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Reliance Small Cap Fund Application Form

Reliance Small Cap Fund Application Form

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Published by rkdgr87880
Download Reliance Small Cap Fund NFO Application Form
Download Reliance Small Cap Fund NFO Application Form

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Published by: rkdgr87880 on Aug 27, 2010
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   T o   b  e   s  u  b  m   i  t  t  e  d   a  t   A  x   i  s   B  a  n  k   (   C o   l   l  e  c  t   i o  n   C  e  n  t  r  e  s   )
One Indiabulls Centre, Tower 1, 11th & 12th Floor, Jupiter Mill Compound, 841,Senapati Bapat Marg, Elphinstone Road, Mumbai-400 013
APPL N :Nae  Sle / 1s applanEsn Fl N.
Reliance Small Cap Fund
(An Open Ended Euity Scheme)
2. ExiStiNg uNit hoLdEr iNFormAtioN
For eisting investors please ll in your Folio number, name & proceed to Investment & Payment Details.Name & Broker Code / ARNBank Serial No.Registrar Serial No.
Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors’ assessment of various factors including the servicerendered by the distributor.
Unitholding Option - Demat Mode Physical Mode (If demat account details are provided below, units will be alloted by default in electronic mode only)
(Please ensure that the sequence o names as mentioned in the application orm matches with that o the account held with anyone o the Depository Participant.) Demat Account details are compulsory i demat mode is opted above. (Reer Instruction No. II 8) (Optional)
Depository participant Name ______________________________________________________________________________________________DP ID No.Beneficiary Account No.
Depository participant Name ____________________________________________________________________________Target ID No.
2nd holder PAN
Name o Second applicantMr.Ms.
Single Joint (Default)Anyone or Survivor(s)Former or Survivor *Minor(In case of minor with JointApplicant) Resident Indian Minor NRI Repatriable NRI Non Repatriable2nd Holder RI NRI3rd Holder RI NRIPartnership firm FIIsSociety AOP/BOI BanksFIs TrustCompany/Body Corporate HUFOthers ________________Business Professional Service RetiredStudent Housewife Civil ServantPolitician Forex Dealer OthersPolitical Party OfficialCurrent/Former MP/MLA/MLC/Head of StateSenior Executive of State owned corporationIN
Name o First / Sole applicantMr.Ms.M/s.
1st holder PAN
PAN Proo Enclosed
M a n d a t o r y
Date of Birth**
[Are you KYC Compliant Please (
) Yes or No ]KYC Mandatory or investment o Rs. 50,000 & above
M a n d a t o r
[Are you KYC Compliant Please (
) Yes or No ]KYC Mandatory or investment o Rs. 50,000 & above
Received rom ______________________________________________________________________________in Reliance Small Cap Fund Cheque / DD No. ____________________ Dated ____________________ Rs. ________________________drawn on ________________________________________________________________________________
Signature, Date & Stampof receiving office
Growth OptionBonus OptionDividend Payout OptionDividend Reinvestment option
PAN Proo Enclosed
Name o Third applicantMr.Ms.
3rd holder PAN
M a n d a t o r y
[Are you KYC Compliant Please (
) Yes or No ]KYC Mandatory or investment o Rs. 50,000 & above
PAN Proo Enclosed
Guardian’s PAN
*Incase of minor as joint applicant
Name o Guardian (In case o Minor-Contact Person/Designation - In case o non-individual Investors)Mr.Ms.
M a n d a t o r y
[Are you KYC Compliant Please (
) Yes or No ]KYC Mandatory or investment o Rs. 50,000 & above
PAN Proo Enclosed
Relation with Minor/Designation
(**Date of birth mandatory if theapplicant is minor)
Sub Broker / Sub Agent Code
5. Mailing Address of Sole / First Applicant (P.O. Box Address may not be sufficient. Please provide your complete Address) (Refer Instruction No. I.3)
CityAdd 1Add 2Add 3CountryPinStateDistrictTel. No. STD Code __________ Office ________________________ Residence _________________________ Mobile No. _______________________________E-mail ID. _________________________________________________________________Overseas Address (Mandatory for NRI/FII Applicants)
(Please provide your complete Address P.O. BOx address is not sucent)
 ARN - 25682
I/We would like to invest in Reliance Small Cap Fund subject to terms o the Statement o Additional Inormation (SAI) and Scheme Inormation Document (SID)and subsequent amendments thereto. I/We have read, understood (beore lling application orm) and is/are bound to the details o the SAI and SID includingdetails relating to various services including but not limited to ATM/ Debit Card. I/We have not received nor been induced by any rebate or gits, directly orindirectly, in making this investment. I accept and agree to be bound by the said Terms and Conditions including those excluding/ limiting the Reliance Capital AssetManagements Limited (RCAM) liability. I understand that the RCAM may, at its absolute discretion, discontinue any o the services completely or partially withoutany prior notice to me. I agree RCAM can debit rom my olio or the service charges as applicable rom time to time. The ARN holder has disclosed to me/us allthe commissions (in the orm o trail commission or any other mode), payable to him or the dierent competing Schemes o various Mutual Funds rom amongstwhich the Scheme is being recommended to me/us. I hereby declare that the above inormation is given by the undersigned and particulars given by me/us arecorrect and complete. Applicable or NRI Investors: I conrm that I am resident o India. I/We conrm that I am/We are Non-Resident o Indian Nationality/Originand I/We hereby conrm that the unds or subscription have been remitted rom abroad through normal banking channels or rom unds in my/our Non-ResidentExternal / Ordinary Account/FCNR Account. I/We undertake that all additional purchases made under this olio will also be rom unds received rom abroadthrough approved banking channels or rom unds in my/ our NRE/FCNR Account.
9. dEcLArAtioN
8. NomiNAtioN
I/ We do hereby nominate the person(s) more particularly described hereunder in respect o the Units
Name of Nominee(s)Date of BirthName of GuardianProportion (%) by which the units will be sharedby each Nominee (should aggregate to 100%)(to be furnished in case the Nominee is a minor)
7. investment & payment details (sr ao For  rqur for    /Oo (Rfr ruo o. iv ) payment by cash is nOt peRmitted.
Planopngss Andd caesNe ceqe / dd An rs.ceqe / dd N. & daeBan / Ban
Growth PlanGrowthBonus OptionDividend PlanReinvestment OptionPayout Option
10. SiP Auto dEBit rEgiStrAtioN mANdAtE with hdFc/AxiS BANk oNLy (te 2n SiP nsallen sl n be bee10 be,2010)
(Rfr iruo for sip auo d)
Name of the Scheme : Reliance Small Cap FundSIP Date 2 10 18 28 (Select any one Date)(Default 10th)  Enrolment Period (Regular) From: To: Enrolment Period (Perpetual) From: To: (Default) I/We, Mr./Ms./M/s. ____________________________________________________________hereby authorisedebit (as a Standing Instruction) from my/our Account No. _______________________________________________for Rs.(In words)_______________________________________________________________________________ and remit the same on account of RelianceMutual Fund, as per declaration(s) mentioned overleaf.Monthly (Default)Quarterly1 2 9 9HDFC Bank /AXIS Bank to
A/. pe
6. BANk AccouNt dEtAiLS (mANdAtory For rEdEmPtioN / dividENd ANd rEFuNd PAyout) (rEFEr iNStructioN No. iii)
9 Digit MICR Code
M a n d a t o r y
For Credit via NEFT
Account No.
M a n d a t o r yM a n d a t o r y
M a n d a t o r yM a n d a t o r yM a n d a t o r
ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant)
Toll Free 1800-300-11111www.reliancemutual.com
Sole / 1st Applicant / Guardian /Authorised Signatory2nd Applicant / Authorised Signatory3rd Applicant / Authorised SignatoryM a n d a t o r yM a n d a t o r yM a n d a t o r y
This is to inorm you that I/We have registered with Reliance Mutual Fund through their respective banks or Auto Debit Facility and that my payment towards myinvestment in Reliance Mutual Fund shall be made rom my/our below mentioned bank account with your bank. I/We authorise the representative carrying thisAuto Debit mandate to get it veried & eecute. I/We undertake to keep sucient unds in the unding account on the date o eecution o standing instruction.I hereby declare that the particulars given above are correct and complete. I the transaction is delayed or not eected at all or reasons o incomplete or incorrectinormation, I would not hold the Mutual Fund or the Bank responsible. I the SIP debit date to my/ our account happens to be a non business day as per theMutual Fund or a Bank holiday, eecution o the SIP will happen on the net working day and allotment o units will happen as per the Terms and Conditionslisted in the Scheme Inormation Document/statement o additional inormation o the Mutual Fund. The above mentioned Bank shall not be liable or, nor bein deault by reason o, any ailure or delay in completion o this service, where such ailure or delay is caused, in whole or in part, by any acts o God, civil war,civil commotion, riot, strike, mutiny, revolution, re, food, og, war, lightening, earthquake, change o Government policies, Unavailability o Bank’s computersystem, orce majeure events, or any other cause o peril which is beyond the above mentioned Banks reasonable control and which has the eect o preventingthe perormance this service by the above mentioned Bank. The ARN holder has disclosed to me/us all the commissions (in the orm o trail commission or anyother mode), payable to him or the dierent competing Schemes o various Mutual Funds rom amongst which the Scheme is being recommended to me/us.
Sole / 1st Applicant / Guardian/Authorised Signatory2nd Applicant /Authorised Signatory3rd Applicant /Authorised Signatory
SigNAturE (As n Ban re)  pn  SiP
i. gENErAL iNStructioNS For FiLiNg uP thE APPLicAtioN FormS
1. Please read the Key Inormation Memorandum and the Scheme InormationDocument /statement o additional inormation careully beore investing.All applicants are deemed to have read, understood and accepted the termssubject to which this oer is being made and bind themselves to the termsupon signing the Application Form and tendering payment.2. The application orm must be lled in English in BLOCK letters using Black orDark Blue colored ink. Incomplete applications are liable to be rejected. Pleaseensure that the requisite details and documents have been provided. This willhelp in avoiding processing delays and / or rejection o your Application Form.All subscription application orms should be submitted only at designatedbranches o the collecting banks appointed by Reliance Mutual Fund.3. The Applicant’s name and address must be given in ull (P.O. Bo No. aloneis not sucient). In case o multiple applicants, all communication andpayments towards redemption will be made in the name o / avoring rstapplicant only. I the rst applicant is a minor, the name o the Guardian whowill sign on behal o the minor should be lled in the space provided. Pleasell in your date o birth as this may be required or validating your identityor certain transactions/communication. Also, please provide TelephoneNo./E-mail Id. o the rst applicant, so as to acilitate aster and ecientcommunication.4. All applicants must sign the orm, (quoting eisting Folio no, i any). Thumbimpressions must be attested by a Judicial Magistrate/Notary Public underhis/her ocial seal. In case o HUF, the Karta should sign on behal o theHUF. Authorised signatories, signing on behal o a Co./Body Corp./Society/Trust etc should sign under their ocial seal, designation. A list o AuthorisedSignatories with their names & designations duty certied / attested by thebankers should be attached with the application orm.5. Please note that i no Plan is ticked / indicated in the Application orm, theunits will, by deault, be allotted under the Growth Plan o the Scheme.Similarly, Growth Option o the Growth Plan and Dividend Re-investmentOption o the Dividend Plan shall be the deault sub-options.6. Incase o Mode o Holding is not mentioned or Joint Holder’s the deaultmode o holding would be Joint.7. Joint applicant with a Minor shall be permitted only where the Minor(represented by guardian) is the 1st named applicant / beneciary and onlynatural parents shall be permitted as joint applicants with a minor and theHolding basis shall be ‘Former or survivor’ only. A Court-appointed Guardianshall not be permitted to apply as a joint applicant.8. Incase your PAN is KYC compliant. The address you have given in KYC willsupercede the address provided in the orm9. I the SIP Application is rejected, your main application with initial investmentis subject to rejection i the the minimum amount criteria is not satisied10. For Direct Investment Please Mention “Direct in the Column “Name & BrokerCode/ARN”11. NFO Application orms shall be accepted only at the Ais Bank designatedcentres.
ii. APPLicANt’S iNFormAtioN
1. In case the application is made under a Power o Attorney (PoA), aduly certied copy thereo, duly notarised should be submitted with theapplication. The POA document should contain the signatures o both theApplicant & the constituted Attorney.2. Application made by a limited company or by a body corporate or a registeredsociety or a trust, should be accompanied by a copy o the relevant resolutionor authority to make the application, as the case may be, alongwith a certiedcopy o the Memorandum and Articles o Association or Trust Deed / ByeLaws / Partnership Deed, whichever is applicable.3. In case o non-individual applicants, i.e. HUF / Companies / AOP / BOI /Trusts / Societies / FIIs etc. the name, email-ID and telephone number othe contact person to should be provided.4. As per SEBI circular number MRD/DoP/Cir- 05/2007 dated April 27, 2007,PAN shall be the sole identication number or all participants transacting inthe securities market, irrespective o the amount o transaction w.e.. July2, 2007.Accordingly, it is mandatory or investor’s to provide their PAN alongwith asel attested copy o PAN card.I the investment is being made on behal o a minor, the PAN o the minoror ather or mother or the guardian, who represents the minor, should beprovided.Applications received without PAN/PAN card copy will be rejected. ReerSAI or more detail5. Prevention o Money Laundering & Know Your Customer (KYC):In terms o the Prevention o Money Laundering Act, 2002, the Rulesissued there under and the guidelines issued by SEBI regarding the AntiMoney Laundering (AML), all intermediaries, including Mutual Funds, have toormulate and implement a Client Identication Process, commonly reerredto as Know Your Customer or KYC Process, veriy and maintain the record oidentity and address (es) o investors.
The investor’s must ensure that the amount invested in the scheme is derivedonly through legitimate sources and does not involve and is not designed or thepurpose o any contravention or evasion o the provisions o all the applicablelaws, rules and regulations, directions issued by the appropriate authority (theapplicable laws) in orce rom time to time including the Prevention o MoneyLaundering Act, the Income Tax Act, 1961, or the Prevention o Corruption Act,1988, etc.
Pursuant to the above, the AMC may seek inormation or obtain and retaindocumentation used to establish Customers’ identity. It may re-veriy identityand obtain any missing or additional inormation or this purpose.Reliance Mutual Fund / Reliance Capital Trustee Co. Limited / Reliance CapitalAsset Management Limited reserve the right to take all steps and actions,including recording investor(s) / unitholder(s) telephonic calls, and / orobtain and retain documentation or establishing the identity o the investor,proo o residence, source o unds etc. in accordance with the applicablelaws, rom the investor(s) / unitholder(s), as may be required, to ensure theappropriate identication / verication / re-verication o the investor(s) /unitholder(s), the source o unds etc. under its KYC Policy.
The AMC, under powers delegated by the Trustee, shall have absolute discretionto reject any application, prevent urther transactions by a Unit Holder, delayprocessing redemption as per applicable laws or regulations i
(i) ater due diligence, the investor / Unit Holder / a person making thepayment on behal o the investor does not ull the requirements o the“Know Your Customer” as determined by the AMC or the AMC believesthat the transaction is suspicious in nature as regards money laundering.(ii) the AMC determines in its sole discretion that the application doesnot or will not comply with any applicable laws or regulations.In this regard the AMC reserves the right to reject any application and eecta mandatory Redemption o Units. Reer SAI or more details.I the payment or Purchase o Units are made by a third party (e.g. a powero attorney holder, a nancing agency, a relative, etc.), the investor / applicantmay be required to give such details o such transaction so as to satisy theAMC o the source and / or consideration underlying the transaction.6. In case o NRI/FII investors the Account Statements / Redemption Cheques/ Other correspondence will be sent to the mailing address mentioned.7. All applications are accepted subject to detailed scrutiny and verication.Applications which are not complete in all respects are liable or rejection,either at the collection point itsel or subsequently ater detail scrutiny/verication at the back oce o the registrars.8 I the details mentioned in the application are incomplete/incorrect, notmatched with the depository data, the application shall be treated as invalidand shall be liable to be rejected. In case Unit holders do not provide theirDemat Account details, an Account Statement shall be sent to them. Suchinvestors will not be able to trade on the stock echange till the holdingsare converted in to demat orm.9. The Unit holders are given an Option to hold the units by way o an AccountStatement or in Dematerialized (‘Demat’) orm. Unit holders opting to holdthe units in demat orm must provide their Demat Account details in thespecied section o the application orm. The Unit holder intending to holdthe units in Demat orm are required to have a beneciary account withthe DP (registered with NSDL / CDSL as may be indicated by the Fundat the time o launch o the Plan) and will be required to indicate in theapplication the DP’s name, DP ID Number and the beneciary accountnumber o the applicant with the DP. In case Unit holders do not providetheir Demat Account details, an Account Statement shall be sent to them.The details available with the DP regarding demat account o the investorwill be updated in the olio o the investor.
iii. BANk dEtAiLS
1. As per the SEBI guidelines, it is mandatory or investors to mention theirbank account details in the application orm. In the absence o the bankdetails the application orm will be rejected. Wherever possible / availabilityo electronic credit service, RMF will give instruction to the investor’s bankor direct / electronic credit or dividend / redemption payments and suchinstructions will be adequate discharge o RMF towards the said payment.In case the credit is not aected by the unitholder’s banker or any reasonRMF reserves the right to make the payment by a cheque / DD, in case it isnot possible to make the payment through electronic credit. I the electroniccredit is delayed or not aected or credited to a wrong account, on account

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