HDFC Fixed Maturity Plans - Series XVIII - HDFC Mutual Fund

CHECKLIST Please ensure that your ASBA Application Form is complete in all respect and signed by all applicants : Name, Address and Contact Details are mentioned in full. SCSB / ASBA Account and Bank Account Details are entered completely and correctly. Permanent Account Number (PAN) of all Applicants is mentioned irrespective of the amount of purchase and proof attached (if not already validated) Appropriate Plan / Option is selected. Demat account details are entered completely and correctly.Ensure that you receive an acknowledgement from the DB of the concerned SCSB for the submission of your Form.INSTRUCTIONS1. GENERAL INSTRUCTIONSPlease read the terms of the Key InformationMemorandum, the Scheme Information Document (SID)and Statement of Additional Information (SAI) carefullybefore filling the Application Form.Investors are deemed to have accepted the terms subjectto which this offer is being made and bind themselvesto the terms upon signing the Application Form andtendering payment.The Application Form should be completed in ENGLISHand in BLOCK LETTERS only. Please tick in theappropriate box for relevant options wherever applicable.Please do not overwrite. For any correction / changes(if any) made on the application form, applicants arerequested to authenticate the same by canceling andre-writing the correct details and counter-signed by thesole / all applicants.HDFC Mutual Fund extends ASBA facility tothe Investors subscribing for the Units underthis New Fund Offer (“NFO”) in addition to itsexisting mode of subscriptions, subject to thesame being extended by all the concernedintermediaries involved in the ASBA process. Foravailing this facility, Investors are requested tocheck with the Designated Branches (“DBs”) ofthe Self Certified Syndicate Banks (“SCSBs”). Thelist of SCSBs is available at the back cover page ofthe KIM and on the websites of SEBI(www.sebi.gov.in), HDFC Mutual Fund(www.hdfcfund.com), NSE (www.nseindia.com)and BSE (www.bseindia.com).Investors shall use the ASBA Application Form bearingthe stamp of the Syndicate Members and/or the DBs ofSCSB, as the case may be, for the purpose of makingan application for Subscription of Units of HDFC FMP92D May 2011 (2) and HDFC FMP 370D May 2011 (2)– HDFC Fixed Maturity Plans - Series XVIII. Investors arerequired to submit their applications, either in physicalor electronic mode. In case of application in physicalmode, the Investor shall submit the application at theDBs of the SCSB. In case of application in electronicform, the Investor shall submit the application eitherthrough the internet banking facility available with theSCSB, or such other electronically enabled mechanismfor blocking funds in the ASBA account held with SCSB,and accordingly registering such Applications. Onsubmission of the application, the Investors are deemedto have authorised (i) the SCSB to do all acts as arenecessary to make the application including, blockingor unblocking of funds in the bank account maintainedwith the SCSB specified in the application, transfer offunds to the Bank Account of the Scheme/HDFC MutualFund on receipt of instructions from the Registrar andTransfer Agent after the allotment is made; and (ii) theRegistrar and Transfer Agent to issue instructions to theSCSB to remove the block on the funds in the bankaccount specified in the application (“ASBA Account”),upon rejection of the application / winding up of theScheme, as the case may be.Applications completed in all respects, must besubmitted at the SCSBs with whom the bank accountis maintained.Applications incomplete in any respect are liable to berejected.The AMC / Trustee retains the sole and absolute discretionto reject any application.It may be noted that the Securities and Exchange Boardof India (SEBI) vide its Notification dated May 31, 2010read with Circular dated June 24, 2010 states that witheffect from June 01, 2010, the distributors, agents orany persons employed or engaged or to be employedor engaged in the sale and/or distribution of mutualfund products shall be required to have a validcertification from the National Institute of SecuritiesMarkets (NISM) by passing the certification examination.Further, no agents / distributors would be entitled to sellunits of mutual funds unless the intermediary is registeredwith AMFI.2. UNIT HOLDER INFORMATIONName and address must be written in full. In case theInvestor is an NRI/FII, an overseas address must beprovided. A local address if available may also bementioned in the ASBA Application Form.Name of the Parent or Guardian must be mentioned ifthe investments are being made on behalf of a minorand the same should be as provided in your demataccount.The applicant(s) details mentioned in Section 1a,should be the same as appearing in demat accountheld with a Depository Participant.Applications under a Power of Attorney must beaccompanied by the original Power of Attorney (or acertified true copy of the same duly notarised).Authorised officials should sign the Application Formunder their official designation.Applications not complying with the above areliable to be rejected.All communication and payments shall be made in thename of and favouring the first / sole applicant.In case the application is submitted in joint names, itshould be ensured that the demat account is also heldin the same joint names and are in the same sequencein which they appear in the application form.3. INVESTMENT DETAILSIInvestors should indicate the Plan / Option for whichthe subscription is made by indicating the choice in theappropriate box provided for this purpose in theapplication form. In case of valid applications receivedwithout indicating any choice of Option, it will beconsidered as option for Growth and processedaccordingly. In case of valid application received withoutindicating any choice of Quarterly Dividend Option orNormal Dividend Option, it will be considered as optionfor Normal Dividend Option and processed accordingly.Investors must use separate Application Forms forinvesting simultaneously in both the Options under thePlan.4. ASBA PROCESSThe SCSB shall block amount equivalent to theapplication amount mentioned in the Form, afterverifying that sufficient funds are available in the bankaccount (“ASBA Account”) till the date of allotment ofUnits or upon rejection of the application / winding upof the Scheme, as the case may be.A system generated Transaction Registration Slip (TRS)will be given to the Investor only upon request as proofof the registration of the application of Units. It is theInvestor’s responsibility to obtain the TRS from the DBsof the SCSBs. The registration of the application by theDBs of the SCSB does not guarantee that the Unitsapplied for shall be allotted to the Investor. Such TRSwill be non-negotiable and by itself will not create anyobligation of any kind. It is to be distinctly understoodthat the permission given by the Stock Exchange(s) touse their network and software of the online systemshould not in any way be deemed or construed to meanthat the compliance with various statutory and otherrequirements by HDFC Mutual Fund / HDFC AMC or theDBs of the SCSBs are cleared or approved by the StockExchange(s) ; nor does it in any manner warrant, certifyor endorse the correctness or completeness ofcompliance with the statutory and other requirements;nor does it take any responsibility for the financial orother soundness of HDFC Mutual Fund / HDFC AMC,our management or any scheme of HDFC Mutual Fund.It is also to be distinctly understood that the approvalgiven by the Stock Exchange(s) should not in any waybe deemed or construed that the application has beencleared or approved by the Stock Exchange(s); nor doesit in any manner warrant, certify or endorse thecorrectness or completeness of any of the contents nordoes it warrant that our Units will be listed or willcontinue to be listed on the Stock Exchange(s). OnlyASBA applications that are uploaded on the system ofthe Stock Exchange(s) shall be considered for allocation/allotment. In case of discrepancy of data between theStock Exchange(s) and the DBs of the SCSBs, the decisionof the Registrar and Transfer Agent, in consultationwith HDFC Mutual Fund / HDFC AMC and theDesignated Stock Exchange, based on the physicalrecords of the ASBA Application Forms shall be finaland binding on all concerned.On the designated date, the SCSBs shall transfer theamounts from the ASBA Account, in terms of the SEBI(Issue of Capital and Disclosure Requirements)Regulations, 2009, into the Bank Account of the Scheme/ HDFC Mutual Fund.Upon Allotment of Units by the Designated StockExchange, the Registrar and Transfer Agent shall senda list of successful ASBA investors to the ControllingBranches of the SCSBs alongwith the appropriate requestfor unblocking the relevant bank accounts.In case of winding up of the Scheme, the Registrar andTransfer Agent shall notify the SCSBs to unblock theblocked amount of the Investors.No request for withdrawal of ASBA applicationform will be allowed after the closure of NewFund Offer Period.5. SCSB DETAILSInvestors shall correctly mention the bank accountnumber in the application and should ensure that fundsequal to the application amount towards theSubscription of Units are available in the ASBA Accountbefore submitting the application to the respective DBs.In case the amount available in the ASBA Accountspecified in the applications is insufficient, the SCSBshall reject the application. NRIs / FIIsRepatriation Basis In the case of NRIs, application towards Subscriptionof Units may be made out of funds held in his Non– Resident (External) Rupee Account (NRE) / ForeignCurrency (Non-Resident) Account (FCNR) maintainedwith the SCSB. FIIs shall pay their subscription out of funds held inForeign Currency Account or Non-Resident RupeeAccount maintained by the FII with a designatedbranch of an authorised SCSB.Non-repatriation Basis In the case of NRIs, payment may be made out offunds held in his NRE / FCNR / Non-Resident OrdinaryRupee Account (NRO) maintained with the SCSB.Not more than 5 applications from one single SCSBaccount can be made by the applicant.