Annexures for accounts opened on Behalf of a - JP Morgan Asset ...

Annexure IService Request Form by MajorDate:ToDISPL/AMCMumbaiDear Sirs,Sub: Change of minority status of Unit holderRef: ___________________________________________________ Scheme, Folio____________________________________________I, (#) __________________________________________________________________________________________________________, refer to __________________________________________________________________ Scheme,Folio no. ____________________________________________________ held in my name under the Guardianship of (*) _____________________________________________________________________As I have attained / will attain majority (i.e. 18 years) on _______________________________________________________________, I there<strong>for</strong>e request you to transfer theUnits in my name and ensure that all future correspondence, dividends etc. are in my name.Please find enclosed the necessary <strong>for</strong>ms and documents dully filled in and signed.Thank you.Yours sincerely,Name & Signature of UnitholderEncl :Signature attestation of the majorNew Bank Mandate DetailsKYC acknowledgement letterNomination Form(#) = Name of the major(*) = Name of the guardian

Annexure IINew Bank Mandate Details with Attestation from Bank Branch Manager or with This is to certify thatTo whomsoever it may concernMr. / Ms. (#)S/o or D/o:residing atis holding the following account in our bank and branchBank NameBranch NameBank A/c. No.A/c Type (Please ) Savings Current NRE NRO FCNR Others ___________________________________________MICR Code (09 digit)IFSC Code (11 digit)Signature of the above A/c holder asper Bank’s recordsSignature of the Bank Manager:Bank & Branch SealWith employee name and numberDate:Place:(#) = Name of the claimant

On Rs. 20/- stamp paperAnnexure III(To be given by the Nominee/s)Indemnity bond with respect to transfer of the mutual fundunits held by the deceased Holder with production of legal representation.(in case of transmission of mutual fund units held by a single holder / on death of all unit holdersin case of joint Holding and where there is nominee registration)I/We do hereby Solemnly affirm and sincerely state on oath as follows,I/We in<strong>for</strong>m you that “Mr. / Ms. (*) _______________________________________________________________________________________________” passed away on____________________________ andhe/she was holding the following Mutual Fund Units:S.No. Name of Mutual Fund Scheme Name Folio No. No. of Units HoldI /We further in<strong>for</strong>m you that he/she has nominated me/us as the nominee of the mutual fund units standing in his/ her name.I/We have, there<strong>for</strong>e, approached you with a request to transfer the a<strong>for</strong>esaid Mutual fund units in the name of the undersigns“Mr. / Ms. (#) _________________________________________________________________________________________________________________________________________________________________________________________”without insisting of production of a succession certificate or an order of the court of competent jurisdiction <strong>for</strong> which I /We execute anindemnity as is herein contained and on relying on the in<strong>for</strong>mation herein given by us believing the same to be true. In considerationthere<strong>for</strong>e of my / our request to transfer above said Mutual Fund units to my/our name/s, I/We agree to receive the said units only as anagent and trustee <strong>for</strong> the legal heirs or legatees of the said unit holder/s. I/We hereby further agree and undertake to indemnify and keepindemnified, saved, defended, harmless you and your successors and assigns <strong>for</strong> all time hereafter against all losses, costs, claims,actions, demands, risks, charges, expenses, damages, etc., whatsoever which you may suffer and/or incur by reason of your, at myrequest, transferring the said mutual fund units as herein above mentioned, to my / our name/s without insisting on production of asuccession certificate or an order of the court of competent jurisdiction.IN WITNESS WHEREOF THE said “Mr. / Ms. (#) ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________” has/have here unto set theirrespective hands and seals this ____________________________________________________________________________________ day of ________________________________________________________________.Signed and delivered by the said applicant/s123Name & Address of Nominee(s)Signature of the Nominee(s)Date: _________________________________________________________Place: ________________________________________________________(*) =Name of the deceased unit holder/s(#) =Name/s of the claimant/sSignature of Notary [with Name and Seal]

On Rs. 20/- stamp paperAnnexure IV(To be signed jointly by all the Legal Heirs)Indemnity bond with respect to transfer of the mutual fund unitsHeld by the deceased holder with out production of legal representation.(In case of Transmission of Mutual Fund Units held by a Single Holder/ on death of all unit holders incase of Joint Holding and where there is no nominee registration).I/We do hereby Solemnly affirm and sincerely state on oath as follows,I/We in<strong>for</strong>m you that “Mr. / Ms. (*) _______________________________________________________________________________________________” passed away on____________________________ andhe/she was holding the following Mutual Fund Units:S.No. Name of Mutual Fund Scheme Name Folio No. No. of Units HoldThe said unit holder died intestate or without registering any nominee/s in folio/s on the ____________________________________ day of ____________________-_____.We further in<strong>for</strong>m you that he / she left behind him/her only surviving heirs and next of kin, the following persons according to the Law ofIntestate Succession application to him/her by which he/she governed at the time of his/her death.______________________________________________________________________________________________________________________________________________________________________________We have, there<strong>for</strong>e, approached you with a request to transfer the a<strong>for</strong>esaid Mutual Fund units in the name of the undersigns“Mr. / Ms. (#) ___________________________________________________________________________________________________________” on my/our behalf without insisting of production ofa succession certificate or an order of the court of competent jurisdiction <strong>for</strong> which we or any one on our behalf execute an indemnity asis herein contained and on relying on the in<strong>for</strong>mation herein given by us believing the same to be true. In consideration there<strong>for</strong>e ofmy/our request to transfer above said Mutual Fund units to the name of the undersigned “Mr. / Ms. (#) ____________________________________________________________________________________________________________________________________________________________”.I / we hereby jointly and severely agree and undertake to indemnify and keep indemnified, saved, defended, harmless you and yoursuccessors and assigns <strong>for</strong> all time hereafter against all losses, costs, claims, actions, demands, risks, charges, expenses, damages, etc.,whatsoever which you may suffer and/or incur by reason of your, at my/our request, transferring the said Mutual Fund units as hereinabove mentioned, to the undersigned “Mr. / Ms. (#) ______________________________________________________________________________________________________________________________”without insisting on production of a succession certificate or letter of administration or an order of the court of competent jurisdiction.IN WITNESS WHEREOF THE said “Mr. / Ms. (#) ____________________________________________________________________________________________________________” have here unto settheir respective hands and seals this __________________________________ day of ____________________________.Signed and delivered by the said legal heir(s).1. ___________________________________________________________________________ ___________________________________________________________________________2. ___________________________________________________________________________ ___________________________________________________________________________3. ___________________________________________________________________________ ___________________________________________________________________________Name & Address of the Legal Heir/sSignature of the Legal Heir/s1. ___________________________________________________________________________ ___________________________________________________________________________2. ___________________________________________________________________________ ___________________________________________________________________________Suretie/s Name and Address [Mandatory]Suretie/s Signature___________________________________________________________________________Signature of the Notary with Name & Seal(*) = Name of the deceased unit holder (#) = Name of the claimant

On Rs. 20/- stamp paperAnnexure VIndividual Affidavits by the Legal Heirs(In case of Transmission of Mutual Fund Units held by a Single Holder / on death of all unit holders incase of Joint Holding and where there is no nominee registration)I (*)_____________________________________________________________________________________________________________” son / daughter / spouse of __________________________________________________________________________________________________________________________________________________________ residing at _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________do hereby solemnly affirm and sincerely state on oath as follows.That Mr. / Mrs. . (#) ____________________________________________________________________________________________________________________” the deceased was holding the followingmutual fund units in his /her name as single holder/joint holders:S.No. Name of Mutual Fund Scheme Name Folio No. No. of Units HoldThat the deceased had died intestate on ______________________________________ <strong>for</strong> which we are attaching a Death Certificate.The following are the only legal heir(s) of late Mr. / Mrs. . (#) ______________________________________________________________________” <strong>for</strong> which we are attaching aLegal Heirship Certificate/ Succession Certificate.S.No. Name of Legal Heirs Address Age123Relationship withthe deceasedThat out of a<strong>for</strong>esaid legal heirs Master / Kumari. _______________________________________________________________________________________________ Aged _____________ years is aminor and he / she is being represented by Mr. / Ms. ($)________________________________________________________________________________________________________” who is noneother than his / her father / mother as natural guardian.We also confirm that there is no other legal heir as stated above to the deceased,(#)_______________________________________________________________________________”We also indemnify the concerned mutual fund and its authorized Registrar and Transfer Agent in a separate indemnity letter with a thirdparty sureties.DEPONENT SIGNATURE: ___________________________________________________VERIFICATIONWe hereby solemnly affirm and state on oath that what is stated herein above is true and correct Original Death Certificate or originalattested copy of the death certificate. and nothing has been concealed therein and that we are competent to contract and entitled torights and benefits of the above mentioned mutual fund units of the deceased.Solemnly affirmed at Signed be<strong>for</strong>e me at ________________________________ on _____________________________Note: 1. Each deponent shall sign separate affidavits.(*) = Name of the deceased unit holder (#) = Name of the legal heir ($) = Name of the guardianSignature of Notary with Official Seal of Notary

On Rs. 20/- stamp paperAnnexure VI(To be signed jointly by all the coparceners and the new Karta)Indemnity bond with respect to change of karta / to transfer of themutual fund units held by the deceased karta with productionof death certificate of kartaI/We do hereby solemnly affirm and sincerely state on oath as follows:I/We in<strong>for</strong>m you that “Mr. / Ms. (*) _____________________________________________________________________________________________” passed away on ___________________________ andhe was the Karta of the HUF and holding the following Mutual Fund Units:S.No. Name of Mutual Fund Scheme Name Folio No. No. of Units HoldI /We in<strong>for</strong>m you that the following are the only living members of the ______________________________________________________________________________________________________(Name of the HUF) and that there are no other members / coparceners <strong>for</strong> the said HUF:S.No. Name Age D.O.B.12I /We further in<strong>for</strong>m you that Mr. “Mr. / Ms. (#) _____________________________________________________________________________________________________________________”is the seniormost coparcener of the HUF/ is the new Karta duly appointed by all the members.I/We have, there<strong>for</strong>e, approached you with a request to replace the name of the deceased Karta with the name of the new Karta Mr. “Mr. /Ms. (#) _______________________________________________________________________________________________________________________________________” <strong>for</strong> which I /We execute an indemnityas is herein contained and on relying on the in<strong>for</strong>mation herein given by us believing the same to be true.In consideration thereof my / our request to replace the name of the Karta in the above said Mutual Fund units in the place of deceasedKarta I/We hereby agree and undertake to indemnify and keep indemnified, saved, defended, harmless you and your successors andassigns <strong>for</strong> all time hereafter against all losses, costs, claims, actions, demands, risks, charges, expenses, damages, etc., whatsoeverwhich you may suffer and/or incur by reason of your, at my/ our request.IN WITNESS WHEREOF THE said “Mr. / Ms. ($) ____________________________________________________________________________________________________________”has here unto settheir respective hands and seals this ___________________________________________ day of ____________________________________________.Signed and delivered by the said applicant. (Name of the Karta)1. _________________________________________________________________________________ _________________________________________________________________________________Name & Address of members of the HUFSignature of the members of the HUF1. _________________________________________________________________________________ _________________________________________________________________________________2. _________________________________________________________________________________ _________________________________________________________________________________Sureties Name and Address [Mandatory]Date: __________________________________Place: ________________ ________________Sureties Signature_________________________________________________________________________________Signature of notary [With name and seal](*) = Name of the deceased Karta [Unit Holder] (#) = Name of the new Karta($) = Name of the members of HUF Add additional lines wherever applicable

Annexure VIITransmission Documents Matrix – Ready ReckonerS.No.Documents Required <strong>for</strong>TransmissionTransmissionto SurvivingJoint HoldersDemise ofSole/All unitholders &Nominee/sregistered.Demise ofSole/All unitholders &Nominee/s notregistered.Demise ofKarta of anHUFBasic Documents1234Letter from the Nominee/s or the Claimant/s or newKarta addressed to the AMC/Fund/Registrar.Death Certificate of deceased Unit Holder/s / Karta inoriginal or Photocopy duly notarized.KYC of Nominee/s or Claimant/s or Surviving Unitholders or HUF & New Karta,ORKYC of the Guardian (in case of nominee / claimantbeing a minor / of unsound mind).New Bank Mandate details - duly attested by BankManager - (Annexure I) or Cheque copy with accountnumber and holders’ name printed on the cheque.Legal Documents(Indemnity Bonds to be on minimum Rs 20/- stamp paper and duly notarized. KYC acknowledgement address should match with theaddress mentioned in the Indemnity Bond.)12A2B2C3A3BIndemnity bond signed by Nominee/s (Annexure II) ifthe transmission amount exceeds 100,000Indemnity bond signed by all legal heir/s confirmingthe claimant/s (Annexure III)Individual Affidavit by the Legal Heir/s (Annexure IV)Transmission value Less than Rs. 1,00,000:Document evidencing relationship of the claimant/swith the deceased unitholder/s.Transmission value Rs. 1,00,000/- or more:Notarised copy of the Probated Will OR Legal Heir /Succession / Claimant certificate by a competent courtOR Letter of Administration, in case of InestateSuccession.Indemnity Bond signed by all the coparcenersappointing the new karta (Annexure V)Notarized copy of Settlement Deed OR Deed ofPartition OR Decree of the relevant competent Court:(In case of no surviving co-parceners and thetransmission value Rs. 1,00,000/- or more, OR wherethere is an objection from any surviving members ofthe HUF)