COMMON TRANSACTION FORM

Mulla House, Ground Floor, M. G. Road, Fort, Mumbai - 400 001

1. ADVISOR DETAILS Refer Instruction 2.

ARN / RIA ^ Code Sub-Broker ARN Code Sub-Broker / Bank Branch Code EUIN Code

Internal Code OR Declaration for “execution-only” transaction – I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this is an “execution-only” transaction without any
interaction or advice by the employee/relationship manager/sales person of the above distributor or notwithstanding the advice of in-appropriateness, if any, provided by the employee/
relationship manager/sales person of the distributor and the distributor has not charged any advisory fees on this transaction. ^ By mentioning RIA code, I / we authorize you to share with
the SEBI Registered Investment Adviser (RIA) the details of my / our transactions in the schemes(s) of Tata Mutual Fund.
Sole / 1st Applicant Signature / 2nd Applicant Signature / 3rd Applicant Signature /
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2. INVESTOR DETAILS Folio No.
1st Holder Name PAN

C-KYC Date of Birth Mobile No. Mobile belongs to

D D / M M / Y Y Y Y Self Parent Sibling Custodian
Spouse Child Guardian PMS POA
Legal Entity Identifier (LEI) Number Date of expiry
D D / M M / Y Y Y Y

2nd Holder Name PAN

C-KYC Date of Birth Mobile No. Mobile belongs to

Self Parent Sibling Custodian
D D / M M / Y Y Y Y
Spouse Child Guardian PMS POA
3rd Holder Name PAN

C-KYC Date of Birth Mobile No. Mobile belongs to

Self Parent Sibling Custodian
D D / M M / Y Y Y Y
Spouse Child Guardian PMS POA
3. ADDITIONAL PURCHASE DETAILS Refer Instruction 3.
Payment Mode : OTM facility (Registered in folio) Cheque / DD Fund Transfer NEFT / RTGS
Scheme / Plan / Option

Gross Amount (A) DD Charges (if any) (B) Net Amount (A - B)

` ` `

Account Number Account Type Dated

D D / M M / Y Y Y Y
Drawn on Bank Cheque / DD / UTR No.

4. SWITCH OUT DETAILS Refer Instruction 4.

From Scheme / Plan / Option

To Scheme / Plan / Option

Amount Units
` OR OR All Units
(in figure) (in figure)

5. REDEMPTION DETAILS Refer Instruction 5.

From Scheme / Plan / Option

Amount Units
` OR OR All Units
(in figure) (in figure)

Redemption Bank Account Details for investors who have registered for Multiple Bank Accounts facility in the above folio (Please strike off
this section if not used). The redemption should be processed into the following bank account as per the payout mechanism indicated by me/us:
Bank Name Bank Account Number

IFSC for NEFT IFSC for RTGS MICR

Note: If the bank account mentioned above is different from those already registered in your folio OR If the bank account details are not filled above, the redemp-
tion will be processed into the “Default” bank account registered for the aforesaid folio.
6. DECLARATION AND SIGNATURES
I/We have read, understood and hereby agree to comply with the terms and conditions of the scheme related documents including the key information Memorandum and apply for allotment of Units of the Scheme(s) of Tata Mutual Fund
(“Fund”) indicated in this application form. I/We will indemnify the Fund, AMC, Trustee, RTA and other intermediates in case of any disputes regarding the eligibility, validity and authorization of my/our transactions. The ARN holder
(AMFI registered Distributor) has disclosed to me / us all the commissions (in the form of trail commission or any other mode), payable to him /them for the different competing Schemes of various Mutual Funds from amongst which the
Scheme is being recommended to me/us. I/We hereby confirm that I/We have not been offered /communicated any indicative portfolio and/ or any indicative yield by the Fund/AMC/its distributor for this investment. I/We hereby accord
my/our consent to TATA AMC for receiving the promotional information/ material via email, SMS, telemarketing calls, etc. on the mobile number and email provided by me/us in this Application form. Date _____________________.

1st Applicant Signature / 2nd Applicant Signature / 3rd Applicant Signature /

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Acknowledgement Slip
Folio No. ___________________________________ Purchase Redempttion Switch in Scheme _________________________________________________________________
For Amount of `______________________________ or Units ____________________________ (details overleaf)
INSTRUCTIONS FOR FILLING EXISTING INVESTOR APPLICATION FORM

1. The Statement of Additional Information (SAI), Scheme Information Document (SID) and Key 30 calendar days of the receipt of the application form from the investor/ distributor. In case, the
Information Memorandum (KIM) of the schemes are available on www.tatamutualfund.com. Investors correct code is not received within 30 calendar days, the TAMPL shall reprocess the transaction
having read and understood the terms of SAI, SID and KIM of the respective schemes must refer under Direct Plan from the date of application without any exit load.
SID/KIM for default values and minimum subscription / redemption values. xiv. In case of discrepancies in the amount received from the investor and the amount mentioned in
2. Advisor / Distributor Information the application form the units will be allotted for amount received in our bank account.
i. Investments through distributors: As per directions of Securities and Exchange Board of India (SEBI), xv. Units will be allotted subject to realization of payment proceeds.
Investors can route their application forms directly and /or through the distributors / employees of xvi. ADDITIONAL PURCHASE THROUGH OTM FACILITY: If you are making payment through OTM facility
the distributor who hold a valid certification from the National Institute of Securities Markets (NISM) registered in your folio, please tick the relevant box and do not attach any cheque. If more than
and ARN provided by Association of Mutual Funds in India (AMFI). Further, no agents / distributors one bank account is registered in your folio under OTM facility, please mention the bank account
are entitled to sell units of mutual funds unless the intermediary is registered with AMFI. number and bank name where you wish the debit to happen. If the same is not mentioned or is
ii. Employee Unique Identification Number (EUIN): Every employee/ relationship manager/ sales not registered, default bank mandate under OTM facility will be considered to debit the purchase
person of the distributor of mutual fund products to quote the EUIN obtained by him/her from amount.
AMFI in the Application Form. Investors are requested to verify the AMFI registration details from xvii. As per the RBI circular “Introduction of Legal Entity Identifier for Large Value Transactions in
their Distributor. However, in case of any exceptional cases, where there is no interaction by the Centralised Payment Systems” vide notification RBI/2020-21/82 DPSS.CO.OD No.901/06.24.001/2020-
employee/ sales person / relationship manager of the distributor/sub broker with respect to the 21 dated 5th January 2021. RBI vide this notification has decided to introduce the LEI system for all
transaction and EUIN box is left blank, you are required to provide the duly signed declaration to payment transactions of value INR 50 crore and above undertaken by entities (non-individuals) using
the effect as given in the form. Reserve Bank-run Centralised Payment Systems viz. Real Time Gross Settlement (RTGS) and National
iii. Transaction Charges: Electronic Funds Transfer (NEFT). From April 1, 2021, it will be mandatory to include 20-digit Legal
In accordance with SEBI circular No. Cir/ IMD/ DF/13/ 2011 dated August 22, 2011, Tata Asset Entity Identifier (LEI) information while initiating any transaction of value INR 50 crore and above
Management Pvt. Ltd./ Mutual Fund will deduct transaction Charges from the purchase/ subscription by entities (non-Individual).
amount received from the investors investing through a valid ARN Holder i.e. AMFI registered 4. Instructions for Switch
Distributor (provided the Distributor has opted to receive the transaction Charges). transaction i. Investors can switch-out amount /units, subject to meeting the minimum amount criterion of the
Charge of Rs. 100 per purchase / subscription of Rs. 10,000 and above are deductible (per Scheme switch-in schemes.
Plan - Option) from the purchase / subscription amount and payable to the Distributor. the balance ii. The condition for minimum amount in the switch-in schemes is not applicable for “ALL UNITS”
amount shall be invested. switch-out.
Transaction Charges shall not be deducted: iii. If amount to be switched is insufficient in the Switch-out scheme then the balance available free
a. where the Distributor of the investor has not opted to receive any Transaction Charges units in the scheme will be switched subject to the minimum application amount of the Switch-in
b. for purchases / subscriptions / total commitment amount in case of SIP of an amount less than Scheme(s).
Rs. 10,000/-; iv. Separate Switch-out request is required for Regular Plan and Direct Plan. Switch-out request is
c. for transactions other than purchases / subscriptions relating to new inflows i.e. through Switches required to clearly contain the name of the Plan / option failing which the below mentioned business
/ Systematic Transfers / IDCW Transfers/ IDCW Reinvestment, etc.; rule will apply:
d. for purchases / subscriptions made directly with the Fund (i.e. not through any Distributor); and a. If the folio has both the Plans / option and Both plans have unit balance under same option then
e. for purchases / subscriptions routed through Stock Exchange(s). switch-out will be processed in Regular Plan.
iv. Direct Investment: b. If the folio has both the Plans / option and One plan has NIL balance and other has unit balance
Investors subscribing under Direct Plan of the scheme will have to indicate “Direct Plan” in the under same option, switch-out will be processed from Plan / option which has unit balance
“Broker/ ARN –Code” field and against the scheme plan in the application form. Investors should c. If the Folio has only one Plan / option then switch-out will be processed from that Plan/option
also indicate “Direct” in the ARN column of the application form. However, in case Distributor code d. Folio has both the Plans and Both plans have unit balance under different options then the switch
is mentioned in the application form, but “Direct Plan” is indicated against the scheme name, the request will be rejected.
application will be processed under Direct Plan. Further, where application is received for Regular
Plan without Distributor code or “Direct” mentioned in the ARN Column, the application will be 5. Instruction for Redemption:
processed under Direct Plan. i. The Redemption form has to be filled with the scheme details within a folio. Investors need to
3. Investment Information specify the name of the scheme, plan, option and units/amount they wish to redeem. In case the
details are not mentioned, transactions are liable for rejection.
i. It is mandatory to provide the folio number.
ii. For redemption of All units, investors need to specify by selecting the “All Units” option. If the
ii. The Application form number / Folio number / PAN and Name of the Applicant should be written
redemption request specifies both i.e. unit and amount, the units mentioned shall be considered
by the Applicants on the reverse of the cheques and bank drafts accompanying the Application
for the transaction.
Form.
If there is no sufficient amounts/ units, the balance available free units in the respective account
iii. For investment a cheque/DD amounting to the value of investment must be drawn in favour of
will be redeemed.
“Name of the Scheme” dated, signed and crossed ‘A/c Payee only.’
iii. Redemption may not be processed if folio number and full scheme name including plan and option
iv. Bank charges for outstation demand drafts will be borne by the AMC and will be limited to the
is not mentioned. Investors need to ensure that either of amount or units is mentioned in the
bank charges stipulated by the State Bank of India. Outstation Demand Draft has been defined
redemption request.
as a demand draft issued by a bank where there is no Official Point of Acceptance available for
Investors. iv. Separate redemption request is required for Regular Plan and Direct Plan. Redemption request
is required to clearly contain the name of the Plan / Option failing which the below mentioned
The AMC will not accept any request for refund of demand draft charges
business rule will apply:
v. Cash, Stock invests, Outstation Cheques/DD, Post Dated Cheques, Money Orders and Postal Orders
a. If the folio has both the Plans / Option and Both plans have unit balance under same option then
will not be accepted and such applications will not be considered for allotment. All investment
redemption will be processed in Regular Plan.
cheques should be current dated.
b. If the folio has both the Plans / option and One plan has NIL balance and other has unit balance
vi. Cheques once returned in clearing will not be represented and the accompanying applications may
under same option, redemption will be processed from Plan / option which has unit balance
not be considered for allotment.
c. If the Folio has only one Plan / option then redemption will be processed from that Plan/option
vii. Third Party payments: TAMPL / TMF will not accept applications for subscriptions of units
accompanied with Third Party Payments except in exceptional cases as mentioned below. “Third d. Folio has both the Plans and Both plans have unit balance under different options then the
Party Payment” means redemption request will be rejected.
a. Payment made through an instrument issued from a bank account other than that of the first v. TMF offers a facility to register multiple bank accounts and designate one of the bank account
named applicant / investor mentioned in the application form. as “Default Bank Account”. Default Bank Account will be used for all redemptions payouts unless
investor specifies one of the existing registered bank account in the redemption request for receiving
b. In case of payment instruments issued from a joint bank account, the first named applicant/ investor
redemption proceeds.
must be one of the joint holders of the bank account from which the payment instrument is issued.
vi. Proceeds of any redemption request will be sent only to a bank account that is already registered
c. Following are the exceptional cases where third party payments will be accepted subject to
and validated in the folio at the time of redemption transaction processing. Investors may choose
submission of requisite documentation / declarations.
to mention any of the existing registered bank accounts with redemption request for receiving
1. Payment by employer on behalf of employee under Systematic Investment Plan (SIP) facility through redemption proceeds. If registered bank account is not mentioned, default bank account will be
payroll deductions; used. If a new and unregistered bank mandate is provided with a specific redemption request (with
2. Custodian on behalf of an FII or a Client. or without necessary supporting documents) such bank account will not be considered for payment
viii. Investors are required to indicate their choice of Plan, Option for which subscription is made at of redemption proceeds. Tata Asset Management Pvt. Ltd. OR Tata Mutual Fund will not be liable
the time of filling up the Application Form. for any loss arising to the investors due to the credit of redemption proceeds into any of the bank
ix. Investors subscribing under Direct Plan of a Scheme/Plan will have to indicate “Direct Plan” in the accounts registered with us for the aforesaid folio
application form by ticking the appropriate box. vii. Redemption requests should not be accompanied with requests for Change of Bank Account Details.
x. Direct Plan is only for investors who purchase /subscribe Units in a Scheme directly with the Fund If the Change of Bank Account Detail request is received along with Redemption requests only the
& is not available for investors who route their investments through a Distributor. Direct Plan shall redemption request will be processed and the redemption proceeds will be credited to the last
have a lower expense ratio excluding distribution expenses, commission, etc & no commission for registered bank mandate & the request for Change of bank mandate will be rejected. New bank
distribution of Units will be paid / charged under Direct Plan. accounts can only be registered using the designated “Bank Account Registration Form/Multiple Bank
xi. Default under Direct / Regular Plan: Account Registration Form”. In case the investor needs to add/alter the existing bank mandate he
should carry out the same 10 business days prior to date of redemption.
Sn. Broker Code mentioned by Plan mentioned by Default Plan to be viii. Investors holding units in the Depository Account, need to submit the redemption request to
the Investor the investor captured Depository Participant/ Broker.
1 Not mentioned Not mentioned Direct Plan ix. REGISTRAR:
2 Not mentioned Direct Plan Direct Plan Computer Age Management Services Ltd.: New No. 10 (Old No. 178), M. G. R. Salai, Nungambakkam,
3 Not mentioned Regular Plan Direct Plan Chennai - 600 034. E-mail: [email protected]
4 Mentioned Direct Plan Direct Plan x. IMP NOTE: In case there is any change in your KYC information please update the same by using
5 Direct Plan Not mentioned Direct Plan the prescribed ‘KYC Change Request form’ and submit the same at the Point of Service of any KYC
Registration Agency.
6 Direct Plan Regular Plan Direct Plan
6. Applications incomplete in any respect are liable to be rejected. Tata Asset Management Pvt. Ltd.
7 Mentioned Regular Plan Regular Plan (the AMC) / Tata Trustee Company Pvt. Ltd. (Trustee) have absolute discretion to reject any such
8 Mentioned Not mentioned Regular Plan Application Forms.
xii. For default options refer SID 7. In case there is any change in your KYC information, please update the same by using the prescribed
xiii. In cases of wrong/ invalid/ incomplete ARN codes mentioned on the application form, the application ‘KYC Change Request Form’ and submit the same at the Point of Service of any KYC Registration
shall be processed under Regular Plan. TAMPL shall contact and obtain the correct ARN code within Agency.

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Acknowledgement Slip
Cheque Details
Cheque No.__________________________ Dated ___________________________ A/c. No. _______________________________ Bank_______________________________________________________________
Call (022) 6282 7777 (Monday to Saturday 9:00 am to 5:30 pm) Subject to realisation.