9th November, 2015

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 Common APPLICATION FORM FOR
Sr. No. 2015/
UTI-Children’s Career Plan (UTI-CCP), UTI-Unit Linked Insurance Plan (UTI-ULIP)
and UTI-Retirement Benefit Pension Fund (UTI-RBP)
Registrar Sr. No.
(ocbs are not allowed to invest in units of any of the schemes of UTI MF)

(Please read instructions carefully)   PLEASE FILL IN ALL COLOUMS IN CAPITAL LETTERS ONLY AND USE SEPARATE FORM FOR EACH SCHEME  [Fields Marked with (*) must be Mandatorily filled in] Ê
distributor information (only empanelled Distributors/Brokers will be permitted to distribute Units) (refer instruction ‘h’) BDA / CA Code
ARN Name of Financial Advisor Sub ARN Code Sub-Code / M O Code EUI No.@ UTI RM No.
Bank Branch Code

upfront Commission shall be paid directly by the investor to the amfi/NiSm certified uti mf registered distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
@ I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of
in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction.  ( Please tick and sign below when EUIN box is left blank) (refer instruction ‘w’).

___________________________________________________ ______________________________________ ______________________________________

Ê
Signature of 1st Applicant / Donor (for UTI CCP) / Guardian Signature of 2nd Applicant Signature of 3rd Applicant
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below. Refer Instruction ‘i’)
I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
OR
` 150 will be deducted as transaction charges per Subscription of ` 10,000 and above ` 100 will be deducted as transaction charges per subscription of ` 10,000 and above
Existing Unit Holder information Scheme Name: Folio Number:
#
applicant’s personal details Mr. Ms. Mrs. M/s. * Denotes Mandatory Fields
Name of First Applicant Minor (above 12 years of age under uti-uliP) / Karta of Huf / the Beneficiary under uti-rBP (for investment by non-individual) (as appearing in id proof given for Kyc)
F I R S T M I D D L E
L A S T Date of Birth d d m m y y y y Mandatory for UTI-ULIP, UTI-RBP & for minors
#
For UTI CCP, applicant can be other than Father / Mother / Guardian of the beneficiary child. However, Parent/Guardian details must be provided below separately.
First Applicant’s Address (Do not repeat the name) Name & Address of resident relative in India (for NRIs) (P.O. Box No. is not sufficient)
Village/Flat/Bldg./Plot*
Street/Road/Area/Post

City/Town* State Pin*

Overseas Address (overseas address is mandatory for nri / fPi applicants in addition to mailing address in India)

City*
State Country* Zip/Pin*

Name in full of the Beneficiary Child under UTI-CCP Master/Kum: (Not exceeding 15 years of age)
F I R S T M I D D L E
L A S T Date of Birth of Beneficiary Child d d m m y y y y

Name iN full of the fatheR (OR) motheR (oR) guaRdiaN (iN CaSe of miNoR uNdeR uti-ulip & beNefiCiaRy Child uNdeR uti-CCp) $/ CoNtaCt
peRSoN foR iNStitutioNal appliCaNtS/huSbaNd of the appliCaNt (under uti-ulip) Mr. Ms. Mrs.

F I R S T M I D D L E L A S T

Address of the Father/Mother/Guardian of the Beneficiary Child where Scholarship / Redemption under Growth Option to be sent
under UTI-CCP / Parent or Guardian of Minor under UTI-ULIP (Post box no. alone is not sufficient)

City*
State Country* Pin*

Option for Despatch of Statement of Account

Applicant’s address as mentioned above (for NRIs)
At my Overseas address / Beneficiary’s father/mother/guardian address under
to be despatched to my resident relative’s address in India as UTI-CCP (If no option is given, it will be sent to the
given above address of beneficiary’s father/mother/guardian)

*PAN of 1st Applicant / Beneficiary Child/Father/Mother/Guardian (whose particulars are furnished in the form) Please ()

Enclosed copy of PAN Card KYC Compliance Proof*   Aadhar Card No.

*PAN No. OF HUF/SPOUSE Enclosed copy of   PAN Card    KYC Compliance Proof*  

DETAILS OF OTHER APPLICANTS (Not Applicable under UTI-ULIP)

Name of 2nd Applicant Mr. Ms. Mrs. Alternate Child under UTI-CCP: Master/Kum: (Not exceeding 15 years of age)

F I R S T M I D D L E L A S T

Date of Birth of 2nd Applicant d d m m y y y y Date of Birth of Alternate Child d d m m y y y y

Name in full of Father/Mother/Guardian of the Alternate Child $ (Only for UTI CCP) Mr. Ms. Mrs.
F I R S T M I D D L E L A S T

Address of Father/Mother/Guardian of the Alternate Child (Do not repeat the name) (Post box no. alone is not sufficient)

City* State
Pin* Country*
*PAN of 2nd Applicant/Alternate Child/Father/Mother/Guardian (whose particulars are furnished in the form) Please ()

Enclosed copy of PAN Card KYC Compliance Proof*   Aadhar Card No.
$ Proof of date of birth and proof of relationship with minor to be attached or else sign the declaration on the reverse (refer instruction f).

Friend in need details - In case UTI MF is unable to communicate with me/us at my / our registered address, I / we authorize UTI MF to correspond with the
following person to ascertain my/our updated contact details. (refer instruction - k)
F I R S T
Name M I D D L E L a s t
Address:

Relationship with the applicant (optional) Email Mobile

bank particulars OF fIRST APPLICANT / Beneficiary CHILD (UNDER uTI-ccp) (Mandatory as per SEBI guidelines)
Bank Name Branch
Address MICR Code
City *Pin (this is a 9-digit number next to your cheque number)

Account type (please ) Savings  Current  NRO  NRE

IFS Code
Account No. (this is a 11-digit number)

INVESTMENT AND PAYMENT DETAILS (For “Direct Plan” Please tick here & tick Scheme, Plan / Option given below) (refer instruction ‘j’ & ‘y’) for UTI-ULIP fill next page
If no scheme/plan name is selected, the application will be rejected.
For Scholarship option under UTI-CCP please
Scheme / Plan Option (#Default, Amount of DD Charge Net Amount Cheque / DD# Bank & Branch tick the mode and the No. of instalments
if not ticked) Investment (`) if any (`) Paid (`) No. & Date
UTI-Children’s Career Balanced Plan
UTI-RBP Mode No. of instalments
Yearly 4 5 6 7 8
UTI-Children’s Growth
Career Balanced Half Yearly 8 10 12 14 16
Plan #
Scholarship # (If no option is exercised, the application will be deemed to
be under the Scholarship Option with yearly mode of giving
4 instalments of scholarship and processed accordingly)
UTI-CCP Growth# UTI-CCP Advantage Fund
Advantage Mode No. of instalments
Fund Dividend
Yearly 4 5 6 7 8
Scholarship Half Yearly 8 10 12 14 16
(If no option is exercised, the application will be deemed to
UTI-ulip investment details must be furnished separately in the subsequent page. Payment details must be furnished below. be under the Growth Option and processed accordingly)

#Cheque/DD/vNEFT/vRTGS Ref.No. / Cash Account type Savings Current NRE

Unique Serial No. (For Cash)
(please ) NRO DD issued from abroad
Account No.

Bank & Branch (For UTI-ULIP) ______________________________________________________________________________________________________________

  Please tick if the above payment is made from your Spouse / HUF Bank Account. In case of Spouse, please tick        Husband     Wife     HUF
# Please mention the Application No. on the reverse of the Cheque/DD, NEFT/RTGS advice. Please use separate Cheque/DD for each Scheme. Cheque/DD must be drawn in favour of
“The Name of the Scheme” & crossed “A/c Payee Only”.   v Investment amount shall be ` 2 lacs and above in case of payments through RTGS.

GENERAL INFORMATION - Please () wherever applicable

STATUS:   Resident Individual   Minor through guardian   HUF   Partnership   Trust   Sole Proprietorship

  Society   Body Corporate   AOP   BOI   FPI   NRI

  Foreign Nationals# #   Listed Company   Unlisted ‘Not for Profit’^^ Company  Other Unlisted Company

  Others (Please specify) _______________________________________________________________________________________________

# # OCBs are not allowed to invest in units of any of the schemes of UTI MF.
^^ ‘Not for Profit’ Company as defined under Companies Act (Act of 1956/2013).

Occupation:  Business   Student   Agriculture   Self-employed   Professional   Housewife

  Retired   Private Sector Service   Public Sector Service

  Government Service   Forex Dealer   Others (Please specify) ___________________________________________________

Mode of Holding Single Anyone or Survivor Joint (not applicable to UTI-ULIP)

Marital Status   Unmarried  Married  Wedding Anniversary D D M M

Category under In my/our individual capacity On behalf of minor as Father/Mother/Lawful guardian

UTI-ULIP (Please fill in the nomination form)
 Other Details (MANDATORY)
For Individuals Only
1st Applicant: (A) Gross Annual Income Details Please tick ()
  Below 1 Lac   1-5 lacs   5-10 Lacs   10-25 Lacs   >25 Lacs - 1 Crore   >1 Crore
[OR]
(Net worth should not be older than 1 year)
Net-worth in ` _______________________________________________________________________ as on (date) D D M M Y Y Y Y

(B) Please tick if applicable:   Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
(For definition of PEP, please refer instruction ‘x’).
(C) Any other information: _____________________________________________________________________________________________
2nd Applicant: (A) Gross Annual Income Details
  Below 1 Lac   1-5 lacs   5-10 Lacs   10-25 Lacs   >25 Lacs - 1 Crore   >1 Crore
[OR]
(Net worth should not be older than 1 year)
Net-worth in ` _______________________________________________________________________ as on (date) D D M M Y Y Y Y
(B) Please tick if applicable:   Politically Exposed Person (PEP)   Related to a Politically Exposed Person (PEP)
(C) Any other information: _____________________________________________________________________________________________
3rd Applicant: (A) Gross Annual Income Details
  Below 1 Lac   1-5 lacs   5-10 Lacs   10-25 Lacs   >25 Lacs - 1 Crore   >1 Crore
[OR]
(Net worth should not be older than 1 year)
Net-worth in ` _______________________________________________________________________ as on (date) D D M M Y Y Y Y
(B) Please tick if applicable:   Politically Exposed Person (PEP)   Related to a Politically Exposed Person (PEP)
(C) Any other information: _____________________________________________________________________________________________
For non-Individuals Only
(A) Gross Annual Income Details
  Below 1 Lac   1-5 lacs   5-10 Lacs   10-25 Lacs   >25 Lacs - 1 Crore   >1 Crore
[OR]
(Net worth should not be older than 1 year)
Net-worth in ` _______________________________________________________________________ as on (date) D D M M Y Y Y Y
(B) Is the entity involved in / providing any or the following services
–  foreign Exchange / Money Changer Services   YES    NO –  Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates)   YES    NO
–  Money Lending / Pawning   YES    NO
(C) Any other information: _____________________________________________________________________________________________

For NRIs Only under UTI-CCP

I am a Non-Resident I am a Resident I am an Indian National of:
Applicant Applicant and of Indian Origin
(Name of the Country)
Beneficiary Child Beneficiary Child and of Indian Origin
(Name of the Country)
Alternate Child Alternate Child and of Indian Origin
(Name of the Country)
UTI-ULIP Investment Details (For “Direct Plan” Please tick here & tick Plan / type of insurance cover given below) (refer instruction ‘j’ & ‘y’)
Target Amount (`) Mode of contribution Age in Yrs Sex

     
Yrly Half Yrly SIP / Micro SIP Male Female
Investor opting for Systematic Investment Plan (SIP) / Micro SIP should fill in the separate form for the same.
Number of contributions now paid (initial + renewal) = ________________________________ (not applicable for SIP / Micro SIP)
Scheme / Plan Period Insurance Cover (#Default, if not ticked) Amount of Investment (`) DD Charge if any (`) Net Amount Paid (`)
UTI-ULIP 10 Year Plan Declining Term #    Fixed Term
UTI-ULIP 15 Year Plan Declining Term #    Fixed Term

I have regular and independent income YES NO

I am a resident non-resident Indian. In case I become NRI, I Shall inform UTI AMC my address in India to which communications may be sent by UTI AMC.
In case of non-receipt of contribution by the due date, UTI AMC is hereby authorised to redeem units in my folio for payment of premium to the insurance company. (Please strike off if the same is not acceptable).
I hereby declare that an aggregate target amount of all my memberships in force including the one being now applicable for does not exceeds ` 15,00,000/-. I realise that in the event of its exceeding ` 15,00,000/- for
any reason whatsoever, the insurance cover on my life, will be restricted to ` 15,00,000/- (` 5,00,000/- for females without regular income).
I am aware that (i) I will be covered under the Personal Accident Insurance to such extent and so long as UTI MF extends the facility irrespective of the aggregate target amount under the Scheme. (ii) The above
insurance cover when in force is in addition to the Life Insurance cover under the Scheme, I declare that in the event of my having taken or taking up a similar accident insurance policy to cover the same risk my claim
shall stand restricted under my own policy and will not be eligible for the cover provided under the Scheme.
Particulars of health:
(A) Am I in sound health: YES NO (If No, investment under UTI-ULIP is not permissible)
(B) Have I ever suffered from any of the following: NO YES (If yes, please tick from the following) (If suffering from any of the following ailments, application will be liable for rejection)
Tuberculosis Cancer Paralysis Insanity Any disease of the heart and lungs
Kidney disease Any disease of brain Diabetes Hypertension Any other serious disease
(C) Do I have any physical deformity or handicap: NO YES If yes, (i) the date of occurrence___________________________ (Enclose the Certificate of deformity)
(ii) the extent of deformity_______________________________________ (iii) the present condition____________________________________________ (iv) whether gainfully employed YES NO
(D) Declaration of heath: I hereby declare that I am in good health and free from disease, that I did not have any serious illness or major operation for the last five years and no proposal of insurance on my life
to Life Insurance Corporation of India / any other life insurance company has ever been adversely treated. I further declare that to the best of my knowledge the foregoing statements and answers are true and
correct in every particular and the said statements and this declaration shall be the basis of my admission to UTI MF’s UTI-Unit Linked Insurance Plan.

Acknowledgement slip (To be filled in by the Applicant)

(UTI-ULIP and UTI-RBP are eligible for deduction under Section 80C of the Income-Tax Act, 1961)
Sr. No. 2015/
Received from Mr./Ms./M/s.
Notes :
1. If the application is incomplete and any other requirement is not fulfilled, the application is liable to be rejected.
2. Consolidated Account Statement (CAS) will be sent within 10 days of the following month of the transaction.
3. Please ensure that all KYC Compliance Proof/PAN details are given, failing which your application will be rejected.
4. All communications relating to issue of Statement of Account, Change in Name, Address or Bank Particulars, etc. may please be addressed to the Registrar.
M/s. Karvy Computershare Pvt. Ltd.
Unit: UTIMF, Karvy Selenium Tower B, Plot Nos. 31 & 32, Financial District, Nanakramguda, Serilingampally Mandal, Hyderabad - 500 032, Stamp of UTI AMC Office /
Board No: 040-6716 2222, Fax No.: 040- 6716 1888, Email: uti@karvy.com Authorised Collection Centre
 Health Declaration (To be completed by the Financial Advisor of UTI AMC or by the authorised person^)
The applicant has completed and signed the application in my presence. From his/her appearance and to best of my judgement, I find that he/she is in good health and has a
sound constitution. His/Her date of birth mentioned above is verified by me from ___________________________________________________________________ (Please
state nature of proof). The applicant is known to me personally/has been introduced to me by Shri/Smt./Kum.__________________________________________________
_________________________________ whose signature is appended.
--------------------------------------------------------------------------------------------------------
(Signature of witness identifying the applicant)
Date: ________________________ Place:___________________
áM
--------------------------------------------------------------------------------------------------------
(Signature of the authorised person) [mandatory] €
Date: _____________________ Place:______________________________
A Name of authorised person
Name of witness
(in block letters)_________________________________________
N (in block letters)____________________________________________________________
D Status: (UTI AMC Financial Advisor, Magistrate, Bank Manager etc.)__________________
Occupation:____________________________________________ A Code No. (If UTI AMC Financial Advisor):________________________________________
Address:______________________________________________ T Office Seal (if others):_______________________________________________________
Address:______________________________________________ O Address:_________________________________________________________________
R Address:_________________________________________________________________
Address:______________________________________________
Y € In absence of above the application is liable to be rejected
^UTI AMC BDA/Financial Advisor/Magistrate/Manager of a scheduled bank/JP/Gazetted Officer/Officer in charge of Defence Personnel/Officer of UTI AMC

details under fatca (Foreign Tax Compliance Act) and CRS (Common Reporting Standard) (Refer instruction ‘z’)

Information to be provided by all Applicants in the same sequence of Names as given in this Application form
Are you a tax resident of any country other than India ?

If No, please tick here:  First Applicant     Second Applicant     Third Applicant

If yes, please fill in the Particulars in the prescribed Form for FATCA/CRS and attach it with this Application Form.

NOMINATION DETAILS (Please ) (Person applying on behalf of Minor cannot nominate under UTI-ULIP) (Not available under UTI-CCP)
(please sign if you do not wish to nominate)
I/We hereby nominate the undermentioned Nominee to receive the amounts to my / our credit in the event of my / our death. I/We also understand that all payments and settlements made to
such Nominee and signature of the Nominee acknowledging receipt thereof, shall be a valid discharge by the AMC / Mutual Fund / Trustee.
Name and Address of Nominee To be furnished in case nominee is a minor
Name Name of the guardian
Date of Birth (in case of nominee is a minor) d d m m y y y y Address of guardian
Mobile No.
Address
Signature of Nominee / guardian (for minor)
Investors who wish to nominate two or three persons may fill in the separate form prescribed for the same and attach it with this application form.
I/We do not wish to nominate

Sign. ____________________________________ ______________________________________ ____________________________________

here Signature of 1st Applicant / Guardian Signature of 2nd Applicant Signature of 3rd Applicant
Ê
Declaration and Signature of Applicant/s
l l/We have read and understood the contents of the scheme information documents, statement of additional information and Key information Memoranda, addenda issued
till date and apply to the trustee of UTI Mutual fund as indicated above. I/We agree to abide by the terms and conditions, rules and regulations of the schemes as on the date of
investment. I/We undertake to confirm that this investment has been duly authorised by appropriate authorities in terms of all relevant documents and procedural requirements.
l I/We have not received nor been induced by any rebate or gifts, directly or indirectly in making investments. I/We agree that in case of scholarship option the first named child
shall get the scholarship as per the installments selected herein above for which, the scheme will make the payment directly to the child. l 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. l I/We hereby authorize UTI Mf/UTI aMc to share my data furnished in the form to my distributor and other service providers of the UTI
Mf for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI Mf. l I/We confirm that we are
non-residents of indian nationality/origin and that the funds are remitted from abroad through approved banking channels or from my/our nre/nro account. I/We undertake to
provide further details of source of funds and any such other relevant documents, if called for by UTI Mutual fund. (applicable to nris.) l i hereby solemnly declare that i am the
father/mother/guardian of the minor child in whose name the application is made. the date of birth stated by me is true and correct. I do not have any documents in support of the
date of birth and relationship with minor child. (strike out if this declaration is not applicable).

Ê * Please send the Account Statement, Abridged Annual Report, Transaction confirmation, communication of change of address, change of bank details etc. through email only at the below email ID.
(If you wish to receive in physical form please tick )

First Mobile No. Tel. (R) STD CODE Tel. (O) STD CODE
Applicant
Details
*E-mail ___________________________________________________________________ Alternate E-mail _____________________________________________________

Sign. ___________________________________________________ ______________________________________ ______________________________________

here Signature of 1st Applicant / Donor (for UTI CCP) / Guardian@ Signature of 2nd Applicant Signature of 3rd Applicant
Ê Name of 1st Authorised Signatory Name of 2nd Authorised Signatory Name of 3rd Authorised Signatory
______________________________________ ______________________________________ ______________________________________
Designation ___________________________ Designation ___________________________ Designation ____________________________

Sign.
here @
Signature of Guardian (if different from Donor) (for UTI CCP)
Ê Ê
@
For UTI CCP-Growth option, both Guardian & Donor (if different from Guardian) must sign.

ACKNOWLEDGEMENT SLIP (To be filled in by the Investor) COMMON APPLICATION FORM l Subject to realisation

Payment Details
Sr.No. Scheme Name Plan / Option Net Amount Paid (`)
l Cheque/DD No. Bank & Branch
1
2
3
4
5
 GENERAL INSTRUCTIONS FOR FILLING THE APPLICATION FORM
Ê
PLEASE FILL IN ALL COLUMNS IN CAPITAL LETTERS ONLY
[Fields Marked with (*) must be Mandatorily filled in]
[Before Filling up the Form, Please read the Cover Page Carefully to know the Risk Profile of the Scheme(s) you are Investing in]

(a) Please read the terms of the Key Information Memorandum, Scheme be common.
Information Documents and Statement of Additional Information carefully
For further details refer to SAI.
before filling the Application Form. Investors should also apprise
themselves of the prevailing Load structure on the date of submitting the (k) ‘Friend In Need’ details will be used by UTI MF only for ascertaining the
Application Form. present address of the unit holder (without disclosing investment details
of the investor) if no response is received from the unit holder on sending
Investors are deemed to have accepted the terms subject to which this
communication in any form to his/her registered address or e-mail ID, if
offer is being made and bind themselves to the terms upon signing the
available, atleast for two occasions. For further details, please refer to SAI.
Application Form and tendering payment.
(l) SEBI has made it mandatory for all applicants, irrespective of amount
(b) Before submission of application form at UTI Financial Centres and other
of investment, to furnish Income Tax PAN (PAN not applicable to Micro
authorised collection centres investors may please ensure that the form
SIP). An application without PAN will be rejected. Investors are required to
has been filled in completely and signed by all the applicants properly as
provide the photocopy (self attested by the investor) of the PAN card along
incomplete application is liable to be rejected.
with the application form. If the investment is in the name of minor the
(c) NRI applicants should preferably submit the application at NRI Branch, PAN of the minor or his father / mother / guardian whose particulars are
Mumbai, Dubai Representative Office or any Financial Centre of UTI AMC provided in the application form is to be provided.
along with NR(E) / NR(O) cheque or a rupee draft payable at the place
Investment & Payment Details
where the application is submitted.
(m) The cheque/draft accompanying an application should be made
(d) Please write the application serial Number on the reverse of the
payable in favour of “the name of the scheme”.
cheque / draft.
In the case of ‘Direct Plan’, the cheque/draft shall be payable in
(e) Please fill in the names of the applicant(s) / beneficiary / alternate child (if
favour of “the name of the scheme- Direct Plan”.
any) / institution / parent or lawful guardian / minor / alternate applicant /
nominee etc. at the appropriate places in the application form. PIN code (n) Outstation cheques are not accepted. In case the payment is made by
no. must be given with address to avoid delay / loss in transit. demand draft, the draft commission will have to be borne by the applicants.
(f) Attach any one of the documents as proof of date of birth and relationship However for investment made from areas where there are no UTI Financial
with minor viz., birth certificate, School leaving certificate/mark sheet Centres or authorised collection centres (where local cheques are
issued by Higher Secondary Board of respective states, ICSE, CBSE etc., accepted), UTI AMC may, if it so decides, bear draft charges to the extent
Passport of the minor or any other suitable proof evidencing the date of of `250/- per application or the actual as is prescribed by banks, whichever
birth and relationship with the minor. is lower or such amount as may be decided by UTI AMC from time to
time. The investors have to attach proof of the DD charges paid to a bank
(g) It is mandatory for an applicant to furnish full and correct particulars of
(i.e. acknowledgement issued by the bank where DD is purchased). The
bank account such as nature and number of the account, name and
reimbursement/adjustment of DD charges is solely at the discretion of UTI
address of the bank, name of the branch, MICR code of the branch
AMC and in case if it is found that such charges are unreasonably higher
(where applicable) etc. at the appropriate place in the application form.
than normal market rates, such charges may not be admissible. For further
Application without such bank particulars is liable to be rejected. If the
details, refer to SAI/SID of the respective scheme.
credit of dividend distribution is delayed or not effected at all for reason
of incomplete or incorrect information furnished by the applicant, UTI AMC (o) UTI AMC/MF shall not accept application for subscription of units
cannot be held responsible. accompanied with Third Party Payment except in certain exceptional cases
as may be permitted. For details please refer to SID/SAI.
(h) If you have invested through a distributor, kindly specify the Name and
ARN Code, Sub ARN Code of the distributor, else for Direct Investment, Payment Modes
please mention “Direct” in the Column “Name & Broker Code/ARN/ Sub
(p) No money orders, outstation cheques, post-dated cheques [except
ARN Code”. In case nothing is specified, then by default, the Broker Code
through Systematic Investment Plan(SIP)/Micro SIP] and postal orders
will be treated as Direct and the application form will be treated as Direct
will be accepted.
Application.
However, cash payment to the extent of `50,000/- per investor, per Mutual
(i) Transaction Charges Fund, per financial year through designated branches of Axis Bank will be
accepted subject to the following procedure:-
Pursuant to SEBI circular no. CIR/IMD/DF/13/2011 dated August 22, 2011,
a transaction charge of `100/- for existing investors and `150/- in the case i. Investors who desire to invest upto `50,000/- per financial year shall
of first time investor in Mutual Funds, per subscription of `10,000/- and contact any of our UTI UFCs and obtain a Form for Deposit of Cash
above, respectively, is to be paid to the distributors of UTI Mutual Fund and fill-up the same.
products. ii. Investors shall then approach the designated branch of Axis Bank along
However, there shall be no transaction charges on direct investment/s not with the duly filled-in Form for Deposit of Cash and deposit the cash.
made through the distributor/financial advisor etc. iii. Axis Bank will provide an Acknowledgement slip containing the
details of Date & Time of deposit, Unique serial number, Scheme
There shall be no transaction charge on subscription below `10,000/-. Name, Name of the Investor and Cash amount deposited. The
In case of SIPs, the transaction charge shall be applicable only if the total Investors shall attach the Acknowledgement slip with the duly filled-in
commitment through SIPs amounts to `10,000/- and above. In such cases, application form and submit them at the UFCs for time stamping.
the transaction charge shall be recovered in 3-4 instalments. iv. Applicability of NAV will be based on depositing of cash at the
The transaction charge, if any, shall be deducted by UTI AMC from the designated bank branch before the cut-off time and time-stamping of
subscription amount and paid to the distributor and the balance shall be the valid application together with the acknowledgment slip at the UTI
invested. Financial Centre (UFC)/Official Point of Acceptance (OPA).
For further details please refer to SAI.
Allocation of Units under the scheme will be Net of Transaction Charges.
(q) Know Your Customer (KYC) Norms:
The Statement of Account (SoA) would also reflect the same.
Common Standard KYC through CDSL Ventures Ltd (CVL) is applicable
If the investor has not ticked in the Application form whether he/she is an for all categories of investors and for any amount of investment. KYC
existing/new investor, then by default, the investor will be treated as an done once with a SEBI registered intermediary will be valid with another
existing investor and transaction charges of `100/- will be deducted for intermediary. Intermediaries shall carry out In-Person Verification (IPV) of
investments of `10,000/- and above and paid to distributor/financial advisor their clients.
etc., whose information is provided by the investor in the Application form.
For further details related to KYC, please refer to SAI/SID of the respective
However, where the investor has mentioned ‘Direct Plan’ against the
scheme.
scheme name, the Distributor code will be ignored and the Application will
be processed under ‘Direct Plan’ in which case no transaction charges will PAN-Exemption for micro financial products
be paid to the distributor.
Only individual Investors (including NRIs, Minors & Sole proprietary firms)
Upfront commission shall be paid directly by the investor to the AMFI who do not have a PAN, and who wish to invest upto ` 50000/- in a
registered Distributors based on the investors’ assessment of various financial year under any Scheme including investments, if any, under SIPs
factors including the service rendered by the distributor. shall be exempted from the requirement of PAN on submission of duly
filled in purchase application forms, payment amount/instrument and KYC
For details on opting in/out by distributors for charging transaction charges
application form with other prescribed documents towards proof of identity
etc., refer to SAI/SID.
as specified by SEBI.
(j) Direct Plan For all other categories of investors, this exemption is not applicable.
Please refer to the SAI for further details on KYC.
Direct Plan is for all category of eligible investors (whether existing or new
Unitholders) who purchase/subscribe Units directly with the Fund and is not (r) Aadhar Card
available for investors who route their investments through a Distributor.
In addition to KYC compliance proof / self attested PAN Card copy, the
The Direct Plan will be a separate plan under the Fund/Scheme and shall investors are advised to provide Aadhar Card No., if any.
have a lower expense ratio excluding distribution expenses, commission
etc and will have a separate NAV. No commission shall be paid from Direct (s) Consolidated Account Statement (CAS)
Plan. Portfolio of the scheme under the Existing Plan and Direct Plan will The AMC will issue a Consolidated Account Statement (CAS) for each
 calendar month to the investor in whose folios transactions has taken Installments, Dividend Reinvestments, Bonus Units, Redemption,
place during that month and such statement will be issued on or before SWP Registration, Zero Balance Folio creation and Dividend
the 10th day of the succeeding month detailing all the transactions and Transfer Plan installments.
holding at the end of month including transaction charges paid to the
(x) Politically Exposed Persons (PEP) are defined as individuals who are or
distributor, if any, across all schemes of all mutual funds.
have been entrusted with prominent public functions in a foreign country,
Further, CAS as above, will also be issued every half yearly (September/ e.g., Heads of States or of Governments, senior politicians, senior
March), on or before the 10th day of succeeding month detailing holding Government/judicial/military officers, senior executives of state owned
at the end of the sixth month, across all schemes of all mutual funds, to corporations, important political party officials, etc.
all such investors in whose folios no transactions has taken place during
(y) Risk Mitigation process against Third Party Cheques
that period.
Third party payments are not accepted in any of the schemes of UTI
The word “transaction” for the purposes of CAS would include purchase,
Mutual Fund subject to certain exceptions.
redemption, switch, dividend payout, dividend reinvestment, Systematic
Investment Plan (SIP), Systematic Withdrawal Plan (SWP), Systematic “Third Party Payments” means the payment made through instruments
Transfer of Investment Plan (STRIP), bonus transactions and merger, if issued from an account other than that of the beneficiary investor
any. mentioned in the application form. However, in case of payments from a
joint bank account, the first named applicant/investor has to be one of the
However, Folios under Micropension arrangement shall be exempted from
joint holders of the bank account from which payment is made.
the issuance of CAS.
For further details on documents to be submitted under the process to
For further details on other Folios exempted from issuance of CAS, PAN
identify third party payments, Exceptions for accepting such cheques etc,
related matters of CAS etc, please refer to SAI.
refer to SAI/relevant addenda.
(t) MF Utility for Investors
Bank Mandate registration as part of the New Folio creation
UTI AMC Ltd has entered into an agreement with MF Utilities India Private
Ltd (MFUI) for usage of MF Utility (MFU), a shared service initiative of In order to reduce frauds and operational risks relating to fraudulent
various Asset Management Companies, which acts as a transaction encashment of redemption/dividend proceeds, Investors are required to
aggregation portal for transacting in multiple Schemes of various Mutual submit any of the prescribed documents (along with original document for
Funds with a single form and a single payment instrument through a verification) in support of the bank mandate mentioned in the application
Common Account Number (CAN) form for subscription under a new folio, in case these details are not the
same as the bank account from which the investment is made.
Accordingly, all financial and non-financial transactions pertaining
to Schemes of UTI Mutual Fund excluding UTI Nifty, UTI Children’s
(z) Foreign Account Tax Compliance Act (FATCA) is a United States (US)
Career Balanced Plan, UTI Children’s career Advantage Fund and
Law aimed at prevention of tax evasion by us citizens and residents
UTI ULIP are available through MFU either electronically on www.
(“US Persons”) through use of offshore accounts.
mfuonline.com as and when such a facility is made available by MFUI
or physically through authorised Points Of Service (“POS) of MFUI with FATCA obligates foreign financial institutions (FFIs), including Indian
effect from the respective dates as published on MFUI website against financial institutions to provide the US Internal Revenue Service (IRS) with
the POS locations. However, all such transactions shall be subject to the information and to report on the accounts held by specified US Persons. The
eligibility of investors, any terms and conditions and compliance with the term FFI is defined widely to cover a large number of non-US based financial
submission of documents and procedural requirements as stipulated by service providers such as mutual funds, depository participants, brokers,
UTI MF/UTI AMC from time to time in addition to the conditions specified custodians as well as banks. FATCA requires enhanced due diligence
by MFU, if any. processes by the FFI so as to identify US reportable accounts.
The online portal of MFUI i.e. www.mfuonline.com and the POS The identification of US person will be based on one or more of following ‘‘US
locations aforesaid shall act as Official Points of Acceptance (OPAs) in indicia’’-
addition to the existing OPAs of the UTI AMC Ltd and any transaction
3 Identification of the Account Holder as a US citizen or resident;
submitted at such POS will be routed through MFUI or as may be decided
by UTI AMC. Investors not registered with MFUI also can submit their 3 Unambiguous indication of a US place of birth;
transactions request by giving reference to their existing folio number.
3 Current US mailing or residence address (including a US post office
All valid applications received for any other scheme apart from eligible
box);
schemes as stated above may be accepted by UTI AMC at its own
discretion 3 Current US telephone number;
The uniform cut off time as prescribed by SEBI and as mentioned in the 3 Standing instructions to transfer funds to an account maintained in USA;
SID/KIM of the respective Schemes shall be applicable for applications
3 Current effective power of attorney or signing authority granted to a
received by MFUI. However, in case of investment of any amount in liquid
person with a US address or
funds and Rs 2 lacs and above for other Schemes, the applicability of
NAV will be subject to the date and time of receipt of credit of amount to 3 An “in-care of” or “hold mail” address that is the sole address that the
the specified bank account of AMC. UTI AMC Ltd will not be responsible Indian Financial Institution has on the file for the Account Holder
for any delay or omission whatsoever, on the part of MFUI.
Common Reporting Standard - The New Global Standard for Automatic
For further details regarding procedures for obtaining CAN and other
Exchange of Information
particulars about MFU etc, please refer to Addendum No 50 dated 6th
February 2015/SAI. Investors may also contact the nearest POS aforesaid On similar lines as FATCA the Organization of Economic Development
for procedures to be complied with in this regard (OECD), along with the G20 countries, of which India is a member,
has released a “Standard for Automatic Exchange of Financial Account
(u) E-mail communication: Unitholders who have opted to receive Information in Tax Matters”, in order to combat the problem of offshore
documents/communication by e-mail will be required to download and tax evasion and avoidance and stashing of unaccounted money abroad,
print the documents/communication after receiving the e-mail from UTI requiring cooperation amongst tax authorities. The G20 and OECD
AMC. Should the unitholder experience any difficulty in accessing the countries have together developed a Common Reporting Standard (CRS)
electronically delivered documents/communication, the unitholder should on Automatic Exchange of Information (AEOI).
advise the Registrars immediately to enable UTI AMC to send the same
Please refer to Instructions given in the FATCA/CRS Form before filling
through alternate means. In case of non receipt of any such intimation of
in the particulars and for further details relating to FATCA/CRS, refer to
difficulty within 24 hours from receiving the e-mail, it will be regarded as
AMFI India’s Circular No.135/BP/63/2015-16 dated 18th September 2015
receipt of email by the unitholder. It is deemed that the unitholder is aware
and SEBI Circular No. CIR/MIRSD/3/2015 dated 10th Spetember 2015.
of all the security risks including possible third party interception of the
documents/communications and contents of the same becoming known
to third parties. SMS and Email on the registered address of the investor CHECK LIST
shall be sent confirming the number of unit allotted within 5 business days Please ensure that:
from the date of transaction. • Application Form is filled in Capital letters only
(v) Abridged Annual Report: • Your name and address is given in full.
• Your preferred Scheme, plan and option is selected.
The unitholders whose Email ID is registered with UTI Mutual Fund will
receive Abridged Annual Report by email unless indicated by the investor • Your investment is not less than the minimum investment amount.
otherwise to receive the physical copy. The scheme-wise Abridged Annual • Your application is complete and signed by all applicants.
report will also be made available on the website of UTI Mutual Fund • Cheques are drawn in favour of ‘The name of the scheme’ (in case of
(www.utimf.com). Direct Plan, “the name of the scheme - Direct Plan”) dated, signed and
(w) Note on EUIN: Investors should mention the EUIN of the person who has crossed ‘A/c Payee only’.
advised the investor. If left blank, please sign the declaration provided • On the reverse of each cheque submitted, the Application Form number is
in the application form. EUIN will assist in tackling the problem of mis- written.
selling even if the employee/relationship manager/sales person leave the • PAN details of all holders are given failing which your application will be
employment of the ARN holder/Sub broker. rejected (PAN not applicable to micro SIP).
9th November, 2015

• Copy of KYC acknowledgement for all holders provided by service

Applicability of EUIN :
provider is given, failing which your application will be rejected.
a. Transactions to be included - Purchases, Switches, SIP/ STP / STP • Your bank account details are entered completely and correctly. This is
Triggers registration, Dividend Transfer Plan registration. mandatory. If this is not included, your application will be rejected.
b. Transactions to be excluded – Auto SIP/ STP / SWP / STP Triggers • Only CTS-2010 complied cheques are submitted.