Non Commercial Transaction Form

*To be filled in capital letters.

*Please strike off the irrelevant fields in the form wherever details are not updated

Folios /Account Numbers (Investor can opt for multiple requests in one single application form.)

1. Date of Birth (Write name in capital letters) *Please refer the instructions no. 16.
Name of First / Sole applicant

Date
(supporting document such as PAN, birth certificate, passport copy or any other govt issued documents)
of Birth

2. Consolidation Of Folios:
Target
Folio
Source Folios

1 2

3 4

5 Note: The consolidation of folios will be affected only

if all the details are identical in target and source folios.

3. Update/Change of Contact Details *Please refer the instructions no. 14.

Mobile Tel. No.
(For Receiving Transaction Alerts via SMS) Office Residence
No. STD Code

Non Commercial Transaction Form / 01st Nov 2023/ Ver 3.6

Mobile No. provided pertains to
First Holder

Self Spouse Dependent children Dependent Sibling Dependent Parents A Guardian in case of a minor POA Custodian PMS

Email ID (CAPITAL letters only) (For Receiving Transaction Alerts Via Email)

Email ID provided pertains to

Self Spouse Dependent children Dependent Sibling Dependent Parents A Guardian in case of a minor POA Custodian PMS

Mobile No. provided pertains to

(For Receiving Transaction Alerts via SMS)
Second Holder

Mobile No. Self Spouse Dependent children Dependent Sibling Dependent Parents

A Guardian in case of a minor POA Custodian PMS

Email ID (CAPITAL letters only) Email ID provided pertains to
Self Spouse Dependent children Dependent Sibling Dependent Parents
(For Receiving Transaction Alerts Via Email)
A Guardian in case of a minor POA Custodian PMS
Mobile No. provided pertains to
Mobile No. (For Receiving Transaction Alerts via SMS) Self Spouse Dependent children Dependent Sibling Dependent Parents
Third Holder

A Guardian in case of a minor POA Custodian PMS

Email ID (CAPITAL letters only) Email ID provided pertains to
Self Spouse Dependent children Dependent Sibling Dependent Parents
(For Receiving Transaction Alerts Via Email)
A Guardian in case of a minor POA Custodian PMS

4. Change of Mode Of Operation (Applicable only if there are more than one applicant in the Folio)

Joint Any One or Survivor(s)

5. Power of Attorney (POA) Registration Cancellation *Please refer the instructions for the documents to be submitted.

Name of POA Holder: PAN No. of POA

6. Change of Income Distribution cum capital withdrawal Option

Scheme Option Payout to Reinvestment Reinvestment to Payout

7. Release Unclaimed Amount

I would request you to kindly release the unclaimed amount in the folio to the registered bank account.

Acknowledgment Slip
(To be filled by the Investor)

Received from Mr./Mrs. _____________________________________________ Folio/Account No:

Date of Birth Consolidation Of Folios Update/Change of Contact Details Change of Mode Of Operation

Power of Attorney (POA) Change of Income Distribution cum capital withdrawal Option Release Unclaimed Amount KYC Updation

Revalidation of IDCW/ Redemption cheque Updation/Correction of PAN Nominee Updation FATCA Updation
 8 KYC Updation (Please Tick) *Please refer the instructions no. 12 for the documents to be submitted.

First / Sole applicant Guardian (In case of Minor) Second Applicant Third Applicant

9. Revalidation of Income Distribution cum capital withdrawal(IDCW)/ Redemption cheque *Please refer the instructions no. 15
I/We are in receipt of Redemption/ Income Distribution cum capital withdrawal(IDCW) warrant as below.

Cheque Cheque Cheque

No. : Date:
D D M M Y Y Y Y Amount:
I/ We are herewith enclosing the warrant as I/ We could not deposit the same due to the below reason:
1. Bank details incorrectly mentioned 2. Warrant validity period has expired
I request to reissue the said warrant after necessary revalidation without change in bank Mandate.

10. Updation/Correction of PAN *Please refer the instructions for the documents to be submitted.

First / Sole applicant PAN No. PAN Proof Enclosed

Guardian (In case of Minor) PAN No. PAN Proof Enclosed

Second Applicant PAN No. PAN Proof Enclosed

Third Applicant PAN No. PAN Proof Enclosed

11. Nominee Updation (Write in capital letters)

PAN of Allocation Date Nominee Guardian Name Guardian Sign of Nominee /
Nominee Name Nominee / (%) of Birth Relation With (in case Relation Guardian
& Address Guardian of Nominee Investor Nominee is Minor) with Nominee (in case Nominee
(Optional)

Non Commercial Transaction Form / 01st Nov 2023/ Ver 3.6

is Minor)
DD MM YYYY

DD MM YYYY

DD MM YYYY

FOR NOMINATION OPT-OUT: I/We DO NOT wish to make a nomination. (Please tick (ü) if the unit holder does not wish to nominate anyone)

I / We, the undersigned applicant(s)/unitholder(s) hereby confirm that I / we do not wish to appoint any nominee(s) in respect of the mutual fund application(s) /
units held in my / our mutual fund folio(s) and understand the implications / issues involved in non-appointment of any nominee(s) and am/ are further aware that
in case of my demise / death of all the unit holders in the folio, my / our legal heir(s) would need to submit all the requisite documents issued by the Court or such other
competent authority, as may be required by the Mutual Fund / AMC for settlement of death claim / transmission of units in favour of the legal heir(s), based on the
value of the units held in the mutual fund folio/s.

12. FATCA Updation

Country of Birth ________________________ Place of Birth ________________Nationality _________________
Are you a tax resident of any country other than India? Yes No
If Yes, please mention all the countries in which you are resident for tax purposes and the associated Taxpayer Identification Number and its
identification type in the column below

Country Tax-Payer Identification Number Identification Type

13. Signature/s

SIGN First / Sole Applicant / Guardian/ Second Applicant/ Third Applicant/

HERE Authorised Signatory Authorised Signatory Authorised Signatory

Note: All Unit holder’s signature is mandatory irrespective of mode of holding (Applicable for nominee updation).

Acknowledgment Slip
(To be filled by the Investor)

Registered Office Address: 4th Floor, Tower A, Peninsula Business Park, Ganapatrao Kadam Marg, Lower Parel (W), Mumbai - 400 013.

Customer Care: 1860 266 0111 (Call charges apply) | https://mf.nipponindiaim.com

 INSTRUCTIONS
1. This form should be used to update the below mentioned Non Commercial requests compliance procedure.
a) Date of Birth (ii) Requirement for the new investors in mutual funds (From January 1, 2012) : With
b) Consolidation Of Folios effect from January 01, 2012, all investors other than KYC compliant investors as
defined above are required to follow the new KYC compliance procedure as
c) Update/Change of Contact Details
mentioned below while making any investing with the Fund:
d) Change of Mode Of Operation
• Provide the complete details in the KYC application form along with the required
e) Power of Attorney (POA) documents (for individual investors or nonindividual investors as appropriate). The
f) Change of Income Distribution cum capital withdrawal Option said form is available on NIMF’s website i.e. https://mf.nipponindiaim.com or on the
website of Association of Mutual Funds In India i.e. www.amfiindia.com or on the
g) Release Unclaimed Amount
website of any authorised KRA’s.
h) KYC Updation
• KYC application and necessary document should either come along with financial
I) Revalidation of IDCW/ Redemption cheque transaction or when the client chooses to trade / invest / deal through the
j) Updation/Correction of PAN Intermediary and an account is opened in the schemes of NIMF, the investor is
k) Nominee Updation required to submit, in person, the completed KYC application form along with all the
necessary documents as mentioned in the KYC application form in any of the
l) FATCA Updation
offices of the distributors (details provided in the following note) or Registrar and
2. In case there is more than one holder in the folio then the form needs to be signed as per Transfer Agent of the NIMF / NAM i.e. KFin Technologies Limited (Formerly KFin
the mode of holding. Technologies Private Limited) and the NIMF;
• In line with SEBI circular MIRSD/Cir-26/2011 dated December 23, 2011, it is mandatory
3. In case of Change of Mode of Operation/Nominee Updation / Nominee OPT OUT all the
for SEBI registered intermediaries to carry out “In-Person Verification” (“IPV”) of any
unit holders need to mandatorily sign on the NCT form in order to have consent of all the
investor dealing with a SEBI registered intermediary for investments in a mutual f u n d ,
unit holders.
the Asset Management Companies, Registrar & Transfer Agent and
4. In case of Updation of PAN self attested copy of the PAN Card needs to be submitted. distributors who comply with the certification process of National Institute of
5. In case of Updation of KYC copy of the KYC acknowledgment issued by CVL / KRA needs Securities Market (NISM) or Association of Mutual Funds in India (AMFI) and have
to be submitted. undergone the process of “Know Your Distributor (KYD)” are authorised to carry out
6. Documents to be submitted for the registration of Power of Attorney the IPV. However, in case of applications received by the mutual funds directly from
the clients (i.e. not through any distributor), they may also rely upon the IPV
a) Copy of Power of Attorney on Rs. 100/- stamp paper, duly signed by all the
performed by the scheduled commercial banks. Unless the IPV process is
unitholder(s) and the Power of Attorney Holder, and Original attestation by Notary
completed, the intermediary will not be able to process the KYC and obtain a
public \ Gazetted officer.
temporary acknowledgment for submission of all the documents. Hence the
b) In case of the POA holder being a company, the POA holder to provide the list of its investor will not be considered as KYC compliant under the new KYC compliance
Authorized signatories, with their signatures duly attested by the POA holder procedure and hence will not be permitted to make any investment in the Fund;
company.
• Once all the documents are verified by a KRA, they will send the investor a letter
c) Pan and KYC of the POA holder within 10 working days from the date of receipt of necessary documents by them f r o m
7. If the investor has an existing POA registered in the folio and wishes to change the same the Fund or its Registrar and Transfer Agent informing the investor either about
then he has to fill in the details under both Cancellation & Registration of POA. compliance by the investor of the new KYC compliance procedure (“final

Non Commercial Transaction Form / 01st Nov 2023/ Ver 3.6

acknowledgment”) or any deficiency in submission of details or documents.
8. In case the investor wishes to change the Income Distribution cum capital withdrawal
Option for multiple schemes in the folio then seperate NCT forms need to be filled for • On the basis of the temporary acknowledgement or the final acknowledgement the
each scheme. investor would be eligible to deal with any of the SEBI intermediaries as mentioned
in the above mentioned SEBI circulars.
9. Communications to the investor
• KRA will send confirmation to investors within 10 days of document receipt form
If the investor(s) has /have provided his/their email address in the application form or
Intermediary All investors (individual and non- individual) are required for KYC
any subsequent communication in any of the folio belonging to the investor(s), NIMF
compliance. However, applicants should note that minors cannot apply for KYC
/AMC reserves the right to use Electronic Mail (email) as the default mode to send
compliance and any investment in the name of minors should be through a
various communication which includes account statements for transactions done by
Guardian, who should be KYC compliant for the purpose of investing with a Mutual
the investor(s).
Fund. Also applicants/ unit holders intending, to apply for units currently holding u n i t s
The investor(s) may request for a physical account statement by writing or calling and operating their Mutual Fund folios through a Power of Attorney (PoA) must
NIMF’s Investor Service center/Registrar & Transfer Agent. In case of specific request ensure that the issue of PoA and the holder of the PoA must mention their KYC
received from the investor(s), NIMF shall endeavor to provide the account statement to compliance status at the time of investment. PoA holders are not permitted to apply
the investor(s) within 5 working days from the receipt of such request. NIMF shall for KYC compliance on behalf of the issuer of the PoA, Separate procedures are
comply with SEBI Circular No IMD/CIR/12/80083/2006 dated November 20,2006 with prescribed for change in name, address, and other KYC related details, should the
respect to dispatch of Account Statement. applicant desire to change such information, POS will extend the services of
10 Investors may submit the duly completed application forms along with the requisite effecting such changes.
documents at any of the Designated Investor Service Centres. The addresses of the 13. Consolidation of Folios
Designated Investor Service Centres are available on the website
1. Folios can be consolidated only if names of the all unit holders (and the pattern of
https://mf.nipponindiaim.com
holding), tax status, nomination and mode of operation (single/ joint/ either or
11. Permanent Account Number (PAN) survivor) are same in all source folios
SEBI has made it mandatory for all applicants (in the case of application in joint names, 2. All joint holders must sign on consolidation requests irrespective of the mode of
each of the applicants) to mention his/her permanent account number (PAN) operation (single/ joint/ either or survivor) in the source folios.
irrespective of the amount of purchase. *Where the applicant is a minor, and does not
3. Folios once consolidated cannot be separated.
possess his / her own PAN, he / she shall quote the PAN of his/ her father or mother or the
guardian, signing on behalf of the minor, as the case may be. In order to verify that the 4. Consolidation is effected at the folio level and not at the scheme level.
PAN of the applicants (in case of application in joint names, each of the applicants) has 14. Contact Details:
been duly and correctly quoted therein, the applicants shall attach along with the
Applicants should provide contact information such as email address, mobile number
purchase application, a photocopy of the PAN card duly self-certified along with the
and other telephone numbers. The fund sends transaction information and alerts via
original PAN Card. The original PAN Card will be returned immediately across the
email and SMS, which will assist them keep track of the activities in the folio. The
counter after verification *includes fresh/ additional purchase, Systematic Investment.
investors should provide primary account holder.s own email ID and mobile number
Micro SIP & Investors residing in the state of Sikkim are exempt from the mandatory
while providing the contact details.
requirement of PAN proof submission however they are required to mandatorily
submit KYC Acknowledgment copy to Nippon India Mutual Fund. Applications not 15. Revalidation Of Idcw/ Redemption Cheque - Mandatory Enclosure/s
complying with the above requirement may not be accepted/ processed. Additionally, Please submit any one of the following Documents in case of change in bank details
in the event of any Application Form being subsequently rejected for mismatch / non- • A cancelled original cheque leaf/ Self attested copy of cancelled cheque
verification of applicant’s PAN details with the details on the website of the Income Tax
• Bank statement or Latest Passbook (Having entries not more than 3 months old)
Department, the investment transaction will be cancelled and the amount may be
redeemed at the applicable NAV, subject to payment of exit load, if any. • Bank Letter
Please contact any of the Investor Service Centres/ KFinTech/ Distributors or visit our 1. If a cheque is being submitted, account number and name of the first unit holder
website https://mf.nipponindiaim.com for further details. should be printed on the face of the cheque
12. Prevention of Money Laundering and Know Your Client (KYC) 2. The document being submitted should clearly evidence the bank name, account
number and name of all account holders.
In order to reduce hardship and help investors dealing with SEBI intermediaries, SEBI
issued three circulars - MIRSD/SE/Cir-21/2011 dated October 05, 2011, MIRSD/Cir-23/2011 3. In the event of a request for change in bank account mandate being invalid/
dated December 02, 2011 and MIRSD/Cir-26/2011 dated December 23, 2011 informing incomplete/ not satisfaction in any respect/ or not meeting any requirements to
SEBI registered intermediaries as mentioned therein to follow, with effect from January the satisfaction of the AMC/ Mutual Fund, the request for such change may not be
01, 2012, a uniform KYC compliance procedure for all the investors dealing with them on processed. Redemptions/ IDCW payments, if any, will be processed and paid to the
or after that date. SEBI also issued KYC Registration Agency ( “KRA”) Regulations 2011 last registered bank account information.
and the guidelines in pursuance of the said Regulations and for In-Person Verification 4. AMC/ Mutual Fund will not be liable in case the redemption/ IDCW proceeds are
(“IPV”). credited to existing bank mandate account upon rejection of change of bank
(i) Requirement for the existing investors in mutual funds (upto December 31, 2011): For mandate request.
the existing investors in mutual funds who have already complied with the KYC 16. Birth Date: Date of Birth of the minor is mandatory while opening the account /folio. In
requirement (defined for the purpose of this addendum as KYC compliant) and h a v e case the investment is done on behalf of the minor the relationship/status of the
the KYC compliance letter issued to them by CDSL Ventures Limited are guardian as father, mother or legal guardian and Date of birth of the minor shall be
exempt from following the new KYC procedure effective January 01, 2012 for the specified in the application form and supporting document such as PAN, birth
purpose of making additional investment with any SEBI registered mutual fund. If, certificate, passport copy or any other govt issued documents).
however, the KYC compliant investors would like to deal with any SEBI registered
intermediary other than mutual funds, they will have to follow the new KYC

Acknowledgment Slip
(To be filled by the Investor)

Registered Office Address: 4th Floor, Tower A, Peninsula Business Park, Ganapatrao Kadam Marg, Lower Parel (W), Mumbai - 400 013.

Customer Care: 1860 266 0111 (Call charges apply) | https://mf.nipponindiaim.com