TATA MUTUAL FUND

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

001
1. ADVISOR Refer Instruction 2.
DETAILS
COMMON TRANSACTION FORM
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
/ Thumb Impression / Thumb Impression / Thumb Impression
2. INVESTOR DETAILS Folio No.
1st Holder Name PAN

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

D D / M M / Y Y Y Y
Spouse Child
2nd Holder Name PAN

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

D D / M M / Y Y Y Y
Spouse Child
3rd Holder Name PAN

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

D D / M M / Y Y Y Y Spouse Child

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 (in figure)
figure)
5. REDEMPTION DETAILS Refer Instruction 5.
From Scheme / Plan / Option

Amount Units
` OR OR All Units
(in (in figure)
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 inermediates 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, the holder of the above stated Aadhaar number, hereby give my consent to Tata Mutual Fund(TMF), to obtain my Aadhaar
number, Name and Fingerprint/Iris for authentication with UIDAI, use my mobile number mentioned in my account for sending SMS alerts to me. I/We hereby provide my consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i)
collecting, storing and usage (ii) validating/authenticating and (ii) updating my/ our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA. I/We hereby provide my/our consent for sharing/disclose of the Aadhaar
number(s) including demographic information with the asset management companies of SEBI
registered mutual fund and their Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios with my PAN. Date .

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

Thumb Impression Thumb Impression Thumb Impression


Acknowledgement Slip
Folio No. Purchase Redempttion Switch in Scheme

For Amount of ` or Units (details

overleaf)
 INSTRUCTIONS FOR FILLING UP
THE EXISTING INVESTOR APPLICATION FORM

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

the Investor by the that his identity information would only be used for demographic authentication / validation /
investor eKYC purpose and also that his biometrics will not be stored / shared and will be submitted to
1 Not mentioned Not mentioned DirectPlan CIDR only for the purpose of authentication.
2 Not mentioned Direct Plan DirectPlan 7. Applications incomplete in any respect are liable to be rejected. Tata Asset Management Limited
3 Not mentioned Regular Plan DirectPlan (the AMC) / Tata Trustee Company Limited (Trustee) have absolute discretion to reject any such
4 Mentioned Direct Plan DirectPlan Application Forms.
5 Direct Plan Not mentioned DirectPlan 8. In case there is any change in your KYC information, please update the same by using the
6 Direct Plan Regular Plan DirectPlan prescribed ‘KYC Change Request Form’ and submit the same at the Point of Service of any
KYC Registration Agency.
7 Mentioned Regular Plan Regular Plan
8 Mentioned Not mentioned Regular Plan

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