (SID), Key Information Memorandum (KIM) and subsequent
amendments thereto. I/We have read, understood (before filling application form) and is/are bound by the details of the SAI, SID & KIM including details relating to various services including but not limited to Nippon India Any Time Money Card.
I/We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. I / We declare that the amount invested in the Scheme is through legitimate sources only and is not designed for the purpose of
contravention or evasion of any Act / Regulations / Rules / Notifications / Directions or any other Applicable Laws enacted by the Government of India or any Statutory Authority. I accept and agree to be bound by the said Terms and Conditions
including those excluding/ limiting the Nippon Life India Asset Management Limited (NAM India) liability. I understand that the NAM India may, at its absolute discretion, discontinue any of the services completely or partially without any prior
notice to me. I agree NAM India can debit from my folio for the service charges as applicable from time to time. 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 hereby declare that the above information is given by the undersigned and particulars given by me/us are correct
and complete. Applicable for NRI Investors: I confirm that I am resident of India. 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. I/We undertake that all additional purchases made under this folio will also be from funds received from abroad
through approved banking channels or from funds in my/ our NRE/FCNR Account.
++ I/We, have invested in the Scheme(s) of your Mutual Fund under Direct Plan. 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 above mentioned Mutual Fund Distributor / SEBI-Registered Investment Adviser. I hereby authorize the representatives of Nippon Life India Asset Management Limited its Associates to
contact me through any mode of communication. This will override registry on DND / DNDC , as the case may be. If the balance in my/our account does not cover the amount / units of the redemption request, I/we authorize you to send
the entire such (lesser) balance to me/us.
Registered Office Address: 4th Floor, Tower A, Peninsula Business Park, Ganapatrao Kadam Marg, Lower Parel (W), Mumbai - 400 013.
With effect from October 1, 2011, in accordance with SEBI Circular No. IMD/DF/9/2011 Rejection of application: Application shall be rejected if: a) Subscription Limit is
dated May 19, 2011, an option to subscribe/hold the units of the Scheme(s)/Plan(s) Exhausted: The amount of subscription through cash (including the subscriptions
of NIMF in dematerialized (demat) form is being provided to the investors in terms made through cash during the financial year) exceeds ` 50,000/-. b) Application
of the guidelines/ procedural requirements as laid by the Depositories is incomplete: Unit allotment for transactions accepted as DISCs of NIMF is subject
(NSDL/CDSL) / Stock Exchanges (NSE / BSE) from time to time. For Further details to verification at the time of final processing. Application shall be liable for
investors are requested to refer SAI. rejection if the same is found to be incomplete in any aspect.
11. As per of SEBI circular CIR/IMD/DF/21/2012 dated September 13, 2012, a unique Payment of Proceeds: Payment in the form of refunds, redemptions, IDCW etc.
identity number of the employee / relationship manager/ sales person of the with respect to Cash investments shall be paid only through banking channel i.e.
distributors interacting with the investor for the sale of mutual fund products, in in the bank account registered in the folio.
addition to the AMFI Registration Number (ARN) of the distributor is required to be Other important points: a) In case of mismatch in the amount mentioned in
mentioned in the application form. application form and cash deposited in bank, units shall be allotted as per credit
12. Employee Unique Identification Number (EUIN) would assist in tackling the received from bank. b) Cash deposited but application not submitted: If cash is
problem of mis-selling even if the employee/relationship manager/sales person deposited directly at branch of Axis Bank Limited and application is not submitted
leave the employment of the distributor. at DISC of NIMF, amount shall be refunded to investor based on receipt of following
documents:
13. In line with SEBI letter no. OW/16541/2012 dated July 24, 2012 addressed to AMFI,
Investments in the mutual fund schemes {including investments through i) Existing Investor: Request letter, Bank acknowledged deposit slip copy.
Systematic Investment Plans (SIPs)} up to ` 50,000/- per investor per year shall be ii) New Investor: Request letter containing the bank details in which the refund
exempted from the requirement of PAN. Investor seeking exemption of PAN will needs to be issued, bank acknowledged deposit slip copy and PAN card copy
need to submit the PAN Exempt KYC Reference No (PEKRN) acknowledgment or any other valid id proof.
issued by KRA along with the application Form. This exemption is applicable only Investors are requested to note that subscription through this mode shall be
for individuals including NRIs, minors acting through guardian, Sole proprietorship accepted subject to compliance with Prevention of Money Laundering Act, 2002
firms and joint holders. In case of joint holders, first holder must not possess a PAN. and Rules framed thereunder, SEBI Guidelines for the same and such other AML
Other categories of investors e.g. PIOs, HUFs, QFIs, non - individuals, etc. are not rules, regulations and guidelines as may be applicable from time to time.
eligible for such exemption.
15. In case there is any change in your KYC information please update the same by
14. Acceptance of Cash investments in schemes of Nippon India Mutual Fund. using the prescribed 'KYC Change Request form' and submit the same at the Point
The Details / Process and conditions for acceptance of such investments are as of Service of any KYC Registration Agency.
follows:
Eligible investors: The facility is available only for below mentioned category of
investors who are KRA-KYC compliant and have a bank account:
i) Resident Individuals.
ii) Minors (investing through Guardian)
iii) Sole Proprietorships.
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Registered Office Address: 4th Floor, Tower A, Peninsula Business Park, Ganapatrao Kadam Marg, Lower Parel (W), Mumbai - 400 013.