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Non-Commercial Transaction Checklist​​​

• Regulatory Circular- ​ ​AMFI circular on PROCEDURE FOR CHANGE OF BANK ACCOUNT AND DOCUMENTS REQUIRED
• ​​​​Request letter (preferably in our ​ standard format or as near thereto as possible) signed by all the unit holder(s) according the mode of operation.
• Documents to be submitted for new bank account Unit holders can provide originals of any of the 4 documents listed below; alternatively, originals should be brought for verification and photocopies can be submitted. If the unit holder gets photocopies of the documents attested by the bank, originals need not be submitted.
  • Cancelled original cheque of the new bank account with first unit holder's name and bank account number printed on the face of the cheque.
  • Self-attested copy of Bank statement, with entries not more than 3 month old​
  • Bank passbook with current entries not older than 3 months.
  • In case of Minor's folio, any of the above mentioned proof, from the bank account of the minor or from a joint account of the minor with the registered guardian must be provided.
  • Pre-printed IFSC code And MICR code mandatory.
  Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted.
• Documents to be submitted for existing bank mandate currently registered in the folio /account (Unit holders can provide originals of any one of the 2 documents listed below; alternatively, originals should be brought for verification and photocopies can be submitted. If the unit holder gets photocopies of the documents attested by the bank, originals need not be submitted.)
  • Cancelled original cheque with first unit holder's name and bank account number printed on the face of the cheque.
  • Original bank account statement / pass book.
  • ​Pre-printed IFSC code And MICR code mandatory.
  Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted.

NIMF Service Delivery Time: 7 working days from the receipt of the request.

A. Where KYC requirements have not been fulfilled, the following documents will be required by NAM India :

 i) Proof of new Address (POA)*,

Self-attested copy of any one of the following documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.)

• Passport/ Voter's Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy.
• Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.
• Bank Account Statement/Passbook -- Not more than 3 months old.
• Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
• Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Government or Statutory Authority.
• Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
• For FII/sub-account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostill​​ed or consularised) that gives the registered address should be taken.
• The proof of address in the name of the spouse may be accepted.

ii. Proof of Identity
Self-attested copy of any one of the documents admissible as Proof of Identity (POI) as follows:

• Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
• PAN card with photograph.
• Identity card/ document with applicant's photograph, issued by any of the following:
  Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

B. In case of KYC compliant folios, the investor is requested to submit the supporting documents as specified by KYC Registration Agency (KRA) / Regulators from time to time.

Copies of all documents submitted by the applicants/clients will be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies will be properly attested / verified by entities authorized for attesting/verification of the documents.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 3 working days from the receipt of the request.

1.Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders (irrespective of mode of operation), specifying the percentage-wise allocation to each nominee in case of more than one nominee.

Note: The percentage allocation should add up to 100%

NIMF Service Delivery Time: 7 working days from the receipt of the request.

​ 2.ANNEXURE- A→​(Preferably in our standard format) Declaration form for opting out of nomination, singed by all the unit holders (irrespective of mode of operation)​.

Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation, mentioning target and source folios which need to be consolidated.

Note: All details like Mode of holding, bank, nominees etc. should match between target folio & consolidating folio/s.

NIMF Service Delivery Time: 5 working days from the receipt of the request.

• Request letter (preferably in our standard format or as near thereto as possible) from the new guardian.
• No Objection Letter (NOC) or consent letter from the existing guardian or Court Order for the new guardian, in case the existing guardian is alive.
• In case of death of existing guardian, Death Certificate in original or photocopy duly attested by a Notary Public or a Gazetted Officer.

Apostille of death certificate is mandatory if the same is issued outside India​

The new guardian must be a natural guardian (i.e. father or mother) or a court appointed legal guardian. The relationship/status of the guardian as father, mother or legal guardian shall be specified in the application form and the following documents shall be submitted along with the application form as evidence:

• Birth certificate of the minor, or
• School leaving certificate / Mark sheet issued by Higher Secondary Board of respective states, ICSE, CBSE etc., or Passport of the minor, or
• Any other suitable proof evidencing the date of birth of the minor.
• In case of court appointed legal guardian, notarized copy of the supporting documentary evidence shall be provided.
• Bank attestation (preferably in our standard format​) attesting the signature of the new guardian in a bank account of the minor where the new guardian is registered as the guardian.
• In case change of bank, proof of bank account of the minor or from a joint account of the minor with the registered guardian must be provided.
• KYC of the new guardian.
  Please click on below link to download KYC form.
  https://mf.nipponindiaim.com/InvestorServices/DownloadForms/CKYC-Application-Form-for-Individual.pdf​
• FATCA & CRS details of the New Guardian.

NIMF Service Delivery Time: 5 working days from the receipt of the request.

1. Deletion of names of the deceased unit holders in case of death of 2nd and/or 3rd Holder

• Request Form ( Form T1) from surviving unitholder(s) requesting for Deletion of Name of Deceased 2nd and/or 3rd Holder.
• Death Certificate of the deceased unitholder(s) in original OR photocopy of the death certificate self-attested and attested by a notary public/gazette officer (Apostille of death certificate is mandatory if the same is issued outside India.)
• ​​Fresh Bank Mandate Form along with existing bank account proof and cancelled cheque of the new bank account (only if there is a change in existing bank mandate).
• Fresh Nomination Form in case there is no nomination or a change in existing nomination is desired by the surviving unit holders.
• KYC Acknowledgment or KYC form of the surviving unit holder(s), if not KYC compliant.
  Transmission will be completed only once the status of the KYC is “KYC complied”.
• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language
• Additional documentation required:
  ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid Officially Valid
  Document (OVD) as per PMLA guidelines] of the deceased person attested by the claimant(s),
  duly notarized or originals can be shown at the AMC branches and Original Seen and verified (OSV) seal attested by them.

2. Transmission of Units to surviving unit holder(s) in case of death of the 1st holder.

• Transmission Request Form ( Form T2) for Transmission of Units to the surviving unitholder/s.
• Death Certificate of the deceased unitholder(s) in original OR photocopy of the death certificate self-attested and attested by a notary public/gazette officer (Apostille of death certificate is mandatory if the same is issued outside India.)
• Original Self-attested Copy of PAN Card of the Surviving Joint Holder(s) (if PAN is not provided already)
• Cancelled cheque of the new first unitholder, with the claimant’s name pre-printed OR recent Bank Statement/Passbook (not more than 3 months old) of the new first holder.
• KYC Acknowledgment OR KYC form of the surviving unit holder(s), if not KYC compliant.
  Transmission will be completed only once the status of the KYC is “KYC complied”.
• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language
• Additional documentation required:
  ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid OVD as per PMLA guidelines] of the deceased person attested by the claimant(s), duly notarized or originals can be shown at the AMC branches and OSV seal attested by them.

3. Transmission of Units to the registered Nominee/s in case of death of Sole or All unitholders

• Transmission Request Form ( Form T3) for Transmission of Units in favour of the Nominee(s).
• Death Certificate of the deceased unitholder(s) in original OR photocopy of the death certificate self-attested and attested by a Notary Public or a Gazetted Officer.
  (Apostille of death certificate is mandatory if the same is issued outside India.)
• Original Copy of Birth Certificate, in case the Nominee is a minor
• Self-attested Copy of PAN Card of the Nominee(s) / Guardian (in case the Nominee is a minor)
• KYC Acknowledgment OR KYC form of the Nominee(s) / Guardian (where Nominee is a Minor).
  Transmission will be completed only once the status of the KYC is “KYC complied”.
• Cancelled cheque with the Nominee’s name pre-printed OR Copy of the Nominee’s recent Bank Statement/Passbook (which is not more than 3 months old).
• If the transmission amount is up to ₹5 Lakh, Nominee’s signature attested by the Bank Manager as per Annexure-I(a). In case the Nominee is a Minor, signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested. If the transmission amount is for more than ₹5 Lakh, as an operational risk mitigation measure, signature of the Nominee shall be attested by a Notary Public or a Judicial Magistrate First Class (JMFC) with seal and date in the space provided for signature attestation in the TRF itself below the signature of the claimant.
• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language
• Additional documentation required:
  ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid Officially Valid
  Document (OVD) as per PMLA guidelines] of the deceased person attested by the claimant(s), duly notarized or originals can be shown at the AMC branches and Original Seen and verified (OSV) seal attested by them.

4. Transmission of Units to the Claimant/s on death of Sole unitholder or All unitholders, where there is NO NOMINATION registered

• Transmission Request Form ( Form T3) for Transmission of Units to the Claimant
• Death Certificate of the deceased unitholder(s) in original OR photocopy of the death certificate self-attested and attested by a Notary Public or a Gazette Officer.
  (Apostille of death certificate is mandatory if the same is issued outside India.)
• Original Copy of Birth Certificate in case the Claimant is a minor.
• Self-attested copy of PAN card of the claimant / guardian (in case the claimant is a minor).
• KYC Acknowledgment OR KYC form of the claimant / guardian (in case the claimant is a minor).
  Transmission will be completed only after the KYC status is updated as “KYC complied”.
• Cancelled cheque with the claimant’s name pre-printed OR Copy of the Claimant’s recent Bank Statement/Passbook (which is not more than 3 months old).
• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language
• Additional documentation required:
  ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid Officially Valid
  Document (OVD) as per PMLA guidelines] of the deceased person attested by the claimant(s), duly notarized or originals can be shown at the AMC branches and Original Seen and verified (OSV) seal attested by them.

A. If the transmission amount is up to ₹5 Lakh –

• Bank Attestation of signature of the Claimant by the Bank Manager as per Annexure-1a. In case the Claimant is a Minor, the signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested.
• Any appropriate document evidencing relationship of the claimant/s with the deceased unitholder/s.
• Bond of Indemnity - as per Annexure II → to be furnished by Legal Heirs for Transmission of Units without production of Legal Representation. Provided that in case the legal heir(s)/claimant(s) is submitting the Succession Certificate or Probate of Will or Letter of Administration or appropriate Court order wherein the claimant is named as a beneficiary, an affidavit as per Annexure III from such legal heir/claimant(s) alone would be sufficient; i.e., Bond of Indemnity is not required.
• Individual Affidavits to be given by each legal heir as per Annexure III
• NOC from other Legal Heirs as per Annexure IV, where applicable.

B. If the transmission amount is more than ₹5 Lakh –

• Signature of the Claimant duly attested by a Notary Public or a Judicial Magistrate First Class (JMFC) in the space provided for signature attestation in the Form T3 itself below the signature of the claimant. In case the Claimant is a Minor, the signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested
• Individual Affidavits to be given each legal heir as per Annexure III

(i) Where transmission value at the PAN-level is more than ₹5 lakh, but less than ₹10 lakhs, any one of the documents mentioned below:

✓ Notarised copy of Registered Will along with a Notarized indemnity bond from the claimant (appropriate beneficiary of the will) to whom the securities are to be transmitted, as per the format specified;

OR

✓ Legal Heirship Certificate or its equivalent, along with :

(i) a Notarized indemnity bond from the legal heir(s) / claimant(s) to whom the securities are to be transmitted, as per the format specified provided and

(ii) No Objection Certificate from all the non-claimants (i.e., remaining legal-heirs), duly attested by a Notary Public, JFMC or by a Gazetted Officer as per the format specified .

(ii) Where transmission value at the PAN-level is more than ₹10 lakhs, any one of the documents mentioned below:

✓ Notarised copy of Probated Will; OR

✓ Succession Certificate issued by a competent court; OR

✓ Letter of Administration or court decree, in case of Intestate Succession.




• Identity proof (e.g., copy of PAN card, redacted Aadhaar card, passport) of all legal heirs signing the NOC/affidavit other than claimant/s (i.e., legal heirs other than the claimant mentioned in Probate or Letters of Administration or Succession Certificate).

5. Change of Karta upon death of the Karta of Hindu Undivided Family (HUF)

If the case of a HUF, the property of the HUF is managed by the Karta and the HUF does not come to an end in the event of death of the Karta. In such a case, the members of the HUF will need to appoint a new Karta, who needs to submit following documents for transmission:

• Request Form ( Form T4) for change of Karta upon demise of the registered Karta.
• Death Certificate of the deceased Karta in original OR photocopy of the death certificate self attested and attested by a notary public/gazette officer in original.
  (Apostille of death certificate is mandatory if the same is issued outside India.)
• Bank’s letter certifying that the signature and details of new Karta have been updated in the bank account of the HUF & attesting the Signature of the new Karta as per Annexure-1b
.
• KYC acknowledgment OR KYC form of the new Karta and the HUF, if not KYC-compliant.
  ​
  Please download Individual KYC form(For KARTA)
  
  Please download NON Individual KYC form (For HUF)
• Transmission will be completed only after the KYC status is updated as “KYC complied”.
• Indemnity Bond as per Annexure-V signed by all surviving coparceners (including new Karta).
• Any appropriate document evidencing relationship of the new Karta and the other coparceners with the deceased Karta or declaration in our standard format
  
• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language.
• Additional documentation required:

a) ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid OVD as per PMLA guidelines] of the deceased Karta attested by the new Karta , duly notarized or originals to be shown at the AMC branches.

b) If the transmission amount is for more than . 5 lakh, the signature of the new Karta) shall be attested by a Notary Public or a JMFC in the space provided for signature attestation in the TRF itself below the signature of the claimant.

6. Transmission of Units to the Claimant/s upon death of the Karta of HUF, where there is no surviving co-parcener or the HUF has been dissolved/partitioned after demise of the Karta

• Transmission Request Form ( Form T5) for Transmission of Units to the Claimant.
• Death Certificate of the deceased Karta in original OR photocopy thereof attested by a Notary Public or a Gazette Officer.
  (Apostille of death certificate is mandatory if the same is issued outside India.)
• Original Copy of Birth Certificate in case the Claimant is a minor
• Self -attested Copy of PAN Card of the Claimant(s) / Guardian (in case the Claimant is a minor).
• KYC acknowledgment or KYC form of the claimant(s) /guardian (in case the claimant is a minor).
  Transmission will be completed only after the status of the KYC is updated as “KYC complied”.
• Cancelled cheque with the claimant’s name pre-printed OR Copy of the Claimant’s recent Bank Statement/Passbook (which is not more than 3 months old).
• If the transmission amount is up to ₹5 Lakh, attestation of signature of the claimant by Bank Manager as per ​Annexure-1a. In case the claimant is a Minor, the signature of the Guardian (as per the Minor’s bank account / Minors joint account with the Guardian) shall be attested.
• If the transmission amount is for more than ₹5 Lakh, signature of the claimant shall be attested by a Notary Public or a Judicial Magistrate First Class (JMFC) in the space provided for signature attestation in the TRF itself below the signature of the claimant.
• Bond of Indemnity to be furnished by the Claimant as per Annexure VI.
• If the HUF has been dissolved/partitioned by the surviving members after demise of the Karta, the transmission of units should be processed on the basis of any of the following documents

→ Notarized copy of Settlement Deed, OR

→ Notarized copy of Deed of Partition, OR

→ Notarized copy of Decree of the relevant competent Court.

• Translated copy, with NAM India Original Seen & Verified stamp, of documents in vernacular language
• Additional documentation required:
  ID proof [PAN/Redacted Aadhaar/Voter ID / Passport or any other valid OVD as per PMLA guidelines] of the deceased person attested by the claimant(s), duly notarized or originals can be shown at the AMC branches and Original Seen & Verified stamp attested by them.

7. Additional Guidelines / Risk Mitigation Measures

* All the documents (Death certificate, Marriage Certificate, Birth Certificate,etc) issued outside India, Need to be apostille before submitting the same.

• In case of death of the 1st holder, if there are two surviving joint holders, the surviving 2nd holder shall be treated as the new primary / 1st holder.
  
  Self-attested copy of PAN card of claimant(s) is mandatory and Name(s) as per PAN card should match with claimant’s name(s). Additionally, AMC/ RTA to validate such PAN independently with Income Tax database to check the validity of PAN, status and name, including PAN-Aadhaar linking.
• KYC status of the claimant(s) should be ‘Verified’ / ‘Complied’. Else, the original KYC form duly filled, supported by the documentary proof should be submitted. If Aadhaar is provided as OVD, transmission request shall be processed only after KYC status is updated in KRA system as valid.
• ID proof (PAN/Redacted Aadhaar/Voter ID/Passport or any other valid OVD as per PMLA guidelines] of the deceased person should be submitted along with the transmission request (as a risk mitigation measure).
• If the original is not produced for verification, the photocopies of the supporting documents submitted for transmission of units, such as the death certificate of the deceased, birth certificate of the minor, Probate of Will, Succession Certificate, Letter of Administration etc. shall be duly attested by a Notary Public or a Gazette Officer.
• Apart from the name of the deceased, any one other factor (such as Father's name / Spouse's Name, Address] as per the death certificate should match with the records available in the respective folio(s) or as per KYC records of the deceased person / claimant(s). If there is any mismatch, the claimant should be advised to substantiate with suitable evidence.
• Where the units are to be transmitted to a minor beneficiary, various documents like KYC, PAN, Indemnity should be obtained from the guardian of the minor nominee / legal heir. Bank attestation of the signature of the guardian of the minor should be as per the bank account of the minor or the joint account of the minor with the guardian.
• Where there are more than one claimants (nominee or legal heir) in a folio or set of folios, the nominees / legal heirs should be encouraged/ requested to submit the transmission request together so that all the Units held by the deceased unitholder(s) could be transmitted in one-go to for operational efficiency and convenience.
• In such cases where the deceased was the 1st holder in respect any one of the folios/funds, units in all other holdings across all other folios/schemes, where the deceased was the 1st unitholder will be ‘Stop’ marked/blocked against any further transactions on the basis of PAN or PEKRN.
• If the deceased unitholder(s) held units in multiple folios, e.g, as the 1st holder(s) in some folios and as the joint holder in others, a single Transmission Request form may be accepted for operational ease, provided all the deceased holders are common across the multiple folios (irrespective of the order of names of the deceased) AND the nominee(s) / claimant(s) is/are also common/same across ALL the folios.
• The process and documentation for transmission of units where the claimant / nominee is a mentally unsound person, shall be the same as applicable to a Minor claimant, except that the Guardian shall be a court appointed guardian. Additionally, a Medical Certificate from an appropriate registered medical practitioner may be obtained regarding the mentally unsound person.
• If the transmission amount is for more than ₹ 5 Lakh, as an operational risk mitigation measure, the signature of the Nominee/ Claimant shall be attested only by a Notary Public or a JMFC (and not banker’s attestation). For this purpose, space has been provided for signature in the transmission request form below the signature of the claimant.

8.Others

• SOP- Centralized Reporting of T​ransmission
• AMFI - Guidelines for Transmission of Units

CLARIFICATIONS

• Where the units are to be transmitted to a claimant who is a minor, various documents like KYC, PAN, Bank details, indemnity should be of the guardian of the nominee. Please download KYC form
• Transmission Documents Matrix Annexure B (ready reckoner)

NIMF Service Delivery Time: 15 working days from the receipt of the request, 3 working days from the receipt of request, in case of claim for deletion of first holder or joint holder

Request letter with folio number and New ARN code to be updated, if any, (preferably in our  standard format or as near thereto as possible) and signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 7 working days from the receipt of the request.

Request form to Update/ Delete/ Change in RIA code. Fill the standard format and sign the request form by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 7 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.
• For correction of name, for individual investors (Including NRI), Affidavit from the unit holder on stamp paper of value Rs.100/- irrespective of any city & state.
• In case of change in name of individual investors (including NRI), notarized copy of the Gazette notification regarding change of name.
• PAN & KYC with new name and bank proof with new is required. Please download KYC form.
• In case of the investor being a company, a duly certified copy of the fresh certificate of incorporation issued by the Registrar of Companies.
• In case of the investor being a firm which is registered, notarized copy of the entry in the Register of Firms relating to change of name.
• In case of the investor being a firm which is not registered, a notarized copy of the amended partnership deed relating to change of name.
• In case of a PIO, a certified / notarized copy of passport/documentation under the relevant jurisdiction evidencing the change in name.
• In case of change of name of a unit holder due to marriage, a notarized copy of her marriage certificate.
• In case of Trust below documents are required.

1.Written request from the authorized signatory

2.Certified copy of the Resolution passed by the Board of Trustee for name change & ASL

3.Certified copy of the Consent of name change signed by all the Trustees

4.Trust Deed

5. Pan and KYC with new name Please download KYC form


• In case of change of name from Pvt Ltd to Public Limited below documents are required

1.Writer request from new entity

2.Incorporate certificate or High court order

3.New entity Pan or KYC Please download KYC form.


4.BR & ASL of new entity

5.New bank proof if bank details change

• In case of change of name due to Merger / Demerger / Amalgamation / Acquisition Etc

1. Request letter from the new entity for transfer of units in their name;

2.In the event the existing company, which currently hold the units with us, is still existing (in other words, if the existing investor company is not dissolved upon such Scheme of Merger / De-merger), request letter from the existing entity for transfer of units in the name of the new entity pursuant to the merger / de-merger;

3.The Order of the respective High Court(s) or appropriate Tribunal / Authority for approval of merger along with the Scheme of Merger / De-merger, duly notarised

4. The Form 21 or Form 28 filed with RoC, for submitting High Court or appropriate Tribunal / Authority Order, along with copy of Payment Challan (filed by both companies);

5.PAN & KYC of new entity; Please download KYC form

6.Certificate of Incorporation, MOA & AOA of new entity;

7.Updation of Bank Account details, as per process;

8.Documentation required for updation of signatories, as per process;

NIMF Service Delivery Time: 3 working days from the receipt of the request.

• Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.
• Self-attested copy of the PAN card.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

• Pledge request letter (preferably in our standard format) signed by all the unit holders (irrespective of mode of operation).
• Pledge request letter (preferably in our standard format or as near thereto as possible) by the Pledgee.
• List of authorized signatories of the Pledgee

NIMF Service Delivery Time: 15 working days from the receipt of the request.

Request letter for un-pledge of units (preferably in our standard format or as near thereto as possible) by the Pledgee in original.

List of authorized signatories of the Pledgee

NIMF Service Delivery Time: 15 working days from the receipt of the request.

• Request letter (preferably in our standard format) signed by all the unit holders (irrespective of mode of operation).
• Copy of Power of Attorney on Rs. 100 stamp paper, duly signed by all the unit holders and the Power of Attorney Holder, and Original attestation by Notary public.
• In case of the POA holder being a company, the POA holder to provide the list of its authorized signatories, with their signatures duly attested by the POA holder company.
• KYC of the POA holder/s

NIMF Service Delivery Time: 15 working days from the receipt of the request.

Request letter (preferably in our standard format )signed by all the unit holders (irrespective of mode of operation).

NIMF Service Delivery Time: 15 working days from the receipt of the request.

• Application / Specific Service Request form (preferably in our standard format or as near thereto as possible) duly filled and containing details like name of major, folio numbers, etc.
• The signature to be attested by the Guardian (as registered in the folio of the applicant who has become a major) or a Notary or Judicial Magistrate First Class (JMFC) or attach banker’s certification / attestation in the prescribed form as per Annexure 1.
​
• ​ ​ New bank mandate where account changed from minor to major,
• PAN and KYC acknowledgement of the major
• ​FATCA & CRS details(standard format).

NIMF Service Delivery Time: 3 working days from the receipt of the request.

• Request Letter from the unit holder with the new signature Bank Account Details in standard format along with attestation by a bank branch manager.
• Proof of Identity (POI) document with NAM India sign and seal.
• Client should submit the above documents in person with any of the below mentioned valid identity Proofs:
  • Voter Identity Card,
  • Driving License,
  • Government / Defense Identification Card,
  • Passport,
  • Photo Ration Card,
  • Photo Debit Card,
  • Employee ID cards issued by companies registered with Registrar of Companies,
  • Senior Citizen / Freedom Fighter ID Card issued by the Government,
  • Photo Identification issued by Bank Managers of Scheduled Commercial Banks / Gazetted officer /Elected Representatives to the Legislative assembly/ Parliament,
  • ID card issued to employees of Scheduled Commercial / State / District C-operatives Banks,
  • Cards issued by universities / deemed universities or institutes under statutes like ICAI, ICWAI, ICSI,
  • Permanent Retirement Account N(PRAN) card issued to New Pension System (NPS) subscribers by CRA (NSDL),
  • Any other photo ID card issued by the Central Government / State Government / Municipal Authorities / Government organizations like ESIC / EPFO,
  • Permanent Account Number (PAN).

NIMF Service Delivery Time: 5 working days from the receipt of the request.

• Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.
• Copy of the KYC acknowledgment issued by SEBI registered intermediaries as stated below:
  • Stock brokers through Stock Exchanges,
  • Depository Participants (DPs) through Depositories,
  • Mutual Funds (MFs),
  • Portfolio Managers (PMs),
  • Collective Investment Schemes (CIS),
  • Venture Capital Funds (VCFs).

NIMF Service Delivery Time: 5 working days from the receipt of the request.

• Request letter (preferably in our standard format or as near thereto as possible) signed by all the unit holders according to the mode of operation.
• In case of change in Bank details
  • Documents to be submitted for new bank account (Any one of the below documents.)
    • Cancelled original cheque of the new bank mandate with the first unit holder's name and bank account number printed on the face of the cheque,
    • Self-attested copy of bank statement,
    • Bank passbook with current entries not older than 3 months,
    • Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted.
  • Documents to be submitted for existing bank mandate currently registered in the folio /account (Any one of the below documents.)
    • Cancelled original cheque with first unit holder's name and bank account number printed on the face of the cheque,
    • Original bank account statement / Pass book,
    • In case such bank account is already closed, a duly signed and stamped original letter from such bank on the letter head of the bank confirming the closure of the said account.
    • Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted.

NIMF Service Delivery Time: 15 working days from the receipt of the request.

• To register or change more than one bank account, the investor needs to use the “ Multiple Bank Account Registration Form” and submit the same duly completed along with cancelled cheque leaf or such other documents* in respect of each of the (new) bank account number to be registered.
• Along with the prescribed bank mandate form, investors need to submit the original or a self-attested photocopy along with the original (for verification & return across the counter) or a copy duly attested by the Bank, of any one of the following documents:
  • Cancelled original cheque of the new bank mandate carrying the first unit holder’s name and bank account number printed on the face of the cheque; OR
  • Self-attested copy of latest bank statement or bank passbook with current entries not older than 3 months
  • ​For new multiple bank registration, the existing bank proof is required and for addition of a bank in existing multiple bank, any one of the already registered bank’s proof is required.
• Deletion of Registered Bank
  • Deletion of Banks (Non-Default bank)
  • MBR format with Bank details which to be deleted in our standard format
  • Deletion Bank proof
• Deletion of Default Bank
  • Request letter on MBR format
  • Existing Default bank Proof
  • New Default Bank proof
  • Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted

NIMF Service Delivery Time: 7 working days from the receipt of the request.

• Request letter (preferably in our standard format ) signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

• Request letter (preferably in our standard format ) signed by all the unit holders according to the mode of operation.
• Documents to be submitted for new bank account
  • Unit holders can provide originals of any of the 3 documents listed below; alternatively, originals should be brought for verification and photocopies can be submitted. If the unit holder gets photocopies of the documents attested by the bank, originals need not be submitted. OR
  • Cancelled original cheque of the new bank account with first unit holder's name and bank account number printed on the face of the cheque. OR
  • Self-attested copy of bank statement. OR
  • Bank passbook with current entries not older than 3 months.
    
• Documents to be submitted for existing bank mandate
  • Currently registered in the folio/account (Unit holders can provide originals of any of the 3 documents listed below; alternatively, originals should be brought for verification and photocopies can be submitted. If the unit holder gets photocopies of the documents attested by the bank, originals need not be submitted.) OR
  • Cancelled original cheque with first unit holder's name and bank account number printed on the face of the cheque. OR
  • Original bank account statement / pass book.
  
  
• FATCA & CRS details
• In case there is change of Bank account type and all other details remain same ( bank acno, Bank name, IFSC, MICR codes then the below document is Enough
• Banker letter confirming the account details of the existing bank of the unit holder, reflecting the change in his status from resident to non-resident vice versa.
• Note: Handwritten/rubber stamp-based bank passbook or cheque will not be accepted
• Note: For change of status from RI to NRI, change of bank account type from Savings/Current/NRO​ to NRE will not be accepted

NIMF Service Delivery Time: 3 working days from the receipt of the request.

• Change from Private limited company or Company to LLP
  • Request Letter from the LLP for updation of name in our records
  • Notarized copy of the new certificate of incorporation issued by the Registrar
  • Attested copy of registered LLP Agreement
  • List of Partners of LLP
  • New Authorized Signatory list
  • PAN card copy and KYC of LLP
• Status Change from Partnership firm to Company
  • Request letter with duly signed as per mode of holding in our records
  • Copy of the Partnership Deed & Dissolution Deed
  • A copy of the Memorandum of Association of the Pvt. Ltd which clearly states that the said Partnership firm has been converted into Pvt. Ltd. Company as per the provision of the Companies Act
  • Certificate of Registration issued by ROC
  • List of Directors, with BR & ASL of new entity
  • PAN card copy and KYC of Company
• Change of status - From Sole Proprietorship to Individual
  • Request letter with duly signed by the investor with nominee details
  • Notarised Affidavit cum Indemnity Bond - Sole Proprietorship to Proprietor (on Rs.100)
  • Pan, KYC and FATCA of the individual ( if not registered in the folio)
  • Existing bank mandate required
  • In case registered bank is changing any one of the below documents are mandatory
  • Cancelled original cheque of the new bank account with first unit holder's name and bank account number printed on the face of the cheque. Or
  • ​Self-attested copy of bank statement. Or Bank Passbook with current entries not older than 3 months.

NIMF Service Delivery Time: 3 working days from the receipt of the request.

• A request on the company's letter head duly signed by the ​existing authorized signatory.
• Certified Copy of Board resolution and ASL.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.
• Any other suitable proof evidencing the date of birth.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.
• MOA & AOA Documents.

NIMF Service Delivery Time: 7 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 3 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.
• Cancelled original cheque of the Existing bank account with first unit holder's name and bank account number printed on the face of the cheque. OR
• Self-attested copy of bank statement with MICR and IFSC code. OR
• Bank passbook MICR and IFSC code and with current entries not older than 3 months. OR
• Bank Letter duly signed by branch manager/authorized personnel with MICR and IFSC code.

NIMF Service Delivery Time: 7 working days from the receipt of the request.

• Request letter signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 2 working days from the receipt of the request.

• Request letter (preferably in our standard format) signed by all the unit holders according to the mode of operation.

NIMF Service Delivery Time: 3 working days from the receipt of the request.