Common Equity KIM SEP 2018.cdr

Continuous Offer of Units at NAV Based Prices

Key Information Memorandum &

Common Application Form -

Open Ended Equity and ETF Schemes

Product Labelling

This Key Information Memorandum (KIM) sets forth the information, which a prospective investor ought to know before investing. For further details of the

scheme/Mutual Fund, due diligence certificate by the AMC, Key Personnel, investors’ rights & services, risk factors, penalties & pending litigations etc. investors should, before

investment, refer to the Scheme Information Document and Statement of Additional Information available free of cost at any of the Investor Service Centres or distributors or from the

website www.mutualfund.adityabirlacapital.com

The Scheme particulars have been prepared in accordance with Securities and Exchange Board of India (Mutual Funds) Regulations 1996, as amended till date, and filed with

Securities and Exchange Board of India (SEBI). The units being offered for public subscription have not been approved or disapproved by SEBI, nor has SEBI certified the accuracy or

adequacy of this KIM.

The Mutual Fund/AMC and its empanelled broker(s) has not given and shall not give any indicative portfolio and indicative yield in any communication, in any manner whatsoever.

Investors are advised not to rely on any communication regarding indicative yield/portfolio with regard to the scheme.

This KIM is dated July 31, 2018.

ADITYA BIRLA SUN LIFE MUTUAL FUND

(Formerly Known as Birla Sun Life Mutual Fund)

One India Bulls Centre, Tower 1, 17th Floor, Jupiter

Mill Compound, 841, Senapati Bapat Marg,

Elphinstone Road, Mumbai - 400 013

Tel. 022 43568000

Fax No. 022 43568110/ 8111

Website www.mutualfund.adityabirlacapital.com

ADITYA BIRLA SUN LIFE AMC LIMITED

(Formerly Known as Birla Sun Life Asset Management

Company Limited)

One India Bulls Centre, Tower 1, 17th Floor, Jupiter

Mill Compound, 841, Senapati Bapat Marg,

Elphinstone Road, Mumbai - 400 013

Tel. 022 43568000

Fax No. 022 43568110/ 8111

CIN: U65991MH1994PLC080811

ADITYA BIRLA SUN LIFE TRUSTEE PRIVATE LIMITED

(Formerly Known as Birla Sun Life Trustee Company

Private Limited)

One India Bulls Centre, Tower 1, 17th Floor, Jupiter

Mill Compound, 841, Senapati Bapat Marg,

Elphinstone Road, Mumbai - 400 013

Tel. 022 43568000

Fax No. 022 43568110/ 8111

CIN: U74899MH1994PTC166755

NAME OF MUTUAL FUND NAME OF THE TRUSTEE COMPANYNAME OF THE ASSET MANAGEMENT COMPANY

Aditya Birla Sun Life Frontline Equity

Fund

(An open ended equity scheme

predominantly investing in large

cap stocks)

• long term capital growth

• investments in equity and equity related securities, diversified across various

industries in line with the benchmark index, Nifty 50

Aditya Birla Sun Life Arbitrage Fund

(formerly known as Aditya Birla Sun

Life Enhanced Arbitrage Fund)

(An open ended scheme investing

in arbitrage opportunities)

• Income over short term

• investments in equity and equity related securities including derivatives for taking

advantage from the price differentials/ mis-pricing prevailing for stock/index in

various segments (Cash & Futures)

*Investors should consult their financial advisers if in doubt whether the product is suitable for them.

Moderate

Low

High

Moderately

Low

Moder

ately

High

Investors understand that their principal will be at

moderate risk

LOW HIGH

Moderate

Low

High

Moderately

Low

Moder

ately

High

Investors understand that their principal will be at

moderately high risk

LOW HIGH

PRODUCT LABELLING

Scheme

This product is suitable for investors who are seeking*:

Riskometer

Aditya Birla Sun Life Equity Advantage

Fund

(formerly known as Aditya Birla Sun

Life Advantage Fund)

(An open ended equity scheme

investing in both large cap and mid

cap stocks)

• Long term capital growth and income

• investment predominantly in equity and equity related securities as well as debt

and money market instruments

Aditya Birla Sun Life Equity Hybrid ‘95

Fund

(formerly known as Aditya Birla Sun

Life Balanced ’95 Fund)

(An open ended hybrid scheme

investing predominantly in equity

and equity related instruments)

• Long term capital growth and income

• investment predominantly in equity and equity related securities as well as debt

and money market instruments

Aditya Birla Sun Life Equity Fund

(An open ended equity scheme

investing across large cap, mid cap,

small cap stocks)

• Long term capital growth

• investments in equity and equity related securities

Aditya Birla Sun Life Index Fund

(An open ended scheme tracking

Nifty 50 index)

• Long term capital growth

• investments in stocks in line with Nifty 50 and / or in exchange traded derivatives

on the Nifty 50 to generate comparable returns, subject to tracking errors

Aditya Birla Sun Life Tax Relief ‘96

(An Open ended Equity Linked

Saving Scheme with a statutory

lock-in of 3 years and tax benefit.)

• Long term capital growth

• investments in equity and equity related securities, with tax benefit under section

80C, subject to eligibility

Aditya Birla Sun Life Tax Plan

(An Open Ended Equity Linked

Savings Scheme (ELSS) (All

investments in the scheme are

subject to a lock-in period of 3

years from the date of allotment)

• Long term capital growth

• investments in equity and equity related securities, with tax benefit under section

80C, subject to eligibility

Aditya Birla Sun Life MNC Fund

(An open ended equity scheme

following the MNC theme in its

investments)

• Long term capital growth

• investments primarily in equity and equity related securities of multinational

companies (MNCs)

Aditya Birla Sun Life Midcap Fund

(An open ended equity scheme

predominantly investing in mid cap

stocks.)

• Long term capital growth

• investments primarily in mid cap companies

Aditya Birla Sun Life Focused Equity

Fund

(formerly known as Aditya Birla Sun

Life Top 100 Fund)

(An Open ended Large cap Equity

Scheme investing in maximum 30

stocks.)

• long term capital growth with exposure limited to a maximum of 30 stocks

• investments in equity and equity related securities to form a concentrated

portfolio

Aditya Birla Sun Life Dividend Yield

Fund

(formerly known as Aditya Birla Sun

Life Dividend Yield Plus)

(An open ended equity scheme

predomin an tl y i nvesting i n

dividend yielding stocks)

• Long term capital growth

• investments in equity and equity related securities of companies having relatively

high dividend yield

Aditya Birla Sun Life Small Cap Fund

(formerly known as Aditya Birla Sun

Life Small & Midcap Fund)

(An open ended equity scheme

predominantly investing in small

cap stocks.)

• Long term capital growth

• Investments primarily in Small cap companies

Aditya Birla Sun Life Pure Value Fund

(An open ended equity scheme

following a value investment

strategy)

• long term capital growth

• investments in equity and equity related securities by following value investing

strategy

Aditya Birla Sun Life Balanced

Advantage Fund

(An open ended dynamic asset

allocation fund)

• capital appreciation and regular income in the long term

• investment in equity & equity related securities as well as fixed income securities

(Debt & Money Market securities)

Aditya Birla Sun Life Equity Savings

Fund

(An Open ended scheme investing

in equity, arbitrage and debt)

• Long term capital growth and income

• An open ended equity scheme investing in equity and equity related securities

including the use of equity derivatives strategies and arbitrage opportunities with

balance exposure in debt and money market instruments

*Investors should consult their financial advisers if in doubt whether the product is suitable for them.

Aditya Birla Sun Life India Gennext Fund

(An open ended equity scheme

following Consumption theme)

• long term capital growth

• investments in equity and equity related securities of companies that are expected

to benefit from the rising consumption patterns in India fuelled by high disposable

incomes

Moderate

Low

High

Moderately

Low

Moder

ately

High

Investors understand that their principal will be at

high risk

LOW HIGH

PRODUCT LABELLING

Scheme

This product is suitable for investors who are seeking*:

Riskometer

Aditya Birla Sun Life Gold ETF

(An open ended scheme tracking

physical price of Gold)

• returns that are in line with the performance of gold over long term, subject to

tracking errors.

• investments in physical gold of 99.5% purity (fineness)

Moderate

Low

High

Moderately

Low

Moderately

High

Investors understand that their principal will be at

moderately high risk

LOW HIGH

Aditya Birla Sun Life Nifty ETF

(An open ended scheme replicating

NIFTY 50 index)

• long term capital growth

• investments in stocks in line with Nifty 50 to generate comparable returns, subject

to tracking errors

Aditya Birla Sun Life Sensex ETF

(An open ended scheme replicating

BSE SENSEX index)

• long term capital growth

• investments in stocks in line with BSE SENSEX to generate returns, subject to

tracking errors

Aditya Birla Sun Life Digital India Fund

(formerly known as Aditya Birla Sun

Life New Millennium Fund)

(An open ended equity scheme

investing in the Technology,

Telecom, Media, Entertainment

and other related ancillary sectors.)

• Long term capital growth

• Investments in equity and equity related securities with a focus on investing in IT,

media, telecom related and other technology enabled companies

Aditya Birla Sun Life Infrastructure

Fund

(An open ended equity scheme

investing in Infrastructure sector)

• Long term capital growth

• investments in equity and equity related securities of companies that are

participating in the growth and development of infrastructure in India

Aditya Birla Sun Life International

Equity Fund - Plan A

(An open ended equity scheme

following international theme)

• Long term capital growth

• investments predominantly in equity and equity related securities in the

international markets

Aditya Birla Sun Life International

Equity Fund - Plan B

(An open ended equity scheme

following international theme)

• long term capital growth

• investments in equity and equity related securities in the domestic market (65 to

75%) and in international markets (25 to 35%)

Aditya Birla Sun Life Commodity

Equities Fund – Global Agri Plan

(An open ended equity scheme

following the global agriculture

theme)

• Long term capital growth

• investments in stocks of Agri commodity companies, i.e., companies engaged in

or focusing on the Agri business, whether issued in India or overseas

Aditya Birla Sun Life Banking And

Financial Services Fund

(An open ended equity scheme

investing in the Banking &

Financial Services sectors)

• long term capital growth

• Investments in equity and equity related securities of companies engaged in

banking and financial services.

Aditya Birla Sun Life Manufacturing

Equity Fund

(An open ended equity scheme

following in the Manufacturing

theme.)

• long term capital growth

• investments in equity and equity related securities of companies engaged in

manufacturing sector

TABLE OF CONTENT

Particulars Page No.

Common Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Instructions for filling the Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Request for Online Account Access & Form for Nomination / Cancellation of Nomination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Special Products Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Multi Scheme SIP Facility Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Multi Scheme Century SIP (CSIP) Facility Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

FATCA & CRS Annexure for Individual Accounts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Details of Ultimate Beneficial Owner including Additional FATCA & CRS Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Aditya Birla Sun Life Frontline Equity Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Aditya Birla Sun Life Equity Advantage Fund

(formerly known as Aditya Birla Sun Life Advantage Fund). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Aditya Birla Sun Life Equity Hybrid '95 Fund

(formerly known as Aditya Birla Sun Life Balanced '95 Fund) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Aditya Birla Sun Life Equity Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Aditya Birla Sun Life Index Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Aditya Birla Sun Life Tax Relief' 96 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Aditya Birla Sun Life Tax Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Aditya Birla Sun Life MNC Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Aditya Birla Sun Life Midcap Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Aditya Birla Sun Life India GenNext Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Aditya Birla Sun Life Focused Equity Fund

(formerly known as Aditya Birla Sun Life Top 100 Fund). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Aditya Birla Sun Life Dividend Yield Fund

(formerly known as Aditya Birla Sun Life Dividend Yield Plus). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Aditya Birla Sun Life Digital India Fund

(formerly known as Aditya Birla Sun Life New Millennium Fund) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

Aditya Birla Sun Life Infrastructure Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

Aditya Birla Sun Life International Equity Fund - Plan A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Aditya Birla Sun Life International Equity Fund - Plan B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Aditya Birla Sun Life Commodity Equities Fund - Global Agri Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

Aditya Birla Sun Life Arbitrage Fund

(formerly known as Aditya Birla Sun Life Enhanced Arbitrage Fund) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

Aditya Birla Sun Life Small Cap Fund

(formerly known as Aditya Birla Sun Life Small & Midcap Fund) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Aditya Birla Sun Life Pure Value Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Aditya Birla Sun Life Banking and Financial Services Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

Aditya Birla Sun Life Balanced Advantage Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

Aditya Birla Sun Life Equity Savings Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Aditya Birla Sun Life Manufacturing Equity Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Aditya Birla Sun Life Gold ETF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Aditya Birla Sun Life Nifty ETF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Aditya Birla Sun Life Sensex ETF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

Information Common to all Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

Summary Of Scheme Specific Risk Factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

Investment Strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Risk Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Scheme Portfolio Holdings & Portfolio Turnover Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

Transaction Charges for Applications routed through Distributors/agents only (Refer Instruction 1 (viii))

Employee Unique ID. No. (EUIN)

Sub Broker Code

Sub Broker Name & ARN/ RIA No.Distributor Name & ARN/ RIA No.

Common Application Form

For Resident Indians and NRIs/FIIs/FPIs

(Please read the instructions before filling up the form. All sections to be completed in english in black / blue coloured ink and in block letters.)

Application No.

First Applicant / Authorised Signatory

Second Applicant

Third Applicant

In case the subscription (lumpsum) amount is ` 10,000/- or more and your Distributor has opted to receive Transaction Charges, ` 150/- (for first time mutual fund investor) or ` 100/- (for investor other than

first time mutual fund investor) will be deducted from the subscription amount and paid to the distributor. Units will be issued against the balance amount invested.

Existing Unitholder please fill in your Folio No., Name & Email ID and then proceed to Section 5 (Applicable details and Mode of holding will be as per the existing Folio No.)

Existing Folio No.

Distributor Mobile No. Distributor Email Id

FIRST / SOLE APPLICANT INFORMATION (MANDATORY) (Refer Instruction No. 2,3,4) Fresh / New Investors fill in all the blocks. (1 to 8) In case of investment "On behalf of Minor", Please Refer Instruction no. 2(ii)

Name of First/Sole Applicant

(as per PAN/ Aadhaar Card)#

Mr. Ms.

M/s.

PAN / PEKRN (Mandatory)

Date of Birth**

D D

M M Y

Y Y

AADHAR

Card Number

CKYC

Number

(Prefix

if any)

14 digit CKYC Number

Name of the Second Applicant

(as per PAN/ Aadhaar Card)#

Mr. Ms.

M/s.

PAN / PEKRN (Mandatory)

Date of Birth**

D D

M M Y

Y Y

AADHAR

Card Number

CKYC

Number

(Prefix

if any)

14 digit CKYC Number

Name of the Third Applicant

(as per PAN/ Aadhaar Card)#

Mr. Ms.

M/s.

PAN / PEKRN (Mandatory)

Date of Birth**

D D

M M Y

Y Y

AADHAR

Card Number

CKYC

Number

(Prefix

if any)

14 digit CKYC Number

Name of the Guardian (as per PAN/ Aadhaar Card)# (In case First / Sole Applicant is minor) / Contact Person - Designation - Poa Holder (In case of Non-individual Investors)

Mr. Ms.

M/s.

PAN / PEKRN (Mandatory)

Date of Birth**

D D

M M Y

Y Y

AADHAR

Card Number

CKYC

Number

(Prefix

if any)

14 digit CKYC Number

Relationship of Guardian (Refer Instrcution No. 2(ii))

ISD CODE

TEL: OFF.

TEL: RESI

Proof of the Relationship with Minor**

** Mandatory in case the First / Sole Applicant is Minor

Tax Status [Please tick (3)] (Applicable for First / Sole Applicant)

Resident Individual FIIs NRI - NRO HUF Club / Society PIO Body Corporate Minor Government Body

Trust NRI - NRE Bank and FI Sole Proprietor Partnership Firm QFI Provident Fund Others

(Please Specify)

Acknowledgement Slip (To be filled in by the Investor)

Common Application Form

Application No.

Received from Mr. / Ms. __________________________________________________________ Date : _____/_____/___________

Collection Centre /

ABSLAMC Stamp & Signature

PAN/PEKRN Proof

KYC Complied

Yes

[Please Tick (3)] Enclosed

NECS Form

Aditya Birla Sun Life AMC Limited

(Formerly known as Birla Sun Life Asset Management Company Limited)

Regn. No.: 109. Regd Office: One Indiabulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound,

841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400013

+91 22 4356 7000 | [email protected] | www.adityabirlasunlifemf.com | CIN: U65991MH1994PLC080811

1800-270-7000

adityabirlacapital.com

#The application is liable to get rejected if

does not match with PAN card/ Aadhar card

EUIN is mandatory for “Execution Only” transactions. Ref. Instruction No. 9

I/we hereby confirm that the EUIN box has been intentionally left blank my 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 in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor/sub broker.

Applicable only for Regular Schemes. Please note the Distributor Mobile & Email Id will not be updated in the Broker Master and will be restricted to this transaction only.

Below 1 Lac 1-5 Lacs 5-10 Lacs 10-25 Lacs > 25 Lacs - 1 Crore > 1 Crore

Below 1 Lac

1-5 Lacs 5-10 Lacs 10-25 Lacs

> 25 Lacs - 1 Crore

> 1 Crore OR Net Worth ______________________________________

No.

Scheme Name

Plan / Option

Net Amount Paid (`)

Payment Details

Cheque/DD No./UTR No.

(in case of NEFT/RTGS)

Bank and Branch

ABSL

GO GREEN [Please tick (3)] (Refer Instruction No. 10)

BANK ACCOUNT DETAILS (Please note that as per SEBI Regulations it is mandatory for investors to provide their bank account details) Refer Instruction No. 3(A)

INVESTMENT DETAILS [Please tick (3)] (Refer Instruction No. 5, 9 & 14) (If this section is left blank, only folio will be created)

Joint Single Anyone or Survivor (Default option is Anyone or survivor)

MODE OF HOLDING [Please tick (3)] (Please Refer Instruction No. 2(v))

MAILING ADDRESS OF FIRST / SOLE APPLICANT (P. O. Box Address is not sufficient. Please provide full address.)

CITY

STATE PINCODE

SMS Transact

Mobile No.

+91

I/ We would like to register for my/our SMS Transact and/

or Online Access

Email Id

Facebook Id

Twitter Id

Default Communication mode is E-mail only, if you wish to receive following document(s) via physical mode: [Please tick (3)]

Account Statement

Annual Report

Other Statutory Information

Name of the Bank

Branch Address

Pin Code

City

Account No.

Account Type [Please tick (3)]

11 Digit IFSC Code 9 Digit MICR Code

SAVINGS CURRENT NRE NRO FCNR OTHERS

(Please Specify)

Seperate cheque/ demand draft must be issued for each investment drawn in favour of respective scheme name and the instrument should be crossed “A/c Payee Only”.

Please write appropriate scheme name as well as the Plan/Option/Sub Option

No.

Cheque / DD Favouring

Scheme Name* (refer Instruction 5)

Plan/Option

Cheque

Date

Amount

Invested (`)

Charges^

Net Amount

Paid (`)

Cheque/DD No./UTR No.

(in case of NEFT/RTGS)

ABSL

OCCUPATION [Please tick (3)]

FIRST APPLICANT

Private Sector Service Public Sector Service

Government Service

Business

Professional

Agriculturist

Retired

Housewife

Student Forex Dealer

Others .............................................................................................. (please specify)

GROSS ANNUAL INCOME [Please tick (3)]

FIRST APPLICANT

[Not older than 1 year]

D D

M M Y Y Y Y

SECOND APPLICANT

THIRD APPLICANT

# (Type of Account : Saving / Current / NRE / NRO / FCNR / NRSR) *All purchases are subject to realization of funds ^Refer to Instruction No. 5 (vi)

Net worth (Mandatory for Non - Individuals) Rs. ______________________________________ as on

KYC DETAILS (Mandatory)

SECOND APPLICANT

Private Sector Service Public Sector Service

Government Service

Business

Professional

Agriculturist

Retired

Housewife

Student Forex Dealer

Others .............................................................................................. (please specify)

THIRD APPLICANT

Private Sector Service Public Sector Service

Government Service

Business

Professional

Agriculturist

Retired

Housewife

Student Forex Dealer

Others .............................................................................................. (please specify)

Below 1 Lac

1-5 Lacs 5-10 Lacs 10-25 Lacs

> 25 Lacs - 1 Crore

> 1 Crore OR Net Worth ______________________________________

OVERSEAS ADDRESS (Mandatory for NRI/FII Applicant.)

CITY

ZIP CODECOUNTRY

Drawn on Bank/Branch: ______________________________________________________________ A/c no._____________________________________ A/c Type: ______________

ABSL

Drawn on Bank/Branch: ______________________________________________________________ A/c no._____________________________________ A/c Type: ______________

ABSL

Drawn on Bank/Branch: ______________________________________________________________ A/c no._____________________________________ A/c Type: ______________

Online Access

I am

Politically

Exposed

Person

For Individuals

I am

Related to

Politically

Exposed

Person

Not

Applicable

For Non-Individual Investors (Companies, Trust, Partnership etc.)

Is the company a Listed Company or Subsidiary of Listed Company or Controlled by a Listed Company:

(If No, please attach mandatory UBO Declaration)

Yes No

Foreign Exchange / Money Charger Services

Yes No

Gaming / Gambling / Lottery / Casino Services

Yes No

Money Lending / Pawning

Yes No

DEMAT ACCOUNT DETAILS (OPTIONAL) (Please ensure that the sequence of names as mentioned in the application form matches with that of the A/c. held with the depository participant.) Refer Instruction No. 3(B)

Depository Participant Name: _______________________________

Depository Participant Name: ______________________________________

Beneficiary A/c No.

DPID No.:

Beneficiary A/c No.

I N

NSDL:

CDSL:

Enclosed:

Client Master

Transaction/ Statement Copy/ DIS Copy

NOMINATION DETAILS (Mandatory) (Refer Instruction No. 7)

I/We wish to nominate I/We DO NOT wish to nominate and sign here ................................................................................................. 1st Applicant Signature (Mandatory)

Nominee Name and Address

Guardian Name (in case of Minor)

Allocation %

Nominee/ Guardian Signature

Nominee 1

Nominee 2

Nominee 3

FATCA & CRS INFORMATION [Please tick (3)] For Individual Investors including Sole Proprietor (Non Individual Investors should mandatorily fill seperate FATCA detail form)

The below information is required for all applicant(s)/ guardian

Address Type:

Is the applicant(s)/ guardian's Country of Birth / Citizenship / Nationality / Tax Residency other than India?

If Yes, please provide the following information [mandatory]

Please indicate all countries in which you are resident for tax purposes and the associated Tax Reference Numbers below.

Residential or Business Residential

Business Registered Office (for address mentioned in form/existing address appearing in Folio)

Yes No

Category

First Applicant (including Minor)

Second Applicant/ Guardian

Third Applicant

Name of Applicant

Place/ City of Birth

Country of Birth

Country of Tax Residency#

Tax Payer Ref. ID No^

Identification Type

[TIN or other, please specify]

Country of Tax Residency 2

Tax Payer Ref. ID No. 2

Identification Type

[TIN or other, please specify]

Country of Tax Residency 3

Tax Payer Ref. ID No. 3

Identification Type

[TIN or other, please specify]

#To also include USA, where the individual is a citizen/green card holder of USA. ^In case Tax Identification Number is not available, kindly provide its functional equivalent.

Sole/First Applicant

Second Applicant

Third Applicant

Applicant’s Relationship

with the Nominee

Signature of First Applicant / Authorised Signatory Signature of Second Applicant Signature of Third Applicant

CONFIRMATION CLAUSE

I/We hereby give consent to the Company or its Authorized Agents and third party service providers to use information/data provided by me to contact me through any channel of

communication including but not limited to email, telephone, sms, etc. and further authorise the disclosure of the information contained herein to its affiliates/group companies or

their Authorized Agents or Third Party Service Providers in order to provide information and updates to me on various financial and investment products and offering of other services.

I/We agree that all personal or transactional related information collected/provided by me can be shared/transferred and disclosed with the above mentioned parties including with

any regulatory, statutory or judicial authorities for compliance with any law or regulation in accordance with privacy policy as available at the website of the Company. Yes No

VALUE ADD

I/We am/are interested in knowing my/our credit score and am/are happy to receive help in this regard.

I / We hereby provide my consent to :-

1. Aditya Birla Sun Life AMC Limited and its group companies & associates to conduct check on my/our credit information with any of the credit bureau.

2. Aditya Birla Sun Life AMC Limited and its group companies & associates to conduct a background check either by their employees or through any third party vendor. Yes No

DECLARATION(S) & SIGNATURE(S) (Refer Instruction No. 1)

Date

D D

M M Y Y Y Y

To,

The Trustee,

Aditya Birla Sun Life AMC Ltd.

Having read and understood the contents of the Statement of Additional Information / Scheme Information Document of the Scheme, I/We hereby apply for units of the scheme and agree

to abide by the terms, conditions, rules and regulations governing the scheme. I/We hereby declare that the amount invested in the scheme is through legitimate sources only and does not

involve and is not designed for the purpose of the contravention of any Act, Rules, Regulations, Notifications or Directions of the provisions of the Income Tax Act, Anti Money Laundering

Laws, Anti Corruption Laws or any other applicable laws enacted by the government of India from time to time. I/We have understood the details of the scheme & I/we have not received

nor have been induced by any rebate or gifts, directly or indirectly in making this investment.

For Non-Individual Investors: I/We hereby confirm that the object clause of the constitution document of the entity (viz. MOA / AOA / Trust Deed, etc.), allows us to apply for investment

in this scheme of Aditya Birla Sun Life AMC Ltd. and the application is being made within the limits for the same. I/We are complying with all requirements / conditions of the entity while

applying for the investments and I/We, including the entity, if the case may arise so, hereby agree to indemnify ABSLAMC / ABSLMF in case of any dispute regarding the eligibility, validity

and authorization of the entity and/or the applicants who have applied on behalf of the entity.

For NRIs only: I/We confirm that I am/we are Non Residents of Indian Nationality/Origin and that I/we have remitted funds from abroad through approved banking channels or from funds

in my/our Non-Resident External/Non-Resident Ordinary/FCNR account. (Refer Inst. No. 6)

I/We confirm that details provided by me/us are true and correct.**

I have voluntarily subscribed to the on-line access for transacting through the internet facility provided by Aditya Birla Sun Life AMC Ltd. (Investment Manager of Aditya Birla Sun Life

Mutual Fund) and confirm of having read, understood and agree to abide the terms and conditions for availing of the internet facility more particularly mentioned on the website www.adityabir-

lacapital.com and hereby undertake to be bound by the same. I further undertake to discharge the obligations cast on me and shall not at any time deny or repudiate the on-line transactions

effected by me and I shall be solely liable for all the costs and consequences thereof.

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 acknowledge that the RIA has entered into an agreement with the AMC / MF for accepting transaction feeds under the code. I / We hereby indemnify, defend and hold harmless the AMC /

MF against any regulatory action, damage or liability that they may suffer, incur or become subject to in connection therewith or arising from sharing, disclosing and transferring of the aforesaid

information."

I/We hereby provide my /our consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i) collecting, storing and usage (ii) validating/authenticating and (ii) updating

my/our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA.

I/We hereby provide my/our consent for sharing/disclosing of my Aadhaar number(s) including demographic information with the asset management companies of SEBI registered mutual fund

and their Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios.

FATCA & CRS Declaration: I/ We have understood the information requirements of this Form (read along with FATCA & CRS Instructions) and hereby confirm 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. (Refer

Inst. No. 14)

Instructions for filling the Application Form

1. GENERAL INSTRUCTIONS

i) Please read the terms of the Key Information Memorandum, the Statement of Additional

Information/Scheme Information Document and addenda issued from time to time carefully

before filling the Application Form. Investors should also appraise themselves of the prevailing

Load structure on the date of submitting the Application Form. Investors are deemed to have

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.

ii) Application form should be completed in English and in BLOCK LETTERS. Please tick in the

appropriate boxes wherever applicable.

iii) The signature should be in English or in any of the Indian languages specified in the eighth

schedule of the Constitution of India. Thumb Impressions must be attested by a magistrate or

a notary public or a special executive magistrate under his/her official seal. Applications by

minors should be signed by the guardians. In case of H. U. F., the Karta should sign on behalf of

the H.U.F.

iv) The application complete in all respects along with the cheque / demand draft must be

submitted to the nearest designated Investor Service Centre. Applications incomplete in any

respect or not accompanied by cheque or demand draft of the amount payable are liable to be

rejected and the money paid will be refunded without interest.

v) No receipt will be issued for the application money. The designated Investors Service Centre will

stamp and return the acknowledgment slip in the application form, to acknowledge receipt of

the application.

vi) All cheques and bank drafts must be drawn in favour of “Scheme Name” and crossed “Account

Payee Only”. A separate cheque or bank draft must accompany each application /each Scheme.

In case the Scheme name as provided by investor on the application form and on the payment

instrument are different, the application shall be processed and units allotted of the Scheme as

mentioned in the application Form duly signed by investor.

vii) Investors already holding a folio in Aditya Birla Sun Life AMC Ltd. can provide their existing Folio

Number and Name of applicants(s) corresponding to the said folio. It is the responsibility of the

Investor to ensure correctness of such details provided. The personal details and Bank Account

details as registered in the existing folio number as provided would apply to the said investment

and the registered details would prevail over any conflicting information furnished in this form.

The AMC reserves the right to assign any of the existing Folio Number of the investor against

multiple applications and / or subsequent purchases under this new application form lodged,

with identical mode of holding and address and such other criterions and integrity checks as

may be determined by the AMC from time to time.

viii) TRANSACTION CHARGES

SEBI with the intent to enable investment by people with small saving potential and to

increase reach of Mutual Fund products in urban areas and in smaller towns, wherein the

role of the distributor is considered vital, has allowed AMCs vide its circular No. Cir/ IMD/

DF/13/2011 dated August 22, 2011 to deduct transaction charges for subscription of

` 10,000/- and above. In accordance with the said circular, if the distributor, through

which your application form is being routed, has opted to receive the Transaction

Charges, Aditya Birla Sun Life AMC Ltd. shall deduct the Transaction Charge of ` 150/-

(for First Time Mutual Fund Investor) or ` 100/- (for Investor other than First Time

Mutual Fund Investor i.e. Existing Mutual Fund Investor) from your subscription amount

and pay the same to such distributor. Thereafter, the units shall be allotted against the

balance amount invested after deduction of Transaction charges payable to the

distributor. The statement of account shall clearly state the net investment as gross

subscription less transaction charge and depict the number of units allotted against the

net investment amount.

Please note that Transaction Charges shall not be deducted in the following cases:

a. Purchases / subscriptions for an amount less than ` 10,000/-;

b. Transaction other than purchases / subscriptions relating to new inflows such as Switches /

STPs / Dividend Sweep etc.

c. Purchases / subscriptions made directly with the Mutual Fund (i.e. not routed through

any distributor / agent). In case of investments through Systematic Investment Plan

(SIP):

Transaction charges in case of investments through Systematic Investment Plan (SIP) shall be

deducted only if the total commitment (i.e. amount per SIP installment x No. of installments)

amounts to ` 10,000/- or more. The transaction charges shall be deducted in 3-4 installments.

Investor should note that, as per SEBI circular no. SEBI/IMD/CIR No. 4/ 168230/09,

dated June 30, 2009, the upfront commission, if any, on investment made by the

investor shall continue to be paid by the investor directly to the Distributor by a separate

cheque, based on his assessment of various factors including the service rendered by the

Distributor.

2. INVESTOR PARTICULARS

i) Name and address must be given in full. P.O. Box address is not sufficient. In case of NRIs/ FII

investors an overseas address must be provided.

ii) "On behalf of Minor" Accounts: Name of Guardian must be mentioned if investments are

being made on behalf of a minor. Date of birth is mandatory in case of minor. The minor

shall be the first and the sole holder in the account (folio). No joint holder will be allowed

in an account (folio) where minor is the first or sole holder. Guardian in the account (folio)

on behalf of the minor should either be a natural guardian (i.e. father or mother) or a court

appointed legal guardian and the same must be mentioned in the space provided in

application form. Copy of document evidencing the date of birth of the minor and

relationship of the guardian with the minor (whether natural or legal guardian) should

mandatorily be provided while opening of the account (folio). Also, nomination shall not

be allowed in a folio/account held on behalf of a minor.

iii) In case of an application under Power of attorney or by a limited company, body corporate,

registered society, trust or partnership, etc the relevant Power of attorney or the relevant

resolution or authority to make the application as the case maybe, or duly notarised copy

thereof, along with the Memorandum and Articles of Association/ Bye Laws must be lodged

with the application form.

iv) Documentation to be submitted by Corporate Investors/Societies / Trusts /Partnership Firms/

FIIs

Corporate Trusts Societies Partnership Flls POA

Investors Firms

Board/ Committee Resolution/ Authority Letter 3 3 3 3 3

Trust Deed 3

Partnership Deed 3

Bye-laws 3

List of authorised Signatories with name, 3 3 3 3 3

designation & Specimen Signature

Overseas Auditor’s certificate 3

Power of Attorney 3

The Power of Attorney should necessarily be signed by both the investor and the constituent

Power of Attorney. Where only uncertified photocopies of the documents are submitted /

attached to the application form, the onus for authentication of the documents so

submitted shall be on investors and the ABSLAMC / ABSLMF will accept and act in good

faith on uncertified / not properly authenticated documents submitted/attached with the

application form. Submission of such documents by investors shall be full and final proof of the

non individual investor’s authority to invest and the ABSLAMC/MF shall not be liable under any

circumstances for any defects in the documents so submitted. Non-Individual investors are

required to ensure that the object clause of the constitution document (viz. MOA / AOA / Trust

Deed, etc.) permits investment in the scheme(s) of Aditya Birla Sun Life Mutual Fund. ABSLAMC /

ABSLMF shall accept and process the applications made by these entities in good faith by relying

on the undertaking given with respect to the authority, validity and compliance with all relevant

formalities/conditions etc. in the application for making such investments with Aditya Birla Sun

Life Mutual Fund. Further, ABSLAMC/ABSLMF/Trustees or any of its affiliates shall not be liable in

case of any dispute arising with respect to eligibility, validity and authorization of the entity and/or

the applicants who have applied on behalf of the entity, as applicable.

v) Applicants can specify the mode of holding in the application form as “Single” or “Joint” or

“Anyone or Survivor”. In the case of holding specified as “Joint”, redemption and all other request/

transactions would have to be signed by all unit holders. However, in cases of holding specified as

“Anyone or Survivor”, any one of the unit holders will have the power to make all necessary

requests, without it being necessary for all the unit holders to sign. In the event the account has

more than one registered unit holders and the mode of holding is not specified in the application

form, the default option for holding would be considered to be “anyone or survivor”.

However, in all cases, the proceeds of all dividend/redemption will be paid to the first named

holder. All communications will also be sent to the first named holder.

vi) Investors should clearly indicate their preference of Plan/option on the application form. If no plan

is selected in the application form, the investment will be deemed to be for the default option.

vii) QUALIFIED FOREIGN INVESTOR (QFI): Qualified Foreign Investor (QFI) can invest in the

scheme(s) provided the same is in compliance with SEBI circular CIR / IMD / DF / 14 / 2011 dated

August 9, 2011 read with SEBI circular CIR/ IMD/ FII&C/13/ 2012 dated June 07, 2012, as

applicable.

3 (A). BANK AND PERMANENT ACCOUNT NUMBER DETAILS

Bank Details: In order to protect the interest of investors from fraudulent encashment of cheques, the

SEBI Regulations have made it mandatory for investors to mention in their application / Redemption

request, the bank name and account number.

PAN Details: It is compulsory for all investors to quote their Permanent Account Number (PAN) and

submit copy of the PAN card issued by the Income Tax Department, irrespective of the amount of

investment, while making an application for Purchase of Units. In case of joint applicants, PAN details

of all holders should be submitted. In case the investor making the application is a minor, PAN details of

the Guardian must be submitted. Investors residing in the state of Sikkim are exempt from the

mandatory requirement of PAN proof submission, however sufficient documentary evidence shall have

to be submitted to Aditya Aditya Birla Sun Life Mutual Fund for verifying that they are residents of State

of Sikkim. Investors (being individuals) applying for Micro SIP registrations are exempt from mandatory

requirement of PAN submission. For further details on Micro SIP, documents required etc please refer

instructions in SIP Application Form.

(B). DEMAT ACCOUNT DETAILS: Option to hold Units in dematerialized (demat) form

Pursuant to SEBI Circular no. CIR/IMD/DF/9/2011 dated May 19, 2011, effective October 01, 2011,

investors have an option to subscribe to/hold units of Scheme(s)/Plan(s) viz. open ended, close ended,

Interval (except for exchange traded fund/s) in dematerialized (demat) form.

Consequently, the Unitholders under the Scheme(s)/Plan(s) shall have an option to subscribe to/ hold

the units in electronic (demat) form in accordance with the provisions laid under the respective

Scheme(s)/Plan(s) and in terms of the guidelines/procedural requirements as laid by the Depositories

(NSDL/CDSL) from time to time. Units under Plan(s)/Option(s) of all Schemes of Aditya Birla Sun Life

Mutual Fund with dividend distribution of daily, weekly or fortnightly frequency, as defined under

respective Scheme Information Document, shall be available in physical (non-demat) mode only. Also,

various Special Products/Facilities such as Century SIP, Systematic Withdrawal Plan, Systematic

Transfer Plan, Switching etc. offered by AMC/Mutual Fund shall be available for unitholders in case the

units are held/opted to be held in physical (non-demat) mode.

Investors intending to hold units in electronic (demat) form will be required to have beneficiary account

with a Depository Participant (DP) (registered with NSDL / CDSL) and will be required to indicate, in the

application form, the DP's name, DP ID Number and the Beneficiary account number of the applicant

held with the DP at the time of subscribing to the units. Applicants must ensure that the sequence of

the names as mentioned in the application form matches with that of the Beneficiary account held with

the DP. Names, PAN details, KYC details etc. mentioned in the Application Form will be verified against

the Depository records. If the details mentioned in the application form are found to be

incomplete / incorrect or not matching with the depository records, the application shall be

treated as application for physical (non-demat) mode and accordingly units will be allotted in

physical (non-demat) mode, subject to it being complete in all other aspects. Unitholders who

have opted to hold and thereby allotted units in electronic (demat) form will receive payment of

redemption / dividend proceeds into bank account linked to their Demat account.

Units held in electronic (demat) form will be transferable subject to the provisions laid under the

respective Scheme(s)/Plan(s) and in accordance with provisions of Depositories Act, 1996 and the

Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996 as may be

amended from time to time.

In case, the Unitholder desires to hold the Units in a Dematerialized /Rematerialized form at a later

date, the request for conversion of units held in physical (non-demat) mode into electronic (demat)

form or vice-versa should be submitted alongwith a Demat/Remat Request Form to their Depository

Participant(s). Investors should ensure that the combination of names in the account statement is the

same as that in the demat account.

4. KNOW YOUR CUSTOMER (KYC)

According to guidelines issued by SEBI under 'The Prevention of Money Laundering Act, 2002', Mutual

Funds are required to follow enhanced know your customer (KYC) norms. Investors can visit branches of

ABSLAMC or may visit www.adityabirlacapital.com, www.amfiindia.com and www.cdslindia.com to

know detailed procedure for KYC compliance.

Effective January 01, 2011 it is mandatory for all category of investors to be KYC compliant for

all investment transactions made on or after January 01, 2011, irrespective of amount of

investment.

To further clarify, the above category of investors shall include:

i. their constituted Power of Attorney (PoA) holder, in case of investments through a PoA

ii. each of the applicants, in case of investments in joint names; and

iii. Guardian in case of investments on behalf of minor.

Applications without KYC Acknowledgement letter for the specified category of investors are liable to

be rejected.

Provided further, where it is not possible to verify the KYC compliance status of the investor at the time

of allotment of units, the ABSLAMC shall verify the KYC compliance status of the investor within a

reasonable time after the allotment of units. In the event of non compliance of KYC requirements, the

ABSLAMC reserves the right to freeze the folio of the investor(s) for any kind of transactions or affect

mandatory redemption of unit holdings of the investors at the applicable NAV, subject to payment of

exit load. Investors should note that on completion of KYC Compliance all details of the investor in the

Mutual Fund records will be replaced by the details as given in KYC Application Form by the investor. Any

change in these details like change of Name / Address / Status /Signature, etc. should be given by

Investor directly in the prescribed manner.

Pursuant to SEBI Circular No. MIRSD/ Cir-26/ 2011 dated December 23, 2011, SEBI (KYC Registration

Agency) Regulations, 2011 and SEBI Circular No. MIRSD/SE/Cir-21/2011 dated October 05, 2011,

regarding uniformity in the Know Your Customer (KYC) process in the securities market and

development of a mechanism for centralization of the KYC records to avoid duplication of KYC Process

across the intermediaries in the securities market, the following changes are being made to KYC

process w.e.f. January 01, 2012:

1. SEBI has introduced a common KYC Application Form for all the SEBI registered intermediaries viz.

Mutual Funds, Portfolio Managers, Depository Participants, Stock Brokers, Venture Capital Funds,

Collective Investment Schemes, etc. New Investors are therefore requested to use the common

KYC Application Form and carry out the KYC process including In-Person Verification (IPV) with any

SEBI registered intermediaries including mutual funds. The KYC Application Forms are also

available on our website www.adityabirlacapital.com.

2. The Mutual Fund shall perform the initial KYC of its new investors and may undertake enhanced

KYC measures commensurate with the risk profile of its investors. The Mutual Fund shall upload

the details of the investors on the system of the KYC Registration Agency (KRA). Registrar &

Transfer Agent (RTA) of the Mutual Fund may also undertake the KYC of the investors on behalf of

the Mutual Fund. KRA shall send a letter to the investor within 10 working days of the receipt of the

initial/updated KYC documents from the Mutual Fund, confirming the details thereof.

3. Once the investor has done KYC with a SEBI registered intermediary, the investor need not

undergo the same process again with another intermediary including mutual funds. However, the

Mutual Fund reserves the right to carry out fresh KYC of the investor.

4. It is mandatory for intermediaries including mutual funds to car out In-Person Verification (IPV) of

its new investors w.e.f January 01, 2012. The IPV carried out by any SEBI registered intermediary

can be relied upon by the Mutual Fund. ABSLAMC and NISM/AMFI certified distributors who are

KYD compliant are authorized to undertake the IPV for Mutual Fund investors. Further, in case of

any applications received directly (i.e. without being routed through the distributors) from the

investors, the Mutual Fund may rely upon the IPV (on the KYC Application Form) performed by the

scheduled commercial banks.

5. Existing KYC compliant investors of the Mutual Fund can continue to invest as per the current

practice. However, existing investors are also urged to comply with the new KYC requirements

including IPV as mandated by SEBI.

5. MODE OF PAYMENT

i) Resident investors may make payment by cheque payable locally in the city where the application

form is submitted at the local Aditya Birla Sun Life AMC Ltd. (ABSLAMC) Offices / Authorised

Collection Centres.

ii) The cheque should be drawn on any bank which is situated at and is a member/sub member of the

bankers clearing house or the cheque should be drawn on Bank branch which is participating in ‘Speed

Clearing’ facility made available by Reserve Bank of India (RBI) [i.e. if the presenting bank branch and

location is appearing in list of ‘Speed Clearing’ locations as prescribed by RBI from time to time for Core

Banking Solution (CBS) branches]. Investors are requested to note that only cheques of value of upto

` 1 lacs shall be accepted under this ‘Speed Clearing’ facility. Further, the list of Speed Clearing-

en ab l ed b a nk b r an ch e s ar e h os t ed o n t he we bs i te o f t he R B I un de r t he l i nk

http://www.rbi.org.in/Scripts/bs_viewcontent.aspx?Id=2016.

iii) Payment through Stock invest, outstation cheques and third party payments will not be accepted.

iv) For all mode of payments, details of source account, source bank name and source branch name

should be mentioned.

v) Restriction on acceptance of Third Party Payment:

a) Pursuant to the AMFI Best Practice Guidelines circular on ‘Risk mitigation process against Third-

Party Cheques in mutual fund subscriptions’ read with compliance with ‘Know your Customer

(KYC)’ norms under Prevention of Money Laundering Act, 2002 (PMLA), Aditya Birla Sun Life AMC

Ltd. (ABSLAMC)/ Aditya Birla Sun Life Mutual Fund (ABSLMF) shall not accept applications

for subscriptions of units accompanied with Third Party Payments, except in the cases as

enumerated below in para (c).

b) “Third Party Payment” means payment through an instrument issued from a bank account other

than that of the beneficiary investor. In case of payments from a joint bank account, the first

named investor/holder of the mutual fund folio has to be one of the joint holders of the bank

account from which payment is made.

c) ABSLAMC shall not accept subscriptions accompanied with Third Party Payments except in the

following exceptional situations subject to submission of requisite documentation/declarations

enumerated in para (d) below:

i. Payment by Parents/Grand-Parents/Related persons on behalf of a minor in consideration of

natural love and affection or as gi for a value not exceeding ` 50,000/- (each regular purchase or

per SIP installment) However, this restriction will not be applicable for payment made by a

guardian whose name is registered in the records of Mutual Fund in that folio as a guardian.

ii. Payment by Employer on behalf of employee under Systematic Investment Plans (SIP) through

Payroll deductions.

iii. Custodian on behalf of an FII or a client.

d) In case of ‘exceptional situations’ mentioned above, investors are required to submit following

documents/declarations alongwith the application form without which such applications will be

rejected/ not processed/refunded:

i. Mandatory KYC for all Investors (guardian in case of minor) and the person making the payment

i.e. third party. In order for an application to be considered as valid, investors and the person

making the payment should attach their valid KYC Acknowledgement Letter to the application

form.

ii. A separate, complete and valid ‘Third Party Payment Declaration Form’, inter alia, containing the

details of the bank account from which the payment is made and the relationship with the

investor(s). The declaration has to be given by the person making the payment i.e. Third Party.

Please contact the nearest Investor Service Centre (ISC) of ABSLAMC or visit our website

www.adityabirlacapital.com for the said Declaration Form.

ABSLAMC/ABSLMF shall verify the source of funds to ensure that funds have come from the

drawer’s account only.

e) Investors are requested to note that, in case of:

i. Payment by Cheque: An investor at the time of his/her purchase must provide the details of his

pay-in bank account (i.e. account from which a subscription payment is made) and his pay-out

bank account (i.e. account into which redemption/dividend proceeds are to be paid).

If the name/bank account number is not pre-printed on the cheque and signature on the cheque

does not match with signature on the application, then the first named applicant/investor should

submit any one of the following documents:

a. a copy# of the bank passbook or a statement of bank account having the name and address of

the account holder and account number;

b. a letter* (in original) from the bank on its letterhead certifying that the investor maintains an

account with the bank, along with information like bank account number, bank branch, account

type, the MICR code of the branch & IFSC Code (where available).

# Investors should also bring the original documents along with the documents mentioned in (a)

above to the ISCs/Official Points of Acceptance of ABSLMF. The copy of such documents will be

verified with the original documents to the satisfaction of the ABSLAMC/ABSLMF. The original

documents will be returned across the counter to the investor after due verification.

* In respect of (b) above, it should be certified by the bank manager with his/her full signature,

name, employee code, bank seal and contact number.

Investors should note that where the bank account numbers have changed on account of the

implementation of core banking system at their banks, any related communication from the bank

towards a change in bank account number should accompany the application form for

subscription of units.

ii. Payment by Prefunded Instrument:

(1) If the subscription is settled with pre-funded instruments such as Pay Order, Demand Draft,

Banker’s cheque, etc., a Certificate (in original) from the Issuing banker must accompany the

purchase application, stating the Account holder’s name and the Account number which has

been debited for issue of the instrument.

The account number mentioned in the Certificate should be a registered bank account or the

first named unitholder should be one of the account holders to the bank account debited for

issue of such instruments. Investors may also submit a copy of the acknowledgement from

the bank, wherein the instructions to debit carry the bank account details and name of the

investor as an account holder, or a copy of the passbook/bank statement evidencing the

debit for issuance of a DD, provided bank account number has to match with the details

provided in the application form and name should match with the name of the first named

unitholder.

(2) A pre-funded instrument issued by the Bank against Cash shall not be accepted for

investments of ` 50,000/- or more. This also should be accompanied by a certificate from

the banker giving name, address and PAN (if available) of the person who has requested for

the payment instrument. The name mentioned on the Certificate should match with the

name of the first named unitholder and certificate must state such investor’s bank account

number and PAN as per bank record, if available.

The Certificate(s) mentioned in (1) and (2) above should be duly certified by the bank

manager with his/her full signature, name, employee code, bank seal and contact number.

iii. Payment by RTGS, NEFT, ECS, NECS, Bank transfer, etc: A copy of the instruction to the

bank stating the account number debited must accompany the purchase application. The account

number mentioned on the transfer Instruction copy should be a registered bank account or the

first named unitholder should be one of the account holders to the bank account.

iv. Cash acceptance towards subscription

In accordance with SEBI circular CIR/IMD/DF/10/2014 dated May 22, 2014, Investors who are

KRA-KYC compliant and do not belong to the top 15 cities* may avail of facility of subscribing to

units of the Scheme through cash to the extent of ` 50,000/- per investor per financial year.

However, repayments in form of redemptions, dividend, etc. with respect to investments through

cash, shall be paid only through banking channel. Currently, cash shall be accepted at designated

Investor Services Centers of Computer Age Management Services Pvt. Ltd (CAMS) in Guntur,

Bhagalpur, Palanpur, Satara, Sangli, Bhatinda, Kota, Namakkal, Bareilly and Haldia. For detailed

Address of Investor Services Centers of CAMS, refer address at the end of the document. Also, for

the detailed procedures for making cash applications, Investors may enquire at the said

designated ISCs for further assistance. *Top 15 cities shall mean top 15 cities based on

Association of Mutual Funds in India (AMFI) data on 'AUM by Geography - Consolidated Data for

Mutual Fund Industry' as at the end of the previous financial year. In case the application for

subscription does not comply with the above provisions, ABSLAMC/ABSLMF retains the Sole and

absolute discretion to reject/not process such application and refund the subscription money and

shall not be liable for any such rejection.

vi. Investors residing in Centres, where the Investors service Centres of the mutual fund are not located,

are requested to make payment by demand drafts payable at the Centre where the application is to be

lodged. D.D. charges would be borne by the fund only for the investors residing at places which are not

covered by our office / authorised centres & DD Charges are mentioned in the form. The maximum

charges so borne by the fund would be restricted to limits as prescribed by State Bank of India.

6. NRI INVESTORS

Repatriation basis:

Payments by NRIs/FIIs may be made by way of Indian rupee drafts purchased abroad or out of funds

held in NRE/FCNR account or by way of cheques drawn on non-resident external accounts payable at

par and payable at the cities where the Investor Service Centres are located. In case of Indian rupee dras

purchased and subscriptions through NRIs / FCNR account, an account debit certificate from the bank

issuing the dra confirming the debit should also be enclosed.

Non Repatriation basis:

NRIs investing on a non repatriable basis may do so by issuing cheques/ demand drafts drawn on Non-

Resident of India (NRO) account payable at the cities where the Investor Service Centres are located.

7. NOMINATION

i) Unit holder can nominate (in the manner prescribed under the SEBI Regulations), maximum upto 3

person(s)in whom the Units held by him/her shall vest in the event of his/her death. It shall be

mandatory to indicate clearly the percentage of allocation / share in favour of each of the

nominees against their name and such allocation / share should be in whole numbers without any

decimals making a total of 100 percent. In the event of the Unitholders not indicating the

percentage of allocation / share for each of the nominees, the AMCs, by invoking default option

shall settle the claim equally amongst all the nominees.

ii) Nomination made by unitholder shall be applicable for investments in all the Schemes in the folio

or account and every new nomination for a folio or account will overwrite the existing nomination.

Thus, a new nomination request will imply simultaneous cancellation of existing nomination and

request for fresh nomination.

iii) The nomination can be made only by individuals applying for / holding units on their own behalf

singly or jointly in favour of one or more persons. Non-individuals including society, trust, body

corporate, partnership firm, Karta of Hindu Undivided Family, holder of Power of Attorney cannot

nominate. Nomination form cannot be signed by Power of attorney (PoA) holders.

iv) In case 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”.

v) A minor can be nominated and in that event, the name and address of the guardian of the minor

nominee shall be provided by the unit holder. The Applicant is advised that, in case of Single

Holding, the Guardian to a Minor Nominee should be a person other than the Applicant.

vi) Nomination can also be in favour of the Central Government, State Government, a local authority,

any person designated by virtue of these offices or a religious or charitable trust.

vii) The Nominee shall not be a trust (other than a religious or charitable trust), society, body

corporate, partnership firm, Karta of Hindu Undivided Family or a Power of Attorney holder. A non-

resident Indian can be a Nominee subject to the exchange controls in force, from time to time.

viii) Nomination shall not be allowed in a folio/account held on behalf of a minor.

ix) Nomination in respect of the units stands rescinded upon the transfer of units.

x) Transfer of units in favour of a Nominee shall be valid discharge by the AMC against the legal heir.

xi) The cancellation of nomination can be made only by those individuals who hold units on their own

behalf single or jointly and who made the original nomination.

xii) On cancellation of the nomination, the nomination shall stand rescinded and the AMC shall not be

under any obligation to transfer the units in favour of the Nominee.

xiii) The nomination details as registered with the Depository Participant shall be applicable to

unitholders who have opted to hold units in Demat mode.

xiv) Nomination shall be mandatory for new folios/accounts opened by individuals especially with

sole/single holding and no new folios/accounts for individuals in single holding shall be opened

without nomination. However, in case investors do not wish to nominate must sign separately

confirming their non-intention to nominate, failing which the form may be rejected at the

discretion of the AMC/Mutual Fund.

8. ELECTRONIC PAYOUT OF REDEMPTION/DIVIDEND

ABSLAMC will endeavor to credit the redemptions/dividend payouts directly to the designated Bank

A/c of the unitholders of Aditya Birla Sun Life Mutual Fund schemes through any of the available

electronic mode (i.e. RTGS/ NEFT/ Direct Credit/ NECS/ ECS). ABSLAMC reserves the right to use any

of the above mode of payment as deemed appropriate for all folios where the required information is

available. The Mutual Fund, however, reserves the right to issue a cheque / demand draft inspite

of an investor opting for Electronic Payout.

Aditya Birla Sun Life AMC Limited

(Formerly known as Birla Sun Life Asset Management Company Limited)

Regn. No.: 109. Regd Office: One Indiabulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound,

841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400013

+91 22 4356 7000 | [email protected] | www.adityabirlasunlifemf.com | CIN: U65991MH1994PLC080811

1800-270-7000

adityabirlacapital.com

9. DIRECT APPLICATIONS AND EUIN

a. Investment in Direct Plan: Investors applying under Direct Plan, are advised to write the word

'DIRECT' in the column 'ARN No' or 'Broker Code' in their applications for purchases/additional

purchases/switches in all such cases where applications are not routed through any distributor/

agent/ broker. In cases where unit holder uses a pre-printed transaction slip/application form

where details in the 'ARN No' or 'Broker Code' column is already printed, unit holder should cancel

the ARN No/ Broker Code, write 'DIRECT' in the said column. Also, in case ARN No/ Broker Code

is mentioned in the application form, but “Direct Plan” is indicated, the ARN No/ Broker

Code will be ignored and the application will be processed under Direct Plan, subject to it

being complete in all other aspects. Further, where application is received for Regular Plan

without Distributor code or "Direct" mentioned in the ARN Column, the application will be

processed under Direct Plan.

b. Employee Unique Identification Number (EUIN) is a unique number allotted to Sales personnel i.e.

employee/ relationship manager/ sales person of the distributor interacting with the investor for

the sale of mutual fund products. Such sales personnel associated with Distributor, should also be

holding a valid NISM certificate. Thus, in case of applications routed through distributors, in

addition to the AMFI Registration Number (ARN) of the distributor, Investors are requested

to also provide the EUIN of the individual ARN holder or of employee/relationship

manager/sale person of the Distributor interacting with the investor. Providing appropriate

EUIN in the application/transaction forms would assist in tackling the problem of mis-selling

even if the Sales personnel on whose advice the transaction was executed by investor leaves the

employment of the distributor or his/her sub broker. If the distributor has not given any advice

pertaining to the investment (i.e. transaction is ‘execution only’), then the EUIN box may be left

blank, but it would be mandatory for the investor to provide confirmation as mentioned in the

application form.

10. E-MAIL COMMUNICATION

Account Statements, Quarterly Newsletter, Annual Reports and Transaction Confirmation can be sent

to Unit holders by post / email. Should the Unit holder experience any difficulty in accessing in the

electronically delivered documents, the unit holder shall promptly inform the same to the Mutual Fund.

It is deemed that the Unit holder is aware of all security risks including possible third party interception

of the documents and contents of the documents becoming known to third parties.

11. TERMS AND CONDITIONS FOR ON-LINE ACCOUNT ACCESS

i) User of Customer Identification PIN (CIP) facility in the parlance of Aditya Birla Sun Life AMC Ltd.

(ABSLAMC) means a Unitholder being serviced by ABSLAMC.

ii) A CIP will enable the user to view the Account Statement on the Aditya Birla Sun Life website

(www.adityabirlacapital.com) and other services mentioned herein aer.

iii) The user shall have no objection to ABSLAMC verifying the identity before allotting the CIP.

iv) The CIP allotted to the user is confidential in nature and the user confirms that he/she will keep

the CIP confidential and will not divulge it to anybody else. The user also agrees to take all possible

care to prevent discovery of the CIP by any person. The responsibility for misuse of the CIP of the

User is solely of the user and ABSLAMC shall not be responsible for the use/misuse of the CIP in

any manner whatsoever.

v) The User shall inform ABSLAMC immediately in case the CIP becomes known to any other person.

ABSLAMC may in its absolute discretion, issue to the user a new CIP on similar terms and

conditions or under such terms and conditions as ABSLAMC may deem fit.

vi) ABSLAMC will take reasonable efforts to keep its website updated so as to provide most current

information to the user. The user acknowledges that ABSLAMC expressly disclaims liability for

errors or omissions in the information on the website. The user also recognises that because of

communication and other issues, it is possible that the site may not be operating/working on

many occasions. The user also agrees that the look and feel of the Web screen and outputs there

from may differ based on the nature of the soware used by the user to browse the site. The user

agrees not only to the terms and conditions herein contained but also the disclaimer and other

matters, as may be displayed/posted on the site.

vii) ABSLAMC may, in the interest of the user request a fax confirmation of the Instructions and any

additional information that ABSLAMC may require. ABSLAMC shall not be bound to act on

instructions/ requests received until the said fax confirmation and additional information is

received from the user.

viii) The user shall be fully liable to ABSLAMC for eve transaction entered into using the CIP facility,

whether with or without the knowledge of the user and consequences thereof.

ix) The user shall not use the online services on a PC or other Internet access device which belongs to

any other person or which is provided to the user by his/her employer without such person’s or, as

the case may be, his/her employer’s previous written permission. ABSLAMC will not be

responsible for any harm or loss caused to any person as a result of the user not complying with

this condition. The user indemnifies and agrees to keep ABSLAMC at all times saved, defended,

harmless and indemnified from and against any and all loss, costs, outgoings, expenses, claims,

damages or consequences whatsoever that ABSLAMC may suffer as a result of the user using any

PC or Internet device without the permission of the owner thereof and he/she shall be bound to

compensate. ABSLAMC shall not be liable for the non-suitability thereof or if any other data or

soware contained in such PC or Internet access device through which the online services are

accessed by the user is damaged or lost in any manner whatsoever.

x) The user is aware of all security risks including possible third party interception of his/her account

and the content of his/her account becoming known to third parties. The user accepts that the

use of online services is not a secure method of viewing, accepting and transmitting information

and that it involves security hazards and the risk of any loss of information or obtaining of

information by any third party will be to his/her account and ABSLAMC shall, in no way, be held

responsible for the same and this shall not be considered as a breach of its or its constituent

company – user confidentiality.

xi) The user agrees that the use and storage of any information including without limitation, the CIP,

account information, transaction activity, account balances and any other information available

on the user personal computer is at his/her own risk and is his/her sole responsibility.

xii) The user shall not interfere with, alter, amend, tamper with or misuse in any manner whatsoever

the Online Services and in the event of any damage due to improper or fraudulent use by the user,

he / shall be liable in damages to ABSLAMC.

xiii) In case of any discrepancy in the details of any transaction carried out in respect of the user’s

Account, the user shall be obliged to intimate ABSLAMC thereof in writing within 10 (ten) days of

receipt of the Statement of Account / policy document in respect of the user, failing which the

statement / policy will be deemed to be correct and accepted by the user.

xiv) ABSLAMC is authorized to provide any information or details relating to the user or his/her

account to any third person so far as is necessary to give effect to any instructions or to comply

with any order of Court or of any competent/ statutory authority or as is required under applicable

law.

xv) The user hereby acknowledges that he/she is utilizing this facility at his/her own risk. These risks

would, among others, include the following:

a) Misuse of Password: The user acknowledges that if any third person obtains access to his/her

password such third person would be able to provide transaction request to ABSLAMC. The user

shall ensure that the terms and conditions applicable to the use of the password as contained

herein are complied with at all times.

b) Internet Frauds: The Internet per se is susceptible to a number of frauds, misuse, hacking and

other actions, which could affect Instructions to ABSLAMC. Whilst ABSLAMC shall aim to provide

security to prevent the same, there cannot be any guarantee from such Internet frauds, hacking

and other actions, which could affect Instructions to ABSLAMC. The user shall separately evaluate

all risks arising out of the same.

c) The technology for enabling the services offered by ABSLAMC could be affected by virus or

other malicious, destructive or corrupting code, programme or macro. This could result in delays in

the processing of Instructions or failure in the processing of instructions and other such failures

and inabilities. The user understands that ABSLAMC disclaims all and any liability, whether direct

or indirect, whether arising out of loss of profit or otherwise arising out of any failure or inability by

ABSLAMC to honour any user instruction for whatsoever reason. The user understands and

accepts that ABSLAMC shall not be responsible for any of the aforesaid risks. The user also

accepts that ABSLAMC shall disclaim all liability in respect of the said risks.

xvi) The user acknowledges having read and understood the Terms and Conditions relating to opening

of an account and various services. The user accepts and agrees to be bound by the said Terms

and Conditions including those excluding ABSLAMC’s liability.

xvii) The user understands that ABSLAMC may, at its absolute discretion, alter, suspend or terminate

any of the services completely or partially without any notice to the Unitholder and without

assigning any reasons thereof.

xviii) The user agrees that at present online services are offered as a privilege services to the users

without any charge. However, ABSLAMC may levy any service charges as applicable from time to

time in consideration for the services provided herein. However users not consenting to the

charge then, may opt out of the CIP facility.

xix) ABSLAMC reserves the exclusive right to amend the terms and conditions for issue and use of CIP

to the users witho any prior approval of the user concerned, and thereafter such amended terms

and conditions will apply to the user.

xx) In consideration of ABSLAMC providing the user with the online services, user agrees to indemnify

and keep safe, harmless and indemnified ABSLAMC, its constituent companies, their officers,

employees, successors and assigns from and against all actions, claims, demands, proceedings,

loss, damages, costs, charges and expenses whatsoever which ABSLAMC or its constituent

companies may at any time incur, sustain, suffer or be put to as a consequence of or arising out of

the user’ use of the said online services.

xxi) The user hereby indemnifies and agrees to keep ABSLAMC saved, defended, harmless and

indemnified for all liabilities, losses, damages and expenses which ABSLAMC may sustain or incur

either directly or indirectly as a result of: a) Illegal, unauthorized, fraudulent usage or misuse of the

user’s CIP to access ABSLAMC’s Website; all requests carrying the user’s CIP as evidenced by

electronic records available at ABSLAMC will be the user’s sole responsibility b) Non-compliance

of the terms and conditions relating to online services on ABSLAMC’s website.

xxii) The Courts in Mumbai alone shall have jurisdiction over all disputes arising out of or in respect of

this arrangement.

12. RTGS/ NEFT

Funds Transfer shall be effected only if the recipient/destination Bank/Branch is participating in

RTGS/ NEFT.

It is the responsibility of the Investor to ensure the correctness of the message especially the IFSC code

of the recipient / destination branch & account number. The collecting bank as well as ABSLMF will get

valid discharge if the amount is credited to the account number mentioned in the Application even if

the name of the Investor account holder differs. ABSLMF shall not assume any liability or responsibility

arising out of or made liable for any incorrect request or message.

If the date of payment happens to be a holiday at the centre where the recipient branch is situated, the

credit will be passed on to the Investor on next working day.

ABSLMF shall not be liable for delay in payments to the Investor if:

a. Incorrect and insufficient details are provided.

b. If there is dislocation of work due to circumstances beyond the control of Remitting/ Destination

Banks including but not limited to circumstances like non-functioning of computer system, disruption

of work due to natural calamities, strike, riot etc or Netware or internet problem or other causes beyond

the control of the Branch/bank resulting in disruption of communication, such cases will be settled on

the next working day when RTGS/NEFT is functioning properly.

The Investor hereby agrees and undertakes that he is aware of all the RTGS/NEFT rules set by RBI & to

abide by all the rules, terms, conditions and administrative guidelines issued or which may be issued by

the RBI or any other regulatory authorities applicable to the transactions relating to RTGS/ NEFT

whether directly or/and indirectly.

13. DETAILS UNDER FATCA & CRS

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 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 relevant cases, information will have to be reported to tax authorities / appointed agencies.

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. Should there be any change in any information provided by you, please

ensure you advise us promptly, i.e., within 30 days. Please note that you may receive more than one

request for information if you have multiple relationships with (Insert FI's name) or its group entities.

Therefore, it is important that you respond to our request, even if you believe you have already supplied

any previously requested information.

14. In case 3 (three) consecutive instalments are not honoured/ failed on account of reasons attributable

to the investors like insufficient balance etc. Aditya Birla Sun Life AMC Limited shall discontinue SIP,

SWP and STP registrations

APPLICATION NOT COMPLETE IN ANY RESPECT ARE LIABLE TO BE REJECTED.

THIS PAGE IS INTENTIONALLY LEFT BLANK

Name and Address of Nominee

To be furnished in case Nominee is a Minor (strike out if not applicable)

To,

Aditya Birla Sun Life Mutual Fund, One India Bulls Centre , Tower 1, 17th Floor, Jupiter Mill Compound, 841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400 013.

I/We request Aditya Birla Sun Life AMC Limited (AMC) / Aditya Birla Sun Life Mutual Fund (Mutual Fund) to update the Nomination in the folio as per details mentioned below.

Aditya Birla Sun Life AMC Limited (ABSLAMC)

Customer Service Group

One India Bulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound, 841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400 013

I/We request you to provide me/us the facility to access my/our account over the internet. I/We give below the Ten Digit Folio Number under which I/we hold the investments

I/We authorize ABSLAMC to change the mode of holding in the listed folios to Anyone or Survivor in case the current holding nature is found to be JOINT.

I/We have read and understood the terms and conditions, and agree to abide by the same.

Thanking you,

Yours faithfully,

Note:

Kindly sign as per the mode of holding. If mode of holding is “Joint” all unitholders should sign

Name & Address of the Nominee (s)

Nominee’s relationship

with the unitholder

Date of Birth

(in case nominee is minor)

Percentage (%)* of Allocation

(*should not be in decimals)

Name & Address of the Guardian

(in case nominee is minor)

Signature of Nominee/Guardian

(Guardian, in case nominee is a Minor)

Unit holder (s): (To be signed by all joint holders, even if the mode of holding is not “joint”)

Name

Signature

Name & Address

Signature

Witness (es) - could be the same for all unit holders:

TERMS & CONDITIONS

i) Unit holder can nominate (in the manner prescribed under the SEBI Regulations), maximum upto 3 person(s) in whom the Units held by him/her shall vest in the event of his/her death. It shall be mandatory to indicate clearly the

percentage of allocation / share in favour of each of the nominees against their name and such allocation / share should be in whole numbers without any decimals making a total of 100 percent. In the event of the Unitholders not

indicating the percentage of allocation / share for each of the nominees, the AMCs, by invoking default option shall settle the claim equally amongst all the nominees.

ii) Nomination made by unitholder shall be applicable for investments in all the Schemes in the folio or account and every new nomination for a folio or account will overwrite the existing nomination. Thus, a new nomination request

will imply simultaneous cancellation of existing nomination and request for fresh nomination.

iii) The nomination can be made only by individuals applying for / holding units on their own behalf singly or jointly in favour of one or more persons. Non-individuals including society, trust, body corporate, partnership firm, Karta of

Hindu Undivided Family, holder of Power of Attorney cannot nominate. Nomination form cannot be signed by Power of attorney (PoA) holders.

iv) In case 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”.

v) A minor can be nominated and in that event, the name and address of the guardian of the minor nominee shall be provided by the unit holder. The Applicant is advised that, in case of Single Holding, the Guardian to a Minor Nominee

should be a person other than the Applicant.

vi) Nomination can also be in favour of the Central Government, State Government, a local authority, any person designated by virtue of these offices or a religious or charitable trust.

vii) The Nominee shall not be a trust (other than a religious or charitable trust), society, body corporate, partnership firm, Karta of Hindu Undivided Family or a Power of Attorney holder. A non-resident Indian can be a Nominee subject to

the exchange controls in force, from time to time.

viii) Nomination shall not be allowed in a folio/account held on behalf of a minor.

ix) Nomination in respect of the units stands rescinded upon the transfer of units.

x) Transfer of units in favour of a Nominee shall be valid discharge by the AMC against the legal heir.

xi) The cancellation of nomination can be made only by those individuals who hold units on their own behalf single or jointly and who made the original nomination.

xii) On cancellation of the nomination, the nomination shall stand rescinded and the AMC shall not be under any obligation to transfer the units in favour of the Nominee.

xiii) The nomination details as registered with the Depository Participant shall be applicable to unitholders who have opted to hold units in Demat mode.

xiv) Nomination shall be mandatory for new folios/accounts opened by individuals especially with sole/single holding and no new folios/accounts for individuals in single holding shall be opened without nomination. However, in case investors do not wish to

nominate must sign separately confirming their non-intention to nominate, failing which the form may be rejected at the discretion of the AMC/Mutual Fund.

First Account Holder

Second Account Holder

Third Account Holder

Ten Digit Folio Number Ten Digit Folio Number

Folio Number

NOMINATION DETAILS (Please tick appropriately) (Individuals are advised to avail of Nomination Facility, whether investing singly or jointly.)

I/We do hereby nominate the person/s more particularly described hereunder / and cancel the nomination made by me/us earlier, if any, in respect of account (folio) held by

me/us as provided herein.

I/We also understand that all payments and settlements made to such Nominee (upon such documentation) shall be a valid discharge by the AMC / Mutual Fund.

I/We hereby DO NOT wish to nominate. (Please sign in the box below, if you do not wish to nominate)

Application Number

First Account Holder

Second Account Holder

Third Account Holder

Mobile Number Email Id

Request For Online Account Access (For Existing Investors)

Form for Nomination/ Cancellation of Nomination (to be filled by individual(s) applying singly or jointly)

THIS PAGE IS INTENTIONALLY LEFT BLANK

Date

D D M M

YYY

Application / Folio No.

Request for

Renewal

Fresh Registration

STP SWP

STP/SWP 12/16 - V1

FIRST / SOLE APPLICANT INFORMATION (MANDATORY)

NAME OF FIRST / SOLE APPLICANT

NAME OF THE SECOND APPLICANT

NAME OF THE THIRD APPLICANT

Mr.

Ms.

M/s.

Mr.

Ms.

M/s.

Mr.

Ms.

M/s.

NAME OF THE GUARDIAN (In case First / Sole Applicant is minor) / CONTACT PERSON - DESIGNATION / PoA HOLDER (In case of Non-individual Investors)

Mr.

Ms.

M/s.

RELATIONSHIP OF GUARDIAN (Refer to Instruction No. B.9)

SYSTEMATIC TRANSFER PLAN (STP) (Refer to Instruction No. D)

SYSTEMATIC WITHDRAWAL PLAN (SWP)

Withdrawal Period From

Amount (`) (in figures)

Withdrawal Option

FIXED

APPRECIATION WITHDRAWAL

)]

[ (

Please tick

Withdrawal Frequency

MONTHLY

QUARTERLY

)]

[ (

Please tick

Dates (Only one date)

1st 7th 10th 14th 20th 21st 28th

PLAN OPTION

SCHEME

D D M M Y Y Y Y D D M M Y Y Y Y

DAILY

WEEKLY ________________________

(Please mention any day between Monday to Friday) (Default day is Wednesday)

(Only Monthly, Quarterly, Half Yearly and Yearly option available for Appreciation Withdrawal)

(Please select 4 dates in case of Fast Forward SWP. Applicable only for monthly SWP.)

(Please attach cancelled cheque / cheque copy to opt for electronic payout.)

(For Daily STP and Value STP Target schemes, investor may choose only Growth Option)

(Please mention any day between Monday to Friday, default day is Wednesday)

Amount per transfer: _________________

Transfer Period From

Till Further Instruction

In case of Daily STP minimum no of transfers is 20

No of Transfers____________________ OR

Amount per transfer: ___________________

Transfer Period From

Till Further Instruction

No of Transfers____________________ OR

Transfer Period From

Transfer Period To

Till Further Instruction

D D M M Y Y Y Y

STP Value STP Capital Appreciation Transfer Plan

MONTHLY (max 4 STP dates in a months)

Frequency

)]

[ (

Please tick

WEEKLY ______________________

DAILY

Quarterly

Dates

1st 7th 10th 14th 20th 21st 28th

)][ (

Please tick

(Please select 4 dates in case of Fast Forward STP. Applicable only for Monthly STP)

Frequency

)]

[ (

Please tick

MONTHLY Quarterly

Frequency

)]

[ (

Please tick

MONTHLY Quarterly

D D M M Y Y Y Y

PLAN OPTION

TO SCHEME (TARGET)

PLAN OPTION

FROM SCHEME (SOURCE)

HALF YEARLY

YEARLY

Date of birth**

D D M M YYYY

CKYC Number

Prefix if any

(14 digit CKYC No.)

D D M M YYYY

Prefix if any

(14 digit CKYC No.)

D D M M YYYY

Prefix if any

(14 digit CKYC No.)

D D M M YYYY

Prefix if any

(14 digit CKYC No.)

PAN/PEKRN* (Mandatory)

Sole / First Applicant

Applicant

Second Applicant

Third Applicant

Guardian

*Ref. Instruction No. B-6 **Mandatory in case the First / Sole applicant is a Minor

EUIN is mandatory for “Execution Only” transactions

(PLEASE READ THE INSTRUCTIONS BEFORE FILLING UP THE FORM)

Official Acceptance Point Stamp & Sign

Employee Unique ID. No. (EUIN)

Sub Broker Name & ARN/ RIA No.Distributor Name & ARN/ RIA No.

Special Products Application Form (STP / SWP)

Acknowledgement Slip (To be filled in by the Investor)

SPECIAL PRODUCTS APPLICATION FORM

Application No.

Received from Mr. / Ms. __________________________________________________________ Date : _____/_____/___________

Collection Centre /

ABSLAMC Stamp & Signature

Aditya Birla Sun Life AMC Limited

(Formerly known as Birla Sun Life Asset Management Company Limited)

Regn. No.: 109. Regd Office: One Indiabulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound,

841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400013

+91 22 4356 7000 | [email protected] | www.adityabirlasunlifemf.com | CIN: U65991MH1994PLC080811

1800-270-7000

adityabirlacapital.com

B. INSTRUCTIONS - COMMON TO SWP / STP

C. INSTRUCTIONS - SYSTEMATIC WITHDRAWAL PLAN (SWP)

A. SCHEMES AVAILABLE UNDER THE SPECIAL PRODUCTS (SWP / STP)

SWP All the Open-ended Scheme(s)of Aditya Birla Sun Life Mutual Fund (subject to completion of lock-in period of units in Aditya Birla Sun Life Tax Relief ’96 and Aditya Birla Sun Life Tax Plan)

STP Investors Can transfer “OUT” investment from any of the Open-ended Scheme(s) offered under this common KIM of Aditya Birla Sun Life Mutual Fund and transfer “IN” to any of the Open-ended Scheme(s) offered under this common KIM (except Aditya Birla Sun

Life Gold ETF, Aditya Birla Sun Life Nifty ETF and subject to completion of lock-in period of units in Aditya Birla Sun Life Tax Relief ’96 and Aditya Birla Sun Life Tax Plan at the time of registration).

Please note that daily STP in not available under Aditya Birla Sun Life Gold Fund.

1. New investors who wish to enrol for the special products should fill this form in addition to the Common Application Form. Please complete all

details in the Common Application Form. Details of the Special Products should be provided on this form. Existing investors need to fill up only

this form.

2. For multiple transactions under more than 1 scheme, separate forms need to be utilised.

3. This form should be submitted at least 5 business days before the commencement date.

4. The investor has the right to discontinue SWP / STP at any time he/she so desires by sending a written request at least 5 business days in

advance of the immediate next due date to any of the offices of Aditya Birla Sun Life Mutual Fund or its Authorised Collection Centres. On

receipt of such request the SWP /STP will be terminated.

5. Units will be Allotted / Redeemed / Transferred at the NAV related prices of the 1st and/or 7th and/or 10th and/ or14th and/or 20th and/or 21st

and/or 28th of every month / quarter and Monday and/or Tuesday and/or Wednesday and/or Thursday and/or Friday of every week (or next

business day, if 1st and/ or 7th and/or 10th and/or 14th and/or 20th and/or 21st and/or 28th or the day of the week is a non business day).

An updated account statement will be sent after each transaction under the special products wherever, e-mail address has been provided, the

account statement will be sent through e-mail only. Else, the transaction would reflect as a part of the monthly CAS.

6. It is compulsory for all investors to quote their Permanent Account Number (PAN) and submit copy of the PAN card issued by the Income Tax

Department, irrespective of the amount of investment, while making an application for Purchase of Units. In case of joint applicants, PAN

details of all holders should be submitted. In case the investor making the application is a minor, PAN details of the Guardian must be

submitted. Investors residing in the state of Sikkim are exempt from the mandatory requirement of PAN proof submission, however sufficient

documentary evidence shall have to be submitted to Aditya Birla Sun Life Mutual Fund for verifying that they are residents of State of Sikkim.

7. DIRECT APPLICATIONS AND EUIN :

a. Investment in Direct Plan: Investors applying under Direct Plan, are advised to write the word 'DIRECT' in the column 'ARN No' or 'Broker

Code’ in their applications for purchases/additional purchases/switches in all such cases where applications are not routed through any

distributor/ agent/broker. In cases where unit holder uses a pre-printed transaction slip/application form where details in the 'ARN No' or

'Broker Code' column is already printed, unit holder should cancel the ARN No/ Broker Code, write 'DIRECT' in the said column. Also, in case

ARN No/ Broker Code is mentioned in the application form, but “Direct Plan” is indicated, the ARN No/ Broker Code will be ignored and the

application will be processed under Direct Plan, subject to it being complete in all other aspects. Further, where application is received for

Regular Plan without Distributor code or "Direct" mentioned in the ARN Column, the application will be processed under Direct Plan.

b. Employee Unique Identification Number (EUIN) is a unique number allotted to Sales personnel i.e. employee/ relationship manager/ sales

person of the distributor interacting with the investor for the sale of mutual fund products. Such sales personnel associated with

Distributor, should also be holding a valid NISM certificate. Thus, in case of applications routed through distributors, in addition to the AMFI

Registration Number (ARN) of the distributor, Investors are requested to also provide the EUIN of the individual ARN holder or of

employee/relationship manager/sale person of the Distributor interacting with the investor. Providing appropriate EUIN in the

application/transaction forms would assist in tackling the problem of misselling even if the Sales personnel on whose advice the

transaction was executed by investor leaves the employment of the distributor or his/her sub broker. If the distributor has not given any

advice pertaining to the investment (i.e. transaction is ‘execution only’), then the EUIN box may be left blank, but it would be mandatory

for the investor to provide confirmation as mentioned in the application form.

8. KNOW YOUR CLIENT (KYC)

According to guidelines issued by SEBI under 'The Prevention of Money Laundering Act, 2002', Mutual Funds are required to follow enhanced

know your customer (KYC) norms. Investors can visit branches of ABSLAMC or may visit www.birlasunlife.com, www.amfiindia.com and

www.cdslindia.com to know detailed procedure for KYC compliance.

Effective January 01, 2011 it is mandatory for all category of investors to be KYC compliant for all investment transactions made on or after

January 01, 2011, irrespective of amount of investment.

To further clarify, the above category of investors shall include:

i. their constituted Power of Attorney (PoA) holder, in case of investments through a PoA

ii. each of the applicants, in case of investments in joint names; and

iii. Guardian in case of investments on behalf of minor.

Applications without KYC Acknowledgment letter for the specified category of investors are liable to be rejected. Provided further, where it is

not possible to verify the KYC compliance status of the investor at the time of allotment of units, the ABSLAMC shall verify the KYC compliance

status of the investor within a reasonable time after the allotment of units. In the event of non compliance of KYC requirements, the ABSLAMC

reserves the right to freeze the folio of the investor(s) for any kind of transactions or affect mandatory redemption of unit holdings of the

investors at the applicable NAV, subject to payment of exit load. Investors should note that on completion of KYC

Compliance all details of the investor in the Mutual Fund records will be replaced by the details as given in KYC Application

Form by the investor Any change in these details like change of Name /Address / Status /Signature, etc. should be given by

Investor directly in the prescribed manner.

Pursuant to SEBI Circular No. MIRSD/ Cir-26/ 2011 dated December 23, 2011, SEBI (KYC Registration Agency) Regulations,

2011 and SEBI Circular No. MIRSD/SE/Cir-21/2011 dated October 05, 2011, regarding uniformity in the Know Your

Customer (KYC) process in the securities market and development of a mechanism for centralization of the KYC records to

avoid duplication of KYC Process across the intermediaries in the securities market, the following changes are being made

to KYC process w.e.f. January 01, 2012:

1. SEBI has introduced a common KYC Application Form for all the SEBI registered intermediaries viz. Mutual Funds,

Portfolio Managers Depository Participants, Stock Brokers, Venture Capital Funds, Collective Investment Schemes,

etc. New Investors are therefore requested to use the common KYC Application Form and carry out the KYC process

including In-Person Verification (IPV) with any SEBI registered intermediaries including mutual funds. The KYC

Application Forms are also available on our website www.birlasunlife.com.

2. The Mutual Fund shall perform the initial KYC of its new investors and may undertake enhanced KYC measures

commensurate with the risk profile of its investors.

3. The Mutual Fund shall upload the details of the investors on the system of the KYC Registration Agency (KRA).

Registrar & Transfer Agent (RTA) of the Mutual Fund may also undertake the KYC of the investors on behalf of the

Mutual Fund. KRA shall send a letter to the investor within 10 working days of the receipt of the initial/updated KYC

documents from the Mutual Fund, confirming the details thereof.

4. Once the investor has done KYC with a SEBI registered intermediary, the investor need not undergo the same process

again with another intermediary including mutual funds. However, the Mutual Fund reserves the right to carry out

fresh KYC of the investor.

5. It is mandatory for intermediaries including mutual funds to carry out In-Person Verification (IPV) of its new investors

w.e.f January 01, 2012.

The IPV carried out by any SEBI registered intermediary can be relied upon by the Mutual Fund. ABSLAMC and

NISM/AMFI certified distributors who are KYD compliant are authorized to undertake the IPV for Mutual Fund

investors. Further, in case of any applications received directly (i.e. without being routed through the distributors)

from the investors, the Mutual Fund may rely upon the IPV (on the KYC Application Form) performed by the scheduled

commercial banks.

6. Existing KYC compliant investors of the Mutual Fund can continue to invest as per the current practice. However,

existing investors are also urged to comply with the new KYC requirements including IPV as mandated by SEBI.

9. "On behalf of Minor" Accounts: Name of Guardian must be mentioned if investments are being made on behalf of a minor.

Date of birth is mandatory in case of minor. The minor shall be the first and the sole holder in the account (folio). No joint

holder will be allowed in an account (folio) where minor is the first or sole holder. Guardian in the account (folio) on behalf

of the minor should either be a natural guardian (i.e. father or mother) or a court appointed legal guardian and the same

must be mentioned in the space provided in application form. Copy of document evidencing the date of birth of the minor

and relationship of the guardian with the minor (whether natural or legal guardian) should mandatorily be provided while

opening of the account (folio). Also, nomination shall not be allowed in a folio/account held on behalf of a minor.

10. STP / SWP offered by AMC/Mutual Fund shall be available for unitholders in case the units are held/opted to be held in

physical (non-demat) mode only.

11. The registration would stand terminated automatically under the following scenarios:

1. When balance in the Source scheme is less than the registered STP/SWP Amount

(a) Available Units would be switched / redeemed.

(b) STP/SWP would stand terminated if the available balance during the immediate next instalment continues

to be insufficient or nil

2. When balance in Source scheme is nil the registration would stand terminated

1. Options available and Minimum Amount :

A] Fixed withdrawal: Investors can withdraw fixed amount of Rs. 500/- each and above at regular intervals.

B] Appreciation withdrawal: Investors can withdraw appreciation of Rs. 500/- and above at regular intervals. If the appreciation amount is

less than Rs. 500/- or the specified amount there will be no SWP in that month/quarter. The cumulative appreciation of this period and the

immediately succeeding period shall be paid out subject to it being a minimum of Rs. 500/-.

2. SWP is not available for investments under lock-in period and for investments which are pledged.

3. Unitholders can avail Daily/Weekly SWP only where the registered bank details enable an electronic mode of payment for the SWP amount. A

cancelled cheque/cheque copy to be attached to opt for electronic payout.

4. ABSLAMC will endeavour to credit the redemptions payouts directly to the designated Bank A/c of the unitholders of Aditya Birla Sun Life

Mutual Fund schemes through any of the available electronic mode (i.e. RTGS / NEFT / Direct Credit / NECS). ABSLAMC reserves the right to use

any of the above mode of payment as deemed appropriate for all folios where the required information is available.

The Mutual Fund, however, reserves the right to issue a cheque / demand draft inspite of an investor opting for Electronic Payout.

5. In case of Fixed Withdrawal, if the amount of instalment is more than the amount available in that account for redemption, the entire available

amount will be redeemed and the SWP will terminate automatically.

6. In case of Appreciation Withdrawal, appreciation will be calculated on the units available for redemption at the time of the SWP instalment.

The capital appreciation, if any, will be calculated from the registration date of the Appreciation Withdrawal under the folio, till the first

redemption date. Subsequent capital appreciation, if any, will be the capital appreciation between the previous Appreciation withdrawal date

(where Appreciation withdrawal has been processed and paid) and the next Appreciation withdrawal.

7. Withdrawal Dates:

A) Fixed Withdrawal

a. Daily- Investors can withdraw fixed amount on every Business Day.

b. Weekly- Investor can select any day between Monday, Tuesday, Wednesday, Thursday and Friday as the withdrawal day.

c. Monthly/Quarterly Withdrawal- Investors can withdraw fixed amount on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each

month /quarter for minimum 6 months/ 4 quarter.

B) Appreciation Withdrawal

a. Monthly/Quarterly Withdrawal- Investors can withdraw fixed amount on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each

month/quarter for minimum 6 months/ 4 quarter.

b. Half Yearly/Yearly Withdrawal- Investors can withdraw amount on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each Half

Yearly/Yearly for minimum 4 half yearly/2 yearly installments.

8. Default Dates:

In case of ambiguity in selection of Fixed or Appreciation withdrawal facility, then default option selected will be Fixed

Withdrawal facility.

In case of any ambiguity in selection of withdrawal frequency for Fixed/Appreciation withdrawal facility, the withdrawal

frequency will be ‘Monthly’ and the withdrawal date will be 7 of each month.

In case of any ambiguity in selection of withdrawal frequency of Monthly/Quarterly Fixed and Appreciation withdrawal

facility, the SWP date will be 7 of each month in case of Monthly/Quarterly/Half Yearly/Yearly withdrawal and Wednesday in

case of Fixed Weekly withdrawal facility.

9. SWP will be available at Daily, Weekly, Monthly, Quarterly, Half Yearly and Yearly intervals. (Only Monthly, Quarterly, Half

Yearly and Yearly withdrawal available for Appreciation withdrawal)

10. Fast Forward Facility: Investors availing only for monthly SWP facility can opt for multiple dates, maximum upto any four

dates within a month and in this case the dates can be dated 1st and / or 7th and / or 10th and/or 14th and/or 20th and/ or

21st and/ or 28th of each month.

11. Unitholders can enroll themselves for the facility by submitting the duly completed enrolment Form along with cancelled

cheque copy to enable electronic payout at the Investor Service Centres (ISCs)/Official Points of Acceptance (OPAs).

(To be signed by All Applicants if mode of operation is Joint)

Signature(s)

Sole / Unit Holder / First Applicant Second Unit Holder / Second Applicant

Having read and understood the contents of the Statement of Additional Information / Scheme Information Document of the scheme(s), I/We hereby apply to the Trustee of Aditya Birla Sun Life Mutual Fund for units of scheme(s) of Aditya

Birla Sun Life Mutual Fund as indicated above and agree to abide by the terms, conditions, rules and regulations of the scheme (s). I/We hereby declare that the particulars given herein are correct and complete. I/We confirm that I/we have

not received and will not receive any commission or brokerage or any other incentive in any form, directly or indirectly, for subscribing to units issued under any of the scheme(s).

I/We hereby declare that the amount invested in the scheme(s) is through legitimate sources only and does not involve and is not designed for the purpose of any contravention or evasion of any Act, Rules, Regulations, Notifications or

Directions of the provisions of Income Tax Act, 1961, Prevention of Money Laundering Act, 2002, Prevention of Corruption Act, 1988 or any other applicable laws enacted by the Government of India from time to time.

For NRIs/FIIs only: I/We confirm that I am/we are Non Residents of Indian Nationality/origin and that I/We have remitted funds from abroad through approved banking channels or from funds in my/our Non-resident External

Account/FCNR account/NRO/NRSR Account.

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.

An application for SYSTEMATIC WITHDRAWAL PLAN / SYSTEMATIC TRANSFER PLAN

Scheme Name______________________________________________________Plan ___________________________________ Option________________________________

To Scheme Name________________________________________________Plan ______________________________________ Option________________________________

Amount (`) _______________________________________

Request for

Fresh Registration

Renewal

ACKNOWLEDGEMENT SLIP (To be filled in by the Investor)

SPECIAL PRODUCTS APPLICATION FORM

DECLARATION AND SIGNATURES

Third Unit Holder/ Third Applicant

Quarterly

th th

1 , 7 , 10 , 14 ,

20 , 21 , 28

For STP installments greater than ` 500 but less than ` 999, Unitholders are

required to instruct for minimum 12 transfers of ` 500 and in multiples of ` 1

thereafter.

For STP installments of ` 1000 and above, Unitholders are required to instruct

for minimum 6 transfers of ` 1000 and in multiples of ` 1 thereafter.

Frequency

Trigger Dates

Minimum Value STP amount (Rs.)

Monthly

Illustration:

Transferor Scheme:

Transferee Scheme:

Date & Frequency of Value STP :

BSL Cash Manager Fund- Growth

BSL Front Line Equity- Growth

14th of every month, Monthly

D. INSTRUCTIONS - SYSTEMATIC TRANSFER PLAN (STP)

1. Minimum Amount: A] Daily Plan : Minimum 20 Transfers of ` 500/- each and in multiples of ` 100/- thereafter.

B] Weekly / : For STP installments greater than ` 500 but less than ` 999, Investors are required to

Monthly / : instruct for minimum 12 transfers of ` 500 and in multiples of ` 1 thereafter.

Quarterly Plan For STP installments greater than ` 1000 and above, Investors are required to instruct for

minimum 6 transfers of ` 1000 and in multiples of ` 1 thereafter.

2. Minimum balance in the Scheme at the time of enrolment for any STP Facility: DailySTP ` 10,000/-, WeeklySTP ` 6,000/-, MonthlySTP

` 6,000/- Quarterly STP ` 8,000/-

3. STP is not available for investments under lock-in period.

4. Transfer Frequency available for STP are Daily, Weekly, Monthly and Quarterly

5. Transfer Dates :

Daily STP: The commencement date for transfers shall be the 5th business day (or the next business day, if that day is a non business day) from

the date of receipt of a valid request. STP transfers shall be effected on all business days at NAV based prices, subject to applicable load. Thus, in

the event of an intervening non-business day STP triggers will take place to the next business day and accordingly the end date to trigger all

installment mentioned by the investor shall be extended i.e., For e.g. if the investor has opted for 100 installments and if 3 non-business days

happen to occur in the intervening period, then STPs will be triggered for all the 100 installments.

Weekly Systematic Transfer Plan: Transfers shall be on Monday, Tuesday, Wednesday, Thursday or Friday of each week.

Monthly Systematic Transfer Plan: Transfers can be on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each month for minimum 6 transfers.

Quarterly Systematic Transfer Plan: Transfers can be on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each quarter for minimum 4 quarters.

6. Fast Forward Facility: Investors availing monthly STP facility can opt for multiple dates, maximum upto any four dates within a month and in this

case the dates can be dated 1st and / or 7th and / or 10th and/or 14th and/or 20th and/ or 21st and/ or 28th of each month.

7. Default Dates:

Monthly/Quarterly: In case of any ambiguity in selection of transfer frequency, the STP date will be 7 of each month / quarter. In case where

more than 4 dates are specified, default dates will be 7, 14 , 21 & 28 of each month.

Weekly: In case of any ambiguity in selection of transfer frequency, the STP day will be as ‘Wednesday’.

8. Minimum Application Amount’ specified in the SID(s) of the respective designated Transferee Scheme(s) will not be applicable for STP

registration.

9. Daily STP

a) There will be no maximum limit on number of transfers/duration for Daily STP enrolment. In case, the investor fails to specify the number of

transfers/duration under Daily STP, transfers shall continue to be triggered perpetually or until further valid instructions from the investor until

the outstanding balance in “Out” scheme does not cover the Daily STP transfer amount. The minimum amount for fresh/additional purchases as

per subscription rules of “In” scheme shall not be applicable to Daily STP triggers.

b) Daily STP shall not be available under Monthly Systematic Transfer Facility (STP) For Aditya Birla Sun Life Century SIP.

c) Only one Daily STP would be allowed per Plan/Option of the Source Scheme into a distinct Target Scheme. For e.g.: In case Daily STP exists from

‘Scheme A-Growth option’ into ‘Scheme B-Growth

10. Value STP

a. Value STP is a facility wherein Unit holder(s) can opt to transfer variable amounts into the Transferee Scheme from the Transferor Scheme

on the date of transfer at predetermined intervals. The amount to be transferred will be arrived at on the basis of the difference between the

Investment Value [(first installment amount) X (number of instalments; including the current instalment)] and the actual Market Value of

the holdings in the Transferee Scheme on the date of transfer.

b. The first Value STP installment will be processed for the first installment amount specified by the Unitholder at the time of enrolment. From

th second Value STP installment onwards, the transfer amount may be higher or lower than the first installment amount, as derived by the

formula stated below:

[(First installment amount) X (Number of installments including the current installment)] - (Market Value of the investments

through Value STP in the Transferee Scheme on the date of transfer)

c. On the date of transfer, if the market value of the investments in the Transferee Scheme through Value STP is higher than the Investment

Value for that month [(first installment amount) X (number of installments; including the current installment)], then there would be no

transfer effected from the Transferor Scheme.

d. If the amount of transfer as calculated by the above formula is less than Rs.500, then the default amount of Rs. 500 will be transferred to

the Transferee Scheme. However, in case of redemption or switch-out of Units allotted under Value STP in the Transferee Scheme, the

balance instalments under Value STP will be processed for the fixed instalment amount only as specified by the Unitholder at the time of

enrolment.

2. Minimum balance in the Scheme at the time of enrolment for any STP Facility: DailySTP ` 10,000/-, WeeklySTP ` 6,000/-, MonthlySTP ` 6,000/-

Quarterly STP ` 8,000/-

3. STP is not available for investments under lock-in period.

4. Transfer Frequency available for STP are Daily, Weekly, Monthly and Quarterly

5. Transfer Dates :

Daily STP: the commencement date for transfers shall be the 5th business day (or the next business day, if that day is a non business day) from

the date of receipt of a valid request. Thereafter, transfers shall be effected on all business days at NAV based prices, subject to applicable exit

load. Thus, in the event of an intervening non-business day STP triggers will not take place and consequently the total number of Daily STP

instalments opted by the investor will be adjusted to that extent i.e., For eg. if the investor has opted for 100 instalment and if 3 non-business

days happen to occur in the intervening period, then only 97 Daily STP instalments shall be triggered.

Weekly Systematic Transfer Plan: Transfers shall be on Monday, Tuesday, Wednesday, Thursday or Friday of each week.

Monthly Systematic Transfer Plan: Transfers can be on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each month for minimum 6 transfers.

Quarterly Systematic Transfer Plan: Transfers can be on 1 or 7 or 10 or 14 or 20 or 21 or 28 of each quarter for minimum 4

quarters.

6. Fast Forward Facility: Investors availing monthly STP facility can opt for multiple dates, maximum upto any four dates within a

month and in this case the dates can be dated 1st and / or 7th and / or 10th and/or 14th and/or 20th and/ or 21st and/ or 28th of

each month.

7. Default Dates:

Monthly/Quarterly: In case of any ambiguity in selection of transfer frequency, the STP date will be 7 of each month / quarter. In

case where more than 4 dates are specified, default dates will be 7, 14 , 21 & 28 of each month.

Weekly: In case of any ambiguity in selection of transfer frequency, the STP day will be as ‘Wednesday’.

8. Minimum Application Amount’ specified in the SID(s) of the respective designated Transferee Scheme(s) will not be applicable for

STP registration.

9. Daily STP

a) There will be no maximum limit on number of transfers/duration for Daily STP enrolment. In case, the investor fails to specify the

number of transfers/duration under Daily STP, transfers shall continue to be triggered perpetually or until further valid instructions

from the investor until the outstanding balance in “Out” scheme does not cover the Daily STP transfer amount. The minimum

amount for fresh/additional purchases as per subscription rules of “In” scheme shall not be applicable to Daily STP triggers.

b) Daily STP shall not be available under Monthly Systematic Transfer Facility (STP) For Aditya Birla Sun Life Century SIP.

c) Only one Daily STP would be allowed per Plan/Option of the Source Scheme into a distinct Target Scheme. For e.g.: In case Daily

STP exists from ‘Scheme A-Growth option’ into ‘Scheme B-Growth

10. Value STP

a. Value STP is a facility wherein Unit holder(s) can opt to transfer variable amounts into the Transferee Scheme from the

Transferor Scheme on the date of transfer at predetermined intervals. The amount to be transferred will be arrived at on the

basis of the difference between the Investment Value [(first installment amount) X (number of instalments; including the

current instalment)] and the actual Market Value of the holdings in the Transferee Scheme on the date of transfer.

b. The first Value STP installment will be processed for the first installment amount specified by the Unitholder at the time of

enrolment. From th second Value STP installment onwards, the transfer amount may be higher or lower than the first

installment amount, as derived by the formula stated below:

[(First installment amount) X (Number of installments including the current installment)] - (Market Value of the

investments through Value STP in the Transferee Scheme on the date of transfer)

c. On the date of transfer, if the market value of the investments in the Transferee Scheme through Value STP is higher than the

Investment Value for that month [(first installment amount) X (number of installments; including the current installment)],

then there would be no transfer effected from the Transferor Scheme.

d. If the amount of transfer as calculated by the above formula is less than Rs.500, then the default amount of Rs. 500 will be

transferred to the Transferee Scheme. However, in case of redemption or switch-out of Units allotted under Value STP in the

Transferee Scheme, the balance instalments under Value STP will be processed for the fixed instalment amount only as

specified by the Unitholder at the time of enrolment.

e. The total amount invested through Value STP over its tenure in the Transferee Scheme, may be higher or lower than the Total

Investment Value of the investment i.e. the [(first installment amount) X (total number of installments specified by the

Unitholder)]. This may be on account of fluctuations in the market value of the Units of the Transferee Scheme.

f. The maximum amount of transfer under this option would be limited to twice the amount per transfer specified in the

application form.

g. The frequencies available under this facility are as follows: Monthly & Quarterly

h. The minimum number of installments and amount for enrollment to avail Value STP are as below:

I. In case none of the frequencies have been selected or in case of any ambiguity, Monthly frequency shall be treated as the

default Frequency. If STP date is not specified or in case of any ambiguity then 7th Business Day of the month will be treated as

default date.

j. In case the date of transfer falls on a Non-Business Day, the immediate next Business Day will be considered for the purpose of

determining the applicability of NAV.

k. In case of valid enrolment forms received, indicating choice of option other than the Growth Option in the Transferee Scheme,

it will be deemed as the Growth Option in Transferee Scheme and processed accordingly.

l. A Single Value STP Enrolment Form can be filled for transfer into one Scheme/Plan/Option only

m. Unitholder has the right to discontinue Value STP at any time he/ she so desires by sending a written request at least 7 (seven)

in advance to any of the offices of the Fund or its Authorised Collection Centres.

n. Value STP will be terminated / not processed under the following circumstances: (i) On marking of lien or pledge of Units in the

Transferor Scheme (ii) On receipt of intimation of death of the Unitholder

Amount of Transfer per Installment:

Number of Installments:

Enrolment Period :

10,000

January 2015- December 2015

Date

NAV of

ABSL Cash

Manager Fund

14-Jan-15

16-Feb-15

16-Mar-15

15-Apr-15

14-May-15

15-Jun-15

14-Jul-15

14-Aug-15

14-Sep-15

14-Oct-15

16-Nov-15

14-Dec-15

330.0127

332.1741

334.3433

336.9915

338.796

341.4352

343.6009

345.9945

347.8153

350.6926

352.8977

354.4235

30.3019

28.1598

30.8035

28.1082

35.6188

31.9854

18.5268

25.5784

44.9699

22.7444

35.7511

34.2108

3008.5246

2980.3648

2949.5613

2921.4531

2885.8343

2853.8490

2835.3221

2809.7437

2764.7739

2742.0294

2706.2783

2672.0675

157.73

167.92

165.41

168.32

159.62

156.68

166.17

168.9

156.99

160.52

156.32

153.3

10000.00

10646.04

19701.05

30527.78

37932.51

49079.06

63634.16

71150.03

74358.79

92023.70

97383.50

107874.87

10000.00

9,353.96

10,298.95

9,472.22

12,067.49

10,920.94

6,365.84

8,849.97

15,641.21

7,976.30

12,616.50

12,125.13

63.3995

55.7049

62.2632

56.2751

75.6014

69.7022

38.3092

52.3977

99.6319

49.6904

80.7094

79.0941

63.3995

119.1043

181.3675

237.6426

313.2440

382.9461

421.2553

473.6530

573.2849

622.9753

703.6847

782.7789

10,000.00

20,000.00

30,000.00

40,000.00

50,000.00

60,000.00

70,000.00

80,000.00

90,000.00

1,00,000.00

1,10,000.00

1,20,000.00

No. Of Units

Transfered

from ABSL Cash

Manager Fund

No. Of Units

Outstanding

in ABSL Cash

Manager Fund

NAV of

ABSL Front

Line Equity-

Growth

Market

Value of

Prev Units (Rs

Value STP

Amount (Rs.)

No. of Units to

be switched to

ABSL Front Line

Equity- Growth

Outstanding

Units in

ABSL Front Line

Equity- Growth

First

Installment

Amount X No of

installment

Calculation of Value STP amount of the second installment i.e. 16-Feb-15:

a. First Installment Amount- Rs. 10000/-

b. Number of installments including the current installment is 2

c. Total of 63.3995 units allotted up to the date of last installment i.e. January 2015 in ABSL Front Line Equity- Growth. The NAV of ABSL Front Line Equity- Growth on February 16, 2015 is 167.92/- per unit. Hence the market value of the investment in ABSL Front Line Equity- Growth on

the date of transfer is Rs. 1,0646.04 [167.92 X 63.3995].

d. Amount Derived for second installment Amount from the formula - [(First installment amount) X (Number of installments including the current installment)] - (Market Value of the investments through Value STP in the Transferee Scheme on the date of transfer) is -

[(Rs 10000) X 2 ] - Rs. 10,646.04 = Rs. 9,353.96

12. Capital Appreciation Transfer Plan

Capital Appreciation Transfer Plan is a facility wherein the Unitholders can opt for the Systematic Transfer Plan by providing instruction to transfer capital appreciation at regular intervals - Monthly or Quarterly under the open-ended Scheme(s) of the fund (except Aditya Birla Sun

Life Gold ETF and Aditya Birla Sun Life Nifty ETF).

a. Capital Appreciation Transfer Plan is a facility wherein the Unitholders can opt for the Systematic Transfer Plan by providing instruction to transfer capital appreciation at regular intervals - Monthly or Quarterly under the open-ended Scheme(s) of the fund (except Aditya Birla

Sun Life Gold ETF and Aditya Birla Sun Life Nifty ETF).

b. The transfer shall take place at a defined time on a periodic basis.

c. The minimum amount required to trigger instalment under Capital Appreciation Transfer Plan is Re. 1 and in multiples of Re. 1 thereafter

d. The capital appreciation, if any, will be calculated from the registration date of the Capital Appreciation Transfer under the folio, till the first transfer date. Subsequent capital appreciation, if any, will be the capital appreciation between the previous successful Capital

Appreciation Transfer date (where Capital Appreciation Transfer has been processed and paid) and the next Capital Appreciation Transfer date. Appreciation will be calculated on the units available for transfer at the time of the STP instalment.

e. Capital Appreciation Transfer Plan is offered at Monthly and Quarterly intervals. In case none of the frequencies have been selected or in case of any ambiguity, Monthly frequency shall be treated as the default Frequency. If STP date is not specified or in case of any ambiguity

then 7th Business Day of the month will be treated as default date. In case the date of transfer falls on a Non-Business Day, the immediate next Business Day will be considered for the purpose of determining the applicability of NAV.

f. A Single Capital Appreciation Transfer Enrolment Form can be filled for transfer into only one Scheme/Plan/Option.

g. Unitholder has the right to discontinue Cap STP at any time he/ she so desires by sending a written request at least 7 (seven) days in advance to any of the offices of the Fund or its Authorised Collection Centres.

h. Capital Appreciation Transfer Plan will be terminated / not processed under the following circumstances: (i) On marking of lien or pledge of Units in the Transferor Scheme (ii) On receipt of intimation of death of the Unitholder.

SWP

As applicable to respective schemes at the date of withdrawal.

STP

Exit Load at time of transfer OUT: Exit Load as applicable to respective schemes.

Entry Load at time of transfer IN: Nil

Exit Load at time of redemption: Exit Load as applicable to respective schemes.

E. LOAD STRUCTURE

THIS PAGE IS INTENTIONALLY LEFT BLANK

(To be signed by All Applicants if mode of operation is Joint)

Signature(s)

Name of First Unit Holder Name of Second Unit Holder

First Applicant Second Applicant

Third Applicant

Name of Third Unit Holder

I/We hereby authorise Aditya Birla Sun Life Mutual Fund and their authorised service provider to debit the above bank account by NACH/ Auto Debit Clearing for collection of SIP

payments. I/We understand that the information provided by me/us may be shared with third parties for facilitating transaction processing through NACH/ Auto Debit Clearing or

for compliance with any legal or regulatory requirements. I/We hereby declare that the particulars given above are correct and complete and express my/our willingness to make

payments referred above through participation in NACH/ Auto Debit. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I/We will

not hold ABSLAMC/MF or their appointed service providers or representatives responsible. I/We will also inform, about any changes in my bank account immediately. I/We

undertake to keep sufficient funds in the funding account on the date of execution of standing instruction. I/We have read and agreed to the terms and conditions mentioned

overleaf. 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 acknowledge that the RIA has entered into an agreement with the AMC / MF for accepting transaction feeds under the code. I / We hereby indemnify, defend and hold

harmless the AMC / MF against any regulatory action, damage or liability that they may suffer, incur or become subject to in connection therewith or arising from sharing, disclosing

and transferring of the aforesaid information."

For Micro SIP only: I hereby declare that I do not have any existing Micro SIPs which together with the current application in rolling 12 month period or in financial year i.e. April to

March will result in aggregate investments exceeding ` 50,000 in a year. (refer Instruction no: B-16).

DECLARATION(S) & SIGNATURE(S)

Multi Scheme SIP Facility Application Form

SIP 03/18 – V3

Transaction Charges for Applications routed through Distributors/agents only (Refer Instruction C-7)

In case the subscription (lumpsum) amount is ` 10,000/- or more and your Distributor has opted to receive Transaction Charges, ` 150/- (for first time mutual fund investor) or ` 100/- (for investor

other than first time mutual fund investor) will be deducted from the subscription amount and paid to the distributor. Units will be issued against the balance amount invested.

Employee Unique ID. No. (EUIN)

Sub Broker Code

Sub Broker Name & ARN/ RIA No.Distributor Name & ARN/ RIA No.

EUIN is mandatory for “Execution Only” transactions. Ref. Instruction No. C-3

I/we hereby confirm that the EUIN box has been intentionally left blank my 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 in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor/sub broker.

First Applicant / Authorised Signatory

Second Applicant

Third Applicant

FIRST / SOLE APPLICANT INFORMATION (MANDATORY)

NAME OF FIRST / SOLE APPLICANT

Mr. Ms.

M/s.

Date

D D

M M Y Y Y Y

Existing Investor Folio No.

Application No.

SCHEME NAME

PLAN

OPTION

SIP Frequency

SIP Date

Tenure

SCHEME 1

ABSL

M M Y Y Y Y

From:

5 years

To:

10 years

15 years

31/12/99

SCHEME 2 SCHEME 3

Others

ABSL ABSL

Step Up (OPTIONAL - and

available only for SIP

Investments through NACH)

Step Up Amount:

500/- 1000/-

Other (In multiple of 500/-) ______________

Step Up Frequency:

Half Yearly

Yearly

*Step Up Max Amount: _______________________

Step Up Amount:

500/- 1000/-

Other (In multiple of 500/-) ______________

Step Up Frequency:

Half Yearly

Yearly

*Step Up Max Amount: _______________________

Step Up Amount:

500/- 1000/-

Other (In multiple of 500/-) ______________

Step Up Frequency:

Half Yearly

Yearly

*Step Up Max Amount: _______________________

Monthly Weekly

___________________

(Please mention any

day between Monday

to Friday)

(any date between

1-28)

INVESTMENT DETAILS (Refer Instruction B)

D D

SIP Installment Amount

Cheque Date Cheque No.

Amount

Drawn on Bank and Branch

First Installment

Use existing One Time Mandate

(To be filled in case of more than one OTM registration)

Bank Name

A/c No.

(PLEASE READ THE INSTRUCTIONS BEFORE FILLING UP THE FORM.)

(*MANDATORY)

SIP Date

Monthly Weekly

___________________

(Please mention any

day between Monday

to Friday)

(any date between

1-28)

D D

SIP Date

Monthly Weekly

___________________

(Please mention any

day between Monday

to Friday)

(any date between

1-28)

D D

M M Y Y Y Y

From:

5 years

To:

10 years

15 years

31/12/99

Others

M M Y Y Y Y

From:

5 years

To:

10 years

15 years

31/12/99

Others

M M Y Y Y Y

THIS PAGE IS INTENTIONALLY LEFT BLANK

Date

D D M M Y Y Y Y

UMRN

Office use only

Sponsor Bank Code

Office use onlyUtility Code

I/We hereby authorize: to debit (tick3) SB / CA / CC / SB-NRE / SB-NRO / Other

Bank A/c No.:

With

Bank:

Bank Name & Branch

IFSC OR MICR

an amount of Rupees

Reference 1

Reference 2

Folio No:

Appln No:

Mobile

Email:

PERIOD

From

Until Cancelled

1. Sign .............................................................. 2. Sign .............................................................. 3. Sign ..............................................................

Name as in bank records (mandatory) Name as in bank records (mandatory) Name as in bank records (mandatory)

CREATE

MODIFY

CANCEL

(tick3)

DEBIT MANDATE-ONE TIME MANDATE / NACH / AUTO DEBIT

[Applicable for Lumpsum Additional Purchases as well as SIP Registrations] Please attach a cancelled cheque/cheque copy.

Declaration: This is to confirm that the declaration has been carefully read, understood & made by me/us. I am authorizing Aditya Birla Sun Life Mutual Fund to debit my

account based on the instructions as agreed and signed by me. I have understood that I am authorised to cancel/amend this mandate by appropriately communicating

the cancellation/amendment request to Aditya Birla Sun Life Mutual Fund or the bank where I have authorised the debit.

ADITYA BIRLA SUN LIFE MUTUAL FUND

I agree for the debit of mandate processing charges by the bank whom I am authorizing to debit my account as per latest schedule of charges of bank.

FREQUENCY

Monthly Quarterly Half Yearly Yearly As & when presented

1 1

2 2

9 9

DEBIT TYPE Fixed Amount Maximum Amount

Acknowledgement Slip (To be filled in by the Investor)

MULTI SCHEME SIP FACILITY APPLICATION FORM SIP (WITH MICRO SIP)

Application No.

Received from Mr. / Ms. __________________________________________________________ Date : _____/_____/___________

Collection Centre /

ABSLAMC Stamp & Signature

Aditya Birla Sun Life AMC Limited (Investment Manager to Aditya Birla Sun Life Mutual Fund)

(Formerly known as Birla Sun Life Asset Management Company Limited)

Regn. No.: 109. Regd Office: One Indiabulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound,

841, Senapati Bapat Marg, Elphinstone Road, Mumbai - 400013

+91 22 4356 7000 | [email protected] | www.adityabirlasunlifemf.com | CIN: U65991MH1994PLC080811

1800-270-7000

adityabirlacapital.com

INTENTIONALLY LEFT BLANK

INSTRUCTIONS FOR ONE TIME MANDATE FORM

• Investors who have already submitted an NACH/AUTO DEBIT form or already registered for NACH/AUTO DEBIT facility should not submit NACH/AUTO DEBIT

form again as NACH/AUTO DEBIT registration is a one-time process only for each bank account. However, if such investors wish to add a new bank account

towards OTM facility may fill the form.

• Investors, who have not registered for NACH/AUTO DEBIT facility, may fill the NACH/AUTO DEBIT form and submit duly signed with their name mentioned.

• Mobile Number and Email Id: Unit holder(s) should mandatorily provide their mobile number and email id on the mandate form. Where the mobile number and

email id mentioned on the mandate form differs from the ones as already existing in the folio, the details provided on the mandate will be updated in the folio. All

future communication whatsoever would be, thereafter, sent to the updated mobile number and email id.

• Unit holder(s) need to provide along with the mandate form an original cancelled cheque (or a copy) with name and account number pre-printed of the bank

account to be registered or bank account verification letter for registration of the mandate failing which registration may not be accepted. The Unit holder(s)

cheque/ bank account details are subject to third party verification.

• Investors are deemed to have read and understood the terms and conditions of NACH/AUTO DEBIT Facility, SIP registration through NACH/AUTO DEBIT facility,

the Scheme Information Document, Statement of Additional Information, Key Information Memorandum, Instructions and Addenda issued from time to time of

the respective Scheme(s) of Aditya Birla Sun Life Mutual Fund.

• Date and the validity of the mandate should be mentioned in DD/MM/YYYY format

• Please mention the amount in figures and words.

• Please fill all the required details in the Debit Mandate Form for NACH/Auto Debit. The sole/first holder must be one of the holders in the bank account.

• The UMRN, the Sponsor Bank Code and the Utility Code are meant for office use only and need not be filled by the investors.

• The 9 digit MICR and the 11 digit IFSC are mandatory requirements without which your SIP applications will be rejected. You should find these codes on your

cheque leaf.

Website : www.adityabirlasunlifemf.com | E-mail : [email protected] | Contact Centre : 1-800-270-7000

Scheme Name ___________________________________________ Plan _______________________ Option_________________ Amount (`) _____________________________________

Acknowledgement Slip (To be filled in by the Investor)

INTENTIONALLY LEFT BLANK

MULTI SCHEME SIP FACILITY APPLICATION FORM

Aditya Birla Sun Life Advantage Fund/ Aditya Birla Sun Life Dividend Yield Plus/ Aditya Birla Sun Life Tax Plan*/ Aditya Birla Sun Life India Opportunities Fund/ Aditya Birla Sun Life MNC Fund/ Aditya Birla Sun Life Midcap

Fund/ Aditya Birla Sun Life India GenNext Fund/ Aditya Birla Sun Life Equity Fund/ Aditya Birla Sun Life New Millennium Fund/ Aditya Birla Sun Life Frontline Equity Fund/ Aditya Birla Sun Life Tax Relief ‘96*/ Aditya Birla

Sun Life Commodity Equities Fund - Global Agri Plan/ Aditya Birla Sun Life Balanced ‘95 Fund/ Aditya Birla Sun Life Top 100 Fund/ Aditya Birla Sun Life Infrastructure Fund/ Aditya Birla Sun Life India Reforms Fund/

Aditya Birla Sun Life Small & Midcap Fund/ Aditya Birla Sun Life International Equity Fund/ Aditya Birla Sun Life Index Fund/ Aditya Birla Sun Life Special Situations Fund/ Aditya Birla Sun Life Pure Value Fund/ Aditya Birla

Sun Life Savings Fund/ Aditya Birla Sun Life Short Term Opportunities Fund/ Aditya Birla Sun Life Dynamic Bond Fund/ Aditya Birla Sun Life Floating Rate Fund - Long Term Plan/ Aditya Birla Sun Life Gilt Plus - PF Plan/

Aditya Birla Sun Life Constant Maturity 10 Year Gilt Fund/ Aditya Birla Sun Life Income Plus/ Aditya Birla Sun Life Government Securities Fund - Lonng Term Plan/ Aditya Birla Sun Life MIP#/ Aditya Birla Sun Life MIP II#/

Aditya Birla Sun Life Monthly Income#/ Aditya Birla Sun Life Cash Manager/ Aditya Birla Sun Life Treasury Optimizer Plan/ Aditya Birla Sun Life Short Term Fund/ Aditya Birla Sun Life Medium Term Plan/ Aditya Birla Sun

Life Enhanced Arbitrage Fund/ Aditya Birla Sun Life Gold Fund/ Aditya Birla Sun Life Banking and Financial Services Fund/ Aditya Birla Sun Life Manufacturing Equity Fund/ Aditya Birla Sun Life Equity Savings Fund/

Aditya Birla Sun Life Corporate Bond Fund.

A. SCHEMES AVAILABLE UNDER SIP

CHECKLIST

Particulars

First Purchase through cheque

Different amount for first cheque and

subsequent installment

Minimum Amount Criteria (For list of eligible

schemes please refer the SIP instructions.)

Application with Minor as first applicant

Regular SIP

Recommended

Allowed

Aditya Birla Sun Life Tax Relief '96 and Aditya Birla Sun Life

Tax Plan - ` 500 / each, Other eligible Schemes - ` 1000/ each.

Allowed

Recommended

Allowed

Aditya Birla Sun Life Tax Relief '96 and Aditya Birla Sun Life

Tax Plan - ` 500 / each, Other eligible Schemes - ` 1000/ each.

Allowed

Micro SIP (Upto ` 50,000

Investment in a year)

General Instructions

1. New investors who wish to enroll for SIP should fill this form in addition to the Common Application

Form. Please quote the application number of the Common Application Form on this SIP Form.

Details of the SIP should be provided on this form. Both Forms should be submitted together.

2. Existing investors needs to fill up only this form and first purchase cheque with existing folio details.

The AMC reserves the right to assign any of the existing Folio Number of the investor against

multiple applications and / or subsequent purchases under this new application form lodged, with

identical mode of holding and address and such other criterions and integrity checks as may be

determined by the AMC from time to time.

Note: Investors can also start a SIP without any initial Investment. New investors need to submit this

application form along with Common Application Form, whereas existing investors can start SIP

without initial investment by submitting this form along with existing folio details.

3. The name of the bank provided for OTM/ NACH/ Auto Debit should participate in local MICR clearing.

4. The investor hereby agrees to abide by the terms and conditions of OTM/ NACH/ Auto Debit facility

of Reserve Bank of India (RBI).

5. SIP form should be submitted 30 days before the first Debit through NACH/ Auto Debit. In case the

auto debit start date as mentioned in the form does not satisfy this condition, the first date shall be

rolled over to begin from the immediately following month.

6. In case the application is accompanied with a cheque for the first SIP transaction, it should be drawn

on the same bank account which is to be registered for NACH/ Auto Debit.

7. Investor should provide 9 digit MICR code and complete bank address for SIP auto debit transactions.

MICR starting with 000 and end with 000 will not be acceptable.

Default Details

8. Default Dates:

Monthly SIP: In case of any ambiguity in selection of investment dates, the SIP date will be 7 of each

month.

Weekly SIP: In case of any ambiguity in selection of investment day, the SIP day will be as ‘Wednesday’.

9. Default Frequency:

If investor fails to mention frequency the same shall be considered as ‘Monthly’ as default option.

10. For Regular SIP - “Default end date is December 31, 2099. In case the ‘End Date’ is not mentioned by

the investor in the Form, the same would be considered as 31st December, 2099 by default”.

11. Minimum Amount

For Monthly and Weekly SIP:

(i) Aditya Birla Sun Life Tax Plan and Aditya Birla Sun Life Tax Relief '96: Minimum 6 cheques/

Instalments of ` 500/- each and above.

(ii) Other Schemes: Minimum 6 Cheques/ Instalments of ` 1,000/- each and above.

12a. The first investment cheque amount shall be considered as the first installment

12b. The initial/ first SIP investment amount can be different from the subsequent SIP amount provided

the initial/ first SIP investment amount also confirms to the minimum SIP amount criteria of the

respective scheme.

13. Cheques should be drawn payable at locations of Aditya Birla Sun Life AMC Limited branches &

authorised centres. Non MICR / outstation post dated cheques will not be accepted for SIP.

14. Allotment of Units

Monthly SIP: Incase, the SIP transaction date is a non-business day the SIP will be processed on the

immediate next business day.

Weekly SIP: Units will be Allotted at the NAV related prices of the Monday and/or Tuesday and/or

Wednesday and/or Thursday and/or Friday of every week (or next business day, if Monday and/or

Tuesday and/ or Wednesday and/or Thursday and/or Friday is a non business day).

15. Discontinue / Cancellation of SIP

The investor has the right to discontinue SIP at any time he/she so desires by sending a written

request 30 calendar days in advance of the immediate next due date to any of the offices of Aditya

Birla Sun Life Mutual Fund or its Authorized Collection Centres. On receipt of such request SIP will be

terminated.

16. MICRO SIP :-

1. As per AMFI notification and Guidelines issued on July 14, 2009, SIPs or lumpsum by eligible

investors where aggregate (under all schemes of Mutual Fund) in a rolling 12 month period or in

a financial year i.e. April to March does not exceed ` 50,000 (known as “Micro SIP”) shall be

exempted from the requirement of PAN.

2. This exemption of PAN requirement is only available to individuals (including Joint Holders,

NRIs but not PIOs), Minors and Sole proprietary firms who do not possess PAN*. HUFs and other

categories will not be eligible for this exemption.

* In case of joint holders, first holder must not possess a PAN.

3. Please note that for availing Micro SIP, investor have to submit KYC/ KRA

acknowledgement/confirmation quoting PAN Exempt KYC Reference No. (PEKRN) obtained

from KYC Registration Agency (KRA) along with the application form for such investments.

Eligible investors must hold only one PEKRN.

4. Please note that investors holding a valid permanent Account Number (PAN) issued by Income

tax Department are mandatorily required to be KYC compliant and submit the KYC/KRA

acknowledgement/confirmation.

5. Additional Micro SIP in same folio: For Subsequent Micro SIP applications, investor can quote

the existing folio number where a Micro SIP has been registered and need not resubmit the

supporting document.

6. In case of any deficiencies in the supporting documents or in case of the aggregate of SIP

investments exceeding Micro SIP threshold, the Mutual Fund reserves the right to reject the

applications.

7. In case the first Micro SIP installment is processed, and the application is found to be defective,

the Micro SIP registration will be ceased for future installments. No refund shall be made for the

units already allotted and the investors may redeem their investments.

17. "On behalf of Minor" Accounts: Name of Guardian must be mentioned if investments are being made on

behalf of a minor. Date of birth is mandatory in case of minor. The minor shall be the first and the sole

holder in the account (folio). No joint holder will be allowed in an account (folio) where minor is the

first or sole holder. Guardian in the account (folio) on behalf of the minor should either be a natural

guardian (i.e. father or mother) or a court appointed legal guardian and the same must be mentioned

in the space provided in application form. Copy of document evidencing the date of birth of the minor

and relationship of the guardian with the minor (whether natural or legal guardian) should

mandatorily be provided while opening of the account (folio). Also, nomination shall not be allowed in

a folio/account held on behalf of a minor.

18. STEP-UP SIP

1. Frequency for Step-Up SIP:

a. Half Yearly Step-Up SIP: Under this option, the amount of investment through SIP installment

shall be increased by amount chosen/designated by Investor post every 6th (sixth) SIP

installment.

b. Yearly Step-Up SIP: Under this option, the amount of investment through SIP installment shall be

increased by amount chosen/designated by Investor post every 12th (twelfth) SIP installment.

2. Minimum Step-Up SIP Amount: ` 500 and in multiples of ` 500 thereafter.

3. Default Step-Up SIP Frequency and amount: In case the investor fails to specify any frequency or

amount for Step-Up SIP, the same shall be deemed as Yearly Step-Up SIP and ` 500

respectively and the application form shall be processed accordingly. In case the investor fails

to specify both, i.e. the frequency for Step-Up SIP and amount for Step-Up SIP, the application

form may be processed as conventional SIP, subject to it being complete in all other aspects.

4. SIP application form has “Max Cap Amt”, Step up will be registered till each SIP amount reaches

max cap amt. Further max cap amount would remain constant for continuing future instalments

till its SIP End date.

• OTM max amt and Cap amt should be same, if it is different then which ever is less would

be considered as Cap amt.

• If investor fails to mention the “Max Cap Amt” then step up would continue as per the

frequency/step up amt mentioned on the application form considering the OTM max amt.

19. In case 3 (three) consecutive instalments are not honoured/failed on account of reasons attributable

to the investors like insufficient balance etc. Aditya Birla Sun Life AMC Limited shall discontinue SIP

registrations.

20. Multi SIP Investment Details:

a. Please mention the names of the Schemes where you plan to make your investment and your

preferred options. If you do not indicate your preferred options, your application would be

processed based on the terms & conditions set out in the Scheme Information Document.

b. The SIP frequency for Multi Scheme SIP Investment is Monthly and Weekly.

c. If you are not investing through a Distributor, please suffix “Direct Plan” after the scheme name.

d. Currently, the maximum number of Schemes in which investments can be made using a single

SIP application Form shall be 3 (three). Aditya Birla Sun Life AMC Limited reserves right to

extend the facility to more than 3 (three) schemes in future.

e. Third Party Payments for investments are not accepted except in the below cases :

• Payments made by Parents/Grand Parents/related persons on behalf of a minor in

consideration of natural love and affection for value not exceeding ` 50,000

• Payment by employer on behalf of employees under SIP or lump sum subscription through

Pay Roll deductions or deductions out of expense re-imbursements.

• Custodian on behalf of an FPI or Client made by Custodian.

• Payment by an AMC to its empanelled distributor on account of commission/ incentive

etc. in the form of Mutual Fund units through SIP or lump sum/one time subscription.

• Payment by a Corporate to its Agent/Dealer/Distributor on account of commission or

incentive payable for sale of its goods/services in the form of Mutual Fund units through

SIP or lump sum/one time subscription.

In the above cases, necessary declaration/banker’s certificate needs to be provided confirming

the source of funds for the investment. Please refer the SAI for more details.

21. First Installment Details:

a. Single investment cheque should be submitted, crossed “Account Payee only” and drawn

favoring “Aditya Birla Sun Life Mutual Fund”.

b. Please ensure that the investment cheque issued by you complies with CTS 2010 requirement

Stipulated by the Reserve Bank of India. The words “CTS 2010” should appear on the face of

the cheque.

Payments made by Cash/Money Order/Postal Order, Non- MICR cheques Outstation cheques

are not accepted.

B. GENERAL INSTRUCTIONS FOR SIP

1. DISCLAIMER

(i) Investors will not hold Aditya Birla Sun Life Mutual Fund, its Registrars and other service

providers responsible if the transaction is delayed or not effected or the investor bank account

is debited in advance or after the specific SIP date due to various clearing cycles of OTM/

NACH/ Auto Debit.

(ii) Aditya Birla Sun Life Mutual Fund, its Registrars and other service providers shall not be

responsible and liable for any damages/compensation for any loss, damage etc. incurred by the

investor. The investor assumes the entire risk of using this facility and takes full responsibility.

(iii) Aditya Birla Sun Life Mutual Fund reserves the right to reject any application without assigning

any reason thereof.

(iv) Investors shall not hold the AMC/ Registrar/Service Providers and/or the Bank/s liable for any

failure or delay in completion of its obligations where such failure or delay is caused, in whole or

in part, by any Force Majeure event including acts of God, civil war, civil commotion, riot, strike,

mutiny, revolution, fire, flood, war, earthquake, or any other cause of peril which is beyond the

AMC/ Registrar /Service Provider’s and/or the Bank’s/s’ reasonable control. Further no

separate intimation will be received from AMC / It’s Registrar / Bank and/or Service Providers

in case of non-execution of the instructions in case of such Force Majeure events.

2. It is compulsory for all investors to quote their Permanent Account Number (PAN) and submit copy of

the PAN card issued by the Income Tax Department, irrespective of the amount of investment, while

making an application for Purchase of Units. In case of joint applicants, PAN details of all holders

should be submitted. In case the investor making the application is a minor, PAN details of the

Guardian must be submitted. Investors residing in the state of Sikkim are exempt from the

mandatory requirement of PAN proof submission, however sufficient documentary

evidence shall have to be submitted to Aditya Birla Sun Life Mutual Fund for verifying that they are

residents of State of Sikkim. Investors (being individuals) applying for Micro SIP registrations are

exempt from mandatory requirement of PAN submission. For further details on Micro SIP, please refer

instructions (E-23) in SIP Application Form.

3. DIRECT APPLICATIONS AND EUIN

a. Investment in Direct Plan: Investors applying under Direct Plan, are advised to write the word

'DIRECT' in the column 'ARN No' or 'Broker Code' in their applications for purchases/additional

purchases/switches in all such cases where applications are not routed through any

distributor/agent/broker. In cases where unit holder uses a pre-printed transaction

slip/application form where details in the 'ARN No' or 'Broker Code' column is already printed,

unit holder should cancel the ARN No/ Broker Code, write 'DIRECT' in the said column. Also, in

case ARN No/ Broker Code is mentioned in the application form, but “Direct Plan” is

indicated, the ARN No/ Broker Code will be ignored and the application will be processed

under Direct Plan, subject to it being complete in all other aspects. Further, where

application is received for Regular Plan without Distributor code or "Direct" mentioned in

the ARN Column, the application will be processed under Direct Plan.

b. Employee Unique Identification Number (EUIN) is a unique number allotted to Sales personnel

i.e. employee/ relationship manager/ sales person of the distributor interacting with the

investor for the sale of mutual fund products. Such sales personnel associated with Distributor,

should also be holding a valid NISM certificate. Thus, in case of applications routed through

distributors, in addition to the AMFI Registration Number (ARN) of the distributor,

Investors are requested to also provide the EUIN of the individual ARN holder or of

employee/relationship manager/sale person of the Distributor interacting with the

investor. Providing appropriate EUIN in the application/transaction forms would assist in

tackling the problem of mis-selling even if the Sales personnel on whose advice the transaction

was executed by investor leaves the employment of the distributor or his/her sub broker. If the

distributor has not given any advice pertaining to the investment (i.e. transaction is ‘execution

only’), then the EUIN box may be left blank, but it would be mandatory for the investor to provide

confirmation as mentioned in the application form.

4. KNOW YOUR CUSTOMER (KYC)

According to guidelines issued by SEBI under 'The Prevention of Money Laundering Act, 2002',

Mutual Funds are required to follow enhanced know your customer (KYC) norms. Investors can visit

branches of ABSLAMC or may visit www.adityabirlacapital.com, www.amfiindia.com and

www.cdslindia.com to know detailed procedure for KYC compliance.

Effective January 01, 2011 it is mandatory for all category of investors to be KYC compliant

for all investment transactions made on or after January 01, 2011, irrespective of amount of

investment.

To further clarify, the above category of investors shall include:

i. their constituted Power of Attorney (PoA) holder, in case of investments through a PoA

ii. each of the applicants, in case of investments in joint names; and

iii. Guardian in case of investments on behalf of minor.

Applications without KYC Acknowledgement letter for the specified category of investors are liable to

be rejected.

Provided further, where it is not possible to verify the KYC compliance status of the investor at the

time of allotment of units, the ABSLAMC shall verify the KYC compliance status of the investor within

a reasonable time after the allotment of units. In the event of non compliance of KYC requirements,

the ABSLAMC reserves the right to freeze the folio of the investor(s) for any kind of transactions or

affect mandatory redemption of unit holdings of the investors at the applicable NAV, subject to

payment of exit load. Investors should note that on completion of KYC Compliance all details of the

investor in the Mutual Fund records will be replaced by the details as given in KYC Application Form by

the investor. Any change in these details like change of Name / Address / Status /Signature, etc.

should be given by Investor directly in the prescribed manner.

Pursuant to SEBI Circular No. MIRSD/ Cir-26/ 2011 dated December 23, 2011, SEBI (KYC

Registration Agency) Regulations, 2011 and SEBI Circular No. MIRSD/SE/Cir-21/2011 dated

October 05, 2011, regarding uniformity in the Know Your Customer (KYC) process in the securities

market and development of a mechanism for centralization of the KYC records to avoid duplication of

KYC Process across the intermediaries in the securities market, the following changes are being

made to KYC process w.e.f. January 01, 2012:

1. SEBI has introduced a common KYC Application Form for all the SEBI registered intermediaries

viz. Mutual Funds, Portfolio Managers, Depository Participants, Stock Brokers, Venture Capital

Funds, Collective Investment Schemes, etc. New Investors are therefore requested to use the

common KYC Application Form and carry out the KYC process including In-Person Verification

(IPV) with any SEBI registered intermediaries including mutual funds. The KYC Application Forms

are also available on our website www.adityabirlacapital.com.

2. The Mutual Fund shall perform the initial KYC of its new investors and may undertake enhanced

KYC measures commensurate with the risk profile of its investors. The Mutual Fund shall upload

the details of the investors on the system of the KYC Registration Agency (KRA). Registrar &

Transfer Agent (RTA) of the Mutual Fund may also undertake the KYC of the investors on behalf of

the Mutual Fund. KRA shall send a letter to the investor within 10 working days of the receipt of

the initial/updated KYC documents from the Mutual Fund, confirming the details thereof.

3. Once the investor has done KYC with a SEBI registered intermediary, the investor need not

undergo the same process again with another intermediary including mutual funds. However, the

Mutual Fund reserves the right to carry out fresh KYC of the investor.

4. It is mandatory for intermediaries including mutual funds to car out In-Person Verification (IPV)

of its new investors w.e.f January 01, 2012. The IPV carried out by any SEBI registered

intermediary can be relied upon by the Mutual Fund. ABSLAMC and NISM/AMFI certified

distributors who are KYD compliant are authorized to undertake the IPV for Mutual Fund

investors. Further, in case of any applications received directly (i.e. without being routed through

the distributors) from the investors, the Mutual Fund may rely upon the IPV (on the KYC

Application Form) performed by the scheduled commercial banks.

5. Existing KYC compliant investors of the Mutual Fund can continue to invest as per the current

practice. However, existing investors are also urged to comply with the new KYC requirements

including IPV as mandated by SEBI.

5. RESTRICTION ON ACCEPTANCE OF THIRD PARTY PAYMENT:

a) Pursuant to the AMFI Best Practice Guidelines circular on ‘Risk mitigation process against

Third-Party Cheques in mutual fund subscriptions’ read with compliance with ‘Know your

Customer (KYC)’ norms under Prevention of Money Laundering Act, 2002 (PMLA), Aditya Birla

Sun Life AMC Ltd. (ABSLAMC)/ Aditya Birla Sun Life Mutual Fund (ABSLMF) shall not

accept applications for subscriptions of units accompanied with Third Party Payments,

except in the cases as enumerated below in para (c).

b) “Third Party Payment” means payment through an instrument issued from a bank account

other than that of the beneficiary investor. In case of payments from a joint bank account, the

first named investor/holder of the mutual fund folio has to be one of the joint holders of the bank

account from which payment is made.

c) ABSLAMC shall not accept subscriptions accompanied with Third Party Payments except in the

following exceptional situations subject to submission of requisite documentation/declarations

enumerated in para (d) below:

i. Payment by Parents/Grand-Parents/Related persons on behalf of a minor in consideration of

natural love and affection or as gi for a value not exceeding ` 50,000/- (each regular purchase or

per SIP installment) However, this restriction will not be applicable for payment made by a

guardian whose name is registered in the records of Mutual Fund in that folio as a guardian.

ii. Payment by Employer on behalf of employee under Systematic Investment Plans (SIP) through

Payroll deductions.

iii. Custodian on behalf of an FII or a client.

d) In case of ‘exceptional situations’ mentioned above, investors are required to submit following

documents/declarations alongwith the application form without which such applications will be

rejected/ not processed/refunded:

i. Mandatory KYC for all Investors (guardian in case of minor) and the person making the payment

i.e. third party. In order for an application to be considered as valid, investors and the person

making the payment should attach their valid KYC Acknowledgement Letter to the application

form.

ii. A separate, complete and valid ‘Third Party Payment Declaration Form’, inter alia, containing

the details of the bank account from which the payment is made and the relationship with the

investor(s). The declaration has to be given by the person making the payment i.e. Third Party.

Please contact the nearest Investor Service Centre (ISC) of ABSLAMC or visit our website

www.adityabirlacapital.com for the said Declaration Form.

ABSLAMC/ABSLMF shall verify the source of funds to ensure that funds have come from the

drawer’s account only.

e) Investors are requested to note that, in case of:

i. Payment by Cheque: An investor at the time of his/her purchase must provide the details of

his pay-in bank account (i.e. account from which a subscription payment is made) and his pay-

out bank account (i.e. account into which redemption/dividend proceeds are to be paid).

If the name/bank account number is not pre-printed on the cheque and signature on the cheque

does not match with signature on the application, then the first named applicant/investor

should submit any one of the following documents: