Mutual Fund

NURTURING TRUST, SHAPING DREAMS

I agree for the debit of Mandate processing charges by the Bank whom I am authorizing to debit my account as per latest Schedule of charges of the Bank.

* This is to confirm that the declaration has been carrefully read, understood and made by me/us. I am authorising the user entity/corporate to debit my account.
* I have understood that I am authorised to cancel/amend this mandate by appropriately communicating the cancellation/amendment request to the user entity/corporate or the bank where I have authorised the debit.
I/We hareby declare that the above information is true and correct and that the mobile number listed above is registered in my/our name(s) and/or is the number that I/we use in the ordinary course. I/We hereeby declare
that, irrespective of my/our registration of the above mobile in the provider customer preference register, or in any similar register maintained under applicable laws, now or subsequent to the date hereof. I/We consent to
the Bank communicating to me/us about the transactions carried out in my/our aforesaid account(s).
 Instructions to fill OTA
1. UMRN is auto generated during mandate creation and is mandatory to be updated during amendment and cancellation of mandate.
(maximum length - 20 Alpha Numeric Characters)
2. Date in DD/MM/YYYY format.
3. Tick on box to select type of actions to be initiated.
4. Tick on box to select type of actions to be affected.
5. Customer’s legal account number, left padded with zeroes. (Maximum length - 35 Alpha Numeric Characters)
6. Name of the Bank and Branch.
7. IFSC/MICR code of customer bank. (Maximum length - 11 Alpha Numeric Characters)
8. Amount payable for service of maximum amount per transaction that could be processed, in words.
9. Amount figures, similar to the amount mentioned in words (Maximum length - 13 digits Numeric, in paisa)
10. Mention Loan Account number.
11. Type of loan in Reference Box.
12. Tick on box to select frequency of transaction.
13. Validity of mandate with dated in DD/MM/YYYY format.
14. Names of customer/s and signatures as well as seal of Company (where required). (Maximum length of Name 40 alpha Numeric
Characters)
15. Undertaking of customer.
16. Telephone no. with STD code of customer or 10 digit mobile number of customer.
17. Mail of customer.
 Investors must read the Key Information Memorandum and Instructions before completing this form.
Application Form for SHRIRAM MULTI ASSET ALLOCATION FUND New Fund Offer opens on: August 18, 2023 Application No.
An open ended scheme investing in Equity, Debt & Money Market Securities and New Fund Offer closes on: September 01, 2023 Scheme Riskometer Benchmark Riskometer
Gold/Silver ETFs and related instruments Scheme Re-opens for continuous sale and
repurchase on: September 15, 2023
Scheme Code: SHRI/O/H/MAA/23/07/0006
This product is suitable for investors who are seeking:
511-512, Meadows, Sahar Plaza, J. B. Nagar, • Long term inflation adjusted wealth creation through exposure to
Andheri (East), Mumbai - 400 059 multiple assets i.e. Equity, Debt and Gold/Silver ETFs
Mutual Fund Website : www.shriramamc.in • To regularly invest over time through SIPs, top-ups or STP from
Investors understand that their Benchmark Riskometer is at
NURTURING TRUST, SHAPING DREAMS liquid/overnight funds, to meet financial and family goals principal will be at very high risk very high risk

Name & ARN Code Sub Broker Code / ARN Internal code for sub EUIN Bank Serial No./Bank Stamp/
Agent/Employee Receipt Date

The upfront commission on investment made by the investor, if any, shall be paid to the ARN Holder (AMFI registered distributor) directly by the investor, based on the investor’s assessment of various
factors including service rendered by the ARN Holder.
Applicable only if ARN is mentioned but EUIN box is left blank: “I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this transaction is executed without any interaction or
advice by the employee/relationship manager/sales person of the above distributor/sub broker or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship manager/sales
person of the distributor/sub broker.” Applicable only if RIA Code is mentioned: “I / We hereby give you my/our consent to share/provide the transactions data feed/portfolio holdings/ NAV etc. in respect of
my/our investments under Direct Plan of all Schemes managed by you, to the SEBI-Registered Investment Adviser whose code is mentioned herein.”
TRANSACTION CHARGES (Refer instructions and tick the appropriate option) Applicable for transactions routed through distributors/agents/brokers who have opted to receive transaction charges.
 I am a first time investor in mutual funds (Rs.150 will be deducted).  I am an existing mutual funds investor (Rs.100 will be deducted).

Signatures First / Sole Applicant / Guardian Second Applicant Third Applicant

1. INVESTOR EXISTING FOLIO NUMBER INFORMATION (Please fill in your folio Number and proceed to Investment Details)
Folio No. The details in our records under the folio number mentioned will apply for this application.

2. APPLICANT(S) DETAILS (Please refer to instruction No. II (b) & (IV) (Name should be as per Aadhaar) (Mandatory Information) Date of Birth
Sole /First Applicant/
Minor*
PAN/PEKRN* Enclose (Please) O KYC Acknowledgement Letter AADHAAR No.#
KYC Id No.*
Name of GUARDIAN (In case First/Sole applicant is minor / CONTACT PERSON- DESIGNATION/ PoA HOLDER (In case of Non-Individual Investor) Date of Birth

PAN/PEKRN* | KYC Proof Attached (Mandatory) | Relationship with Minor applicant: O Natural guardian O Court applicant guardian AADHAAR No.#
KYC Id No.*
2nd APPLICANT (Name should be as per Aadhaar) Date of Birth

PAN/PEKRN Enclose (Please) O KYC Acknowledgement Letter AADHAAR No.#

KYC Id No.*
3rd APPLICANT (Name should be as per Aadhaar) Date of Birth

PAN/PEKRN Enclose (Please) O KYC Acknowledgement Letter AADHAAR No.#

KYC Id No.*

*If the first/sole applicant is a Minor, then please provide details of Natural/Legal Guardian. # If Aadhaar No. is applied for please enclose proof of enrolment.
Mode of Holding (Please ) Anyone or Survivor Single Joint (Default option is Anyone or Survivor)
Tax Status (Please ) Resident Individual NRI/PIO Trust HUF Bank FIs Sole Proprietorship NRO Other
Minor Company/Body Corporate FIIs Partnership Firm AOP/BOI Society
3. MAILING ADDRESS (Please provide Full Address, P.O. Box No. may not be sufficient, Overseas Investors will have to provide Indian Address)
Local Address of 1st Applicant -

City State Pincode

Tel. Off. Resi. Mobile^
E-mail^
Overseas Correspondence Address (Mandatory for NRI/FII Applicant)
City Country Pincode
^ Primary Holder’s own email address and mobile number to be provided
In case family member’s Mobile no / Email ID provided, then please provide the family description as per the code given below. Family description code ___________
Values : <Family Code>
Family Code Family Description Family Code Family Description Family Code Family Description
SE Self DS Dependent Siblings PM PMS
SP Spouse DP Dependent Parents CD Custodian
DC Dependent Children GD Guardian PO POA
4. COMMUNICATION (Please )
Opt-in facility to receive physical copy of the scheme - wise annual report or abridged summary there of.
I/We wish to receive Account Statement/Annual Reports/Quarterly Statements/Newsletter/Updates or any other Statutory Information via E-mail/SMS alerts in lieu of Physical Documents.
I/We would like to know more about Shriram MF products over the telephone / Mailer.

ACKNOWLEDGEMENT SLIP (To be filled in by the Sole / First Applicant)

SHRIRAM MULTI ASSET ALLOCATION FUND
Mutual Fund Application No.
NURTURING TRUST, SHAPING DREAMS

511-512, Meadows, Sahar Plaza, J. B. Nagar, Andheri (East), Mumbai - 400 059 Date______/______/___________
Website : www.shriramamc.in Stamp, Signature & Date
Received from Mr. / Ms. / M/s.______________________________________________________________________________________
an application for purchase of units of SHRIRAM MULTI ASSET ALLOCATION FUND for Rs.__________ on date

“In case there is any change in your KYC information please update the same by using the prescribed ‘KYC Change Request Form’ and submit the same at the Point of Service of any KYC Registration Agency”
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5. BANK ACCOUNT DETAILS - MANDATORY (For multiple banks registration please submit the Multiple Bank Registration Form)
Name of the Bank
Branch Address
Bank Branch City State Pincode
Account No. A/C. Type (Please ) Savings NRE Current NRO FCNR
9 digit MICR Code 11 digit IFSC Code (Mandatory for credit via NEFT/RTGS)
Please attach a cancelled cheque OR a clear photo copy of a cheque

6.  UNITS IN DEMAT MODE (Please )  NSDL  CDSL

DP ID Beneficiary Account No./Client ID

DP Name
Note : Please attach the depository transaction statement or DP master data indicating the DP account number of the applicant. Please ensure that sequence of names as
mention in the Application Form match with that of the account held with the DP.

7. POWER OF ATTORNEY (POA)

POA Name

PAN KYC Yes No - if investment is being made by a constitutional Attorney, please submit the notarized copy of the POA

8. INVESTMENT DETAILS AND PAYMENT DETAILS-Cheque/DD/RTGS/NEFT/Transfer (outstation cheques will be rejected) Please  wherever applicable.
Scheme Name : SHRIRAM MULTI ASSET ALLOCATION FUND
Plan : Regular * Direct Option : Growth
* Default Plan
Investment Amount (Rs.) DD Charges if any (Rs.) Net Amount (in words)____________________________________________
___________________________________ ___________________________________ ______________________________________________________________

Mode of Payment (Please )

Cheque DD Funds Transfer RTGS/NEFT Rs. (amt. in Rs.)___________________(in words)_______________________________________________)

Drawn on Bank

Branch & City Account No.

Cheque / DD No. Date IFSC Code

*A/c Type - S/B NRE* Current NRO FCNR* | *Kindly provide photocopy of the payment Instrument or Foreign Inward Remittance Certificate (FIRC)
evidencing source of funds
Cheque/D.D. to be crossed “Account Payee” only and should be drawn payable to :-“SHRIRAM MULTI ASSET ALLOCATION FUND A/C xxxxxx” (Investor PAN) or
“SHRIRAM MULTI ASSET ALLOCATION FUND A/C XXXXXX” (Name of the Firstholder)

9. KYC DETAILS (Mandatory)

Occupation Please ()
Sole/First Private sector service Public sector service Government Services Business Professional Agriculturist Retired
Applicant Housewife Student Forex Dealer Other (Please Specify)
Second Private sector service Public sector service Government Services Business Professional Agriculturist Retired
Applicant Housewife Student Forex Dealer Other (Please Specify)
Third Private sector service Public sector service Government Services Business Professional Agriculturist Retired
Applicant Housewife Student Forex Dealer Other (Please Specify)
Gross Annual Income [Please tick ()]
Sole/First Below 1 Lac 1-5 Lac 5-10 Lacs 10-25 Lacs >25 Lacs - 1Crore >1 Crore OR Net Worth
Applicant OR Net worth (Mandatory for Non - Individuals) _______________________ as on Not order than 1 year
Second
Applicant Below 1 Lac 1-5 Lac 5-10 Lacs 10-25 Lacs >25 Lacs - 1Crore >1 Crore OR Net Worth _______________________

Third
Applicant Below 1 Lac 1-5 Lac 5-10 Lacs 10-25 Lacs >25 Lacs - 1Crore >1 Crore OR Net Worth _______________________

Others [Please tick ()]

Sole/First For Individuals [Please tick ()] I am Politically Exposed Person (PEP)* I am Related to Politically Exposed Person (RPEP) Not applicable
Applicant For Non Individuals [Please tick ()] (Please attach mandatory Ultimate Beneficial Ownship (UBO) declaration form:
(i) Foreign Exchange/Money changer services - Yes No (ii) Gaming/Gambling/Lottery/Casino Services - Yes No (iii) Money Lending/Pawing - No Yes
Second Politically Exposed Person (PEP)* Related to Politically Exposed Person (RPEP) Not applicable
Applicant
Third
Applicant Politically Exposed Person (PEP)* Related to Politically Exposed Person (RPEP) Not applicable

Scheme Name : SHRIRAM MULTI ASSET ALLOCATION FUND

Plan : Regular Direct (Please  any one). Option :_______________________________________Sub Option :______________________________________
Cheque / DD No._____________________Date :______________________Amount Rs. :__________________________________________________________________
Bank and Branch :___________________________________________________________________________________________________________________________

REGISTRAR & TRANSFER AGENTS

Computer Age Management Services Ltd., (SEBI Registration No. : INR000002813)
New No. 10, Old No. 178, M.G.R. Salai, Nungambakkam, Chennai - 600 034, Email [email protected], Website : www.camsonline.com

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10. FATCA AND CRS DETAILS FOR INDIVIDUALS (Including Sole Propritor) (Mandatory)
Non Individual Investors should mandatorily fill secarate FATCA Form (The below information is required for all applications guardian.
Place/City of Birth Country of Birth Country of Citizenship / Nationality
First Applicant/Guardian Indian U.S. Others (Please Specify)_____________________
Second Applicant Indian U.S. Others (Please Specify)_____________________
Third Applicant Indian U.S. Others (Please Specify)_____________________
Are you a tax resident (i.e. are you assessed for Tax) in any other country outside India? Yes No [Please tick ( )]
If “Yes” please fill for All countries (Other than India) in which you are a Resident for tax purpose i.e. where you are a Citizen/Resident /Green Card Holder /Tax Resident in the respective countries.
Country of Tax Tax identification number or Identification Type Country of Citizenship / Nationality
Residency Functional Equtivalent (TIN or other please specify)
First Applicant/Guardian Reason : A B C
Second Applicant Reason : A B C
Third Applicant Reason : A B C
Reason A : The country where the Account Holder is liable to pay tax does not issue Tax Identification Numbers to its residents.
Reason B : No TIN required (Select this reason only if the authorities of the respective country of tax residence do not require the TIN to be collected)
Reason C : Others, please state the reason thereof:________________________________________________________________________________________________________________
Address Type of Sole/1st Holder : Address Type of 2nd Holder : Address Type of 3rd Holder :
Residential Registered Office Business Residential Registered Office Business Residential Registered Office Business
FATCA Form for Non Individual is available on the website of AMC i.e. www.shriramamc.in or at the CAMS Investor Service

11. NOMINATION DETAILS [Minor / HUF / POA Holder / Non Individuals Cannot Nominate]

I/We___________________________________________________________________do hereby nominate the undermentioned Nominee(s) to receive the units to my/our
credit in the folio no. in the event of my/our death. I/We also understand that all payments made to such Nominee(s) and Signature of the Nominee(s) acknowledging receipt
thereof, shall be a valid discharge by the AMC / Mutual Fund / Trustees.
No. Nominee(s) Name PAN Relationship % of Share* Date of Birth Nominee(s) Signature
1
2
3
No. Name of the Guardian (In case of Nominee is Minor) Guardian(s) Signature
1
2
3
* If the percentage of share is not mentioned then the claim will be settled equally amongst all the indicated nominee(s)

I/We do not wish to nominate anybody on my/our behalf. Signature of the declarant

12. DECLARATION
I/We have read, understand and hereby agree to abide by the Scheme information Document/ Key information Memorandum of the Scheme(s), Foriegn Account Tax Complaince Act
(FATCA) and Common Reporting Standards (CRS) under FATCA & CRS provision of the Central Board of Director Taxes notified Rules114 F to 114 H, as part of the Incometax Rules, 1962.
I/We hereby apply to the Shriram Mutual Fund for allotment of units of the Scheme, as indicated above and agree to abide by the terms, conditions, rules and regulations of the Scheme. I /
We hereby confirm and certify that the source of these funds is not directly / indirectly a result of "proceeds of crime" as defined in "The Prevention of Money Laundering Act, 2002" and I/we
undertake to provide all necessary proof/ documentation, if any, required to substantiate the facts of this undertaking. I/We have not received nor been induced by any rebate or gifts, directly
or indirectly in making this investment. I / We authorize the Fund to disclose details of my/our account and all my/our transactions to the intermediary whose stamp appears on the application
form. I/We also authorize the Fund to disclose details as necessary, to the Fund's and investor's bankers for the purpose of effecting payments to me/ us. Applicable to NRIs only : I/We
confirm that I am/we are Non-Resident of Indian Nationality/Origin and I/we hereby confirm that the funds for subscription have been remitted from abroad through approved banking
channels or from funds in my/our Non-Resident External / Ordinary Account/FCNR/NRSR Account.
Investment in the scheme is made by me / us on :  Repatriation basis  Non Repatriation basis.
The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds
from amongst which the Scheme is being recommended to me/us.

Signature

First / Sole Applicant / Guardian Second Applicant Third Applicant

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 Form for Fresh Nomination / Change of Existing Nomination/ Cancellation of Nomination
Applicable for Individual Unitholders only - whether holding Units Singly or Jointly with other holders
Please read the instructions carefully before filling up this form

Name of 1st Holder ___________________________________________________________________________________________________________________________

Name of 2nd Holder __________________________________________________________________________________________________________________________
Name of 3rd Holder __________________________________________________________________________________________________________________________
I/We, the above named Unitholders of ________________________________________________________________________________________ Mutual Fund, do hereby
 Nominate the person(s) more particularly described hereunder to receive the Units held my/our Folio/s listed below in the event of my / our death and/or
 Cancel the nomination(s) made by me / us previously in respect of the units held by me/ us in the Folio/s listed below
(tick whichever is applicable).

Scheme Name Folio No.

1.
2.
3.
4.

Name of the % of
1st Nominee Allocation
PAN of the Nominee/Guardian* Date of Birth of Nominee*
Name of the Guardian *

Guardian’s Relationship with Nominee  Mother  Father  Legal Guardian

Proof of relationship ? Birth Certificate  School Leaving Certificate  Passport 
Others
Address

City State PIN

Name of the % of
2nd Nominee Allocation
PAN of the Nominee/Guardian* Date of Birth of Nominee*
Name of the Guardian *

Guardian’s Relationship with Nominee  Mother  Father  Legal Guardian

Proof of relationship ? Birth Certificate  School Leaving Certificate  Passport 
Others
Address

City State PIN

Name of the % of
3rd Nominee Allocation
PAN of the Nominee/Guardian* Date of Birth of Nominee*
Name of the Guardian *

Guardian’s Relationship with Nominee  Mother  Father  Legal Guardian

Proof of relationship ? Birth Certificate  School Leaving Certificate  Passport 
Others
Address

City State PIN

*applicable in case the Nominee is a Minor. (Also, please attach a copy of the minor’s birth certificate)

 I/We DO NOT wish to make a nomination. (Please tick  if the unitholder does not wish to nominate anyone)
I/We have read and understood the instructions on nomination given below/overleaf and I/We hereby undertake to abide by the same. The instructions contained herein
supercedes all previous nominations made by me/us in respect of the folio(s) mentioned above.

Signature of the 1st unitholder Signature of the 2nd unitholder Signature of the 3rd unitholder

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 Instructions
1. The nomination can be made only by individuals applying for/holding units on their own behalf singly or jointly.
2. Non-individuals including a Society, Trust, Body Corporate, Partnership Firm, Karta of Hindu undivided family, a Power of Attorney holder and/or
Guardian of Minor unitholder cannot nominate.
3. Nomination is not allowed in a folio of a Minor unitholder.
4. If the units are held jointly (i.e., in case of multiple unitholders in the folio), all joint holders need to sign the Nomination Form (even if the mode of
holding/operation is on “Anyone or Survivor” basis).
5. A minor may be nominated. In that event, the name and address of the Guardian of the minor nominee needs to be provided.
6. Nomination can also be in favour of the Central Government, State Government, a local authority, any person designated by virtue of his office or a
religious or charitable trust.
7. The Nominee shall not be a trust (other than a religious or charitable trust), society, body corporate, partnership firm, Karta of Hindu Undivided Family
or a Power of Attorney holder.
8. A Non-Resident Indian may be nominated subject to the applicable exchange control regulations.
9. Multiple Nominees: Nomination can be made in favour of multiple nominees, subject to a maximum of three nominees. In case of multiple nominees,
the percentage of the allocation/share should be in whole numbers without any decimals, adding upto a total of 100%. If the total percentage of
allocation amongst multiple nominees does not add up to 100%, the nomination request shall be treated as invalid and rejected. If the percentage of
allocation/ share for each of the nominee is not mentioned, the allocation /claim settlement shall be made equally amongst all the nominees.
10. Every new nomination for a folio/account shall overwrite the existing nomination, if any.
11. Nomination made by a unit holder shall be applicable for units held in all the schemes under the respective folio / account.
12. Nomination shall stand rescinded upon the transfer of units.
13. Death of Nominee/s: In the event of the nominee(s) pre-deceasing the unitholder(s), the unitholder/s is/are advised to make a fresh nomination soon
after the demise of the nominee. The nomination will automatically stand cancelled in the event of the nominee(s) pre-deceasing the unitholder(s). In
case of multiple nominations, if any of the nominee is deceased at the time of death claim settlement, the said nominee’s share will be distributed
equally amongst the surviving nominees.
14. Transmission of units in favour of a Nominee shall be valid discharge by the asset management company/ Mutual Fund / Trustees against the legal
heir(s).
15. Cancellation of Nomination: Request for cancellation of Nomination made can be made only by the unitholders. The nomination shall stand rescinded
on cancellation of the nomination and the AMC shall not be under any obligation to transfer / transmit the units in favour of the Nominee.
16. Unitholders who do not wish to nominate are required to confirm the same by indicating their choice in the space provided in the nomination form.
17. The nomination will be registered only when this form is completed in all respects to the sat isfaction of the AMC.
18. In respect of folios/accounts where the Nomination has been registered, the AMC will not entertain any request for transmission / claim settlement
from any person other than the registered nominee(s), unless so directed by any competent court.

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 Form for Opting out of Nomination
[To be signed by ALL holders, irrespective of Mode of Holding or Mode of Operation.]

Date D D - M M - Y Y Y Y

To
__________________________________________________ Mutual Fund

Declaration of Opting out of Nomination

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) mentioned hereinbelow :

Application Number(s)/
Folio Number(s) /

I/We 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.

Name of the Applicant/ Unitholder Signature

Sole /
1st Holder

2nd Holder

3rd Holder

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 GENERAL INFORMATION AND GUIDELINES Mutual Fund
NURTURING TRUST, SHAPING DREAMS
GENERAL INFORMATION application form for subscribing the units. The documents required to be submitted
a. It must be understood clearly that all applicants are deemed to have accepted the along with KYC application from are detailed in the KYC application form itself.
terms subject to which these offers are being made and bind themselves to the Notwithstanding anything stated herein above the AMC/MF reserves absolute right
terms mentioned in the SAI/SID/KIM upon signing the application form and and discretion to call for any additional information/document as they may require
tendering payment. for verifying the KYC of the investor.
b. Please complete the Application Form legibly in black ink or blue ink, in the English New to Shriram Mutual Fund : Investors who are registering with Shriram Mutual
language only, in BLOCK CAPITALS. Please strike out with a line across any Fund for the first time but have completed KYC from CVL may have to undergo
section that is not applicable. an in-Person verification and may be required to submit missing/not-available
c. Submission of Application Forms : Application form complete in all respects information as appearing in the database provided by KYC Registering Agencies.
with the necessary remittances may be submitted at Shriram MF Admin. HO, These details are required to be updated only if the KYC status as per CVL-KRA
Shriram MF ISC/ official Points of Acceptance of the Registrar or such other reflects as “MF-VERIFIED BY CVLMF”
collection centers as may be designated by the AMC. The list of collection centers In-Person Verification : With effect from January 1, 2012 in person verification
are given on the website of Shriram Mutual Fund. Applications received by is compulsory for obtaining KYC registration for all securities market investment
post/courier will be deemed to have been submitted on date of receipt at the including Mutual fund. In view of the same, investors submitting KYC application
designated collection centre. form shall undergo in-person verification by the AMC/MF. KYD compiled distributors,
d. Investors are advised to retain the acknowledgement slip signed/stamped by the employees of Shriram Asset Management Co. Ltd and employees of Registrar
collection centre where they submit the application. and Transfer agent appointed by Shriram mutual Fund are authorized to perform
e. Allotment of Units: Allotment is assured to all applicants provided the application the inperson verification on behalf of Shriram Mutual Fund.
is complete in all respects and is in order. Applications not complete in any respect In addition to the above, pursuant to the AMFI Best Practices Guidelines Circular
are liable to be rejected. No. 62/2015-16 dated September 18, 2015, effective from November 01, 2015:
f. GUIDELINES TO HELP YOU COMPLETE THE APPLICATION FORM • It is mandatory for all new Mutual Fund investors to provide additional KYC
(1) Distributor details details as prescribed in Part II of the Account Opening Form (such as Gross
Annual Income Details, Net Worth, Occupation, PEP) as part of account
Investments through distributors : As per directions of Securities and Exchange
opening; and
Board of India (SEBI), the distributors, agents or any persons employed or engaged
or to be employed or engaged in the sale and/or distribution of mutual fund • No purchase transactions (whether fresh or additional subscriptions) and switches
products are required to have a valid certification from the National Institute of pertaining to ‘KYC-On Hold’ cases shall be accepted, unless and until the
Securities Markets (NISM) by passing the certification examination. Further, no customer also submits missing information or updated information, for updating
agents / distributors are entitled to sell units of mutual funds unless the intermediary the same in KRA-KYC system promptly.
is registered with Association of Mutual Funds in India (AMFI). A ready-reckoner of action to be taken by AMC/RTA in respect of new
Employee Unique Identification Number (EUIN) : SEBI has made it compulsory customers/folios/accounts is given in the table below
for every employee/ relationship manager/ sales person of the distributor of mutual KYC Status Action till October 31, 2015 Action from November 01, 2015
fund products to quote the EUIN obtained by him/her from AMFI in the Application K Y C - R e g i s t e r e d Accept Accept
Form. EUIN, particularly in advisory transactions, would assist in addressing any
instance of mis-selling even if the employee/relationship manager/sales person KYC-On Hold Communicate for remediation Reject all purchase & switch transactions
later leaves the employment of the distributor. Individual ARN holders including if the missing information is not provided
senior citizens distributing mutual fund products are also required to obtain and KYC-Under Process Accept Accept
quote EUIN in the Application Form. Hence, if your investments are routed through KYC Rejected Reject Reject
a distributor please ensure that the EUIN is correctly filled up in the Application
KYC-Not Available Reject Reject
Form. However, if your distributor has not given you any advice pertaining to the
investment, the EUIN box may be left blank. In this case, you are required to KYC-Deactivated Reject Reject
provide a duly signed declaration to this effect, as given in the Form. Note: SIP and STP mandates already registered till October 31, 2015 may be
Direct Investments : Investors applying under Direct Plan must mention “Direct” exempted from the above stipulations
in ARN column. In case Distributor code is mentioned in the application form, but As regards the cases involving ‘Missing/Not Available’ KYC information, effective
“Direct Plan” is indicated against the Scheme name, the Distributor code will be from January 01, 2016 it is mandatory for the existing MF customers to:
ignored and the application will be processed under Direct Plan. In case of valid
• Provide/update additional KYC details as prescribed in Part II of the Account
application received without indicating “Direct Plan” against the Scheme / Plan
Opening Form (such as Gross Annual Income Details, Net Worth, Occupation, PEP)
name and without any Distributor Code mentioned on the form, the application
where such information was not provided to KRAs earlier, to be able to continue
will be processed under “Direct Plan”.
to make additional subscription (including switches) in their existing folios
(2) Email ID/ Email Communication : Investors desirous of receiving documents • Provide the missing information, and complete In-Person Verification (IPV) in
such as allotment advice, statement of accounts, periodical reports and other order to continue to make additional subscription, including switches, in their existing
communications in electronic form are required to fillup their email ID. The email folios to mke this process consistent across the Industry.
ID as declared by the investor will be registered in our records and all future
A ready-reckoner of action to be taken by AMC/RTA in respect of existing folios with
communication will be made to such registered email ID. It may be noted that no
KYC status as ‘MF-KYC Registered’ is given in the table below
physical document will be sent to an investor (unless specifically requested) who
has a registered email ID with us. KYC Status Action till December 31, 2015 Action from January 01, 2016
(3) PAN (Permanent Account Number) : Permanent Account Number is the sole MF-KYC Registered Make sustained efforts to Reject ALL Purchase and switch
identification number for all investors transacting in the units of Shriram Mutual obtain the requisite Missing/Not transactions, if the missing KYC information
is NOT provided and/or IPV is not
Fund, submission of attested copy of PAN card is mandatory for all categories of Available KYC information completed.
investors (including NRIs, Guardian of a minor). Attestation can be done by and/or complete the IPV
distributors / AMC officials etc. However, pursuant to SEBI letter OW/16541/2012 requirement, as the case may
dated July 24, 2012 investment in Mutual Fund schemes (including investments be and update in KRA records.
in SIP) upto Rs. 50,000 per year, per investor, across all schemes of the fund Note: SIP and STP mandates already registered till December 31, 2015 may be
shall be exempted from the requirement of PAN. Accordingly, individuals (including exempted from the above stipulations
who are individuals, NRIs, but not POIs, Minors) and sole proprietary firms who
do not possess PAN (HUF and other categories are not eligible for such investments) Aadhaar based e-KYC process
are exempt from submission of PAN for investments upto Rs. 50,000 in a rolling SEBI vide circular no: CIR/MIRSD/09/2013 dated October 8, 2013, enabled
12 months period or in a financial year (i.e. April to March). However eligible Aadhaar based e-KYC service offered by UIDAI for KYC verification.
investors are required to undergo Know Your Customer (KYC) procedure with Also vide circular No. CIR/MIRSD/29/2016 dated January 22, 2016, SEBI
any of the SEBI registered KYC Registration Authority (KRA). Eligible investor clarified that the usage of Aadhaar card as issued by the UIDAI is voluntary.
must quote PAN Exempt KYC Reference Number (PEKRN) issued by KRA. Fresh/ Moreover, pursuant to SEBI Circular No: SEBI/HO/MIRSD/DOP/CIR/P/2019/123
Additional Purchase and Systematic Investment Plans will be covered within the dated November 05, 2019, entities in the securities market, as may be notified
limit of Rs. 50,000. by the Central Government, shall be allowed to undertake Aadhaar Authentication
(4) Know your Customer (KYC) Policy : SEBI vide circulars dated October 5, 2011, under section 11A of the PMLA. These entities would be registered with UIDAI as
December 2, 2011 and December 23, 2011 has simplified the KYC registration KYC user agency (“KUA”) and shall allow all the SEBI registered intermediaries
process and authorised KRA (KYC registration agency) for storing, safeguarding / mutual fund distributors to undertake Aadhaar Authentication of their clients
and retrieving the KYC documents. If the investor has successfully completed for the purpose of KYC through them.
KYC registration with stock brokers, depository participants, Mutual Funds, portfolio
For entering into account based relationship, the client may provide the following
managers, collective investment schemes and venture capital funds on or after
information to the intermediary:
January 1, 2012, no fresh KYC application is required to be submitted for investing
in this scheme. Further if the investor has already completed KYC registration i. Name
with CVL for Mutual Fund investments, no fresh KYC application is required to be ii. Aadhaar number
submitted. In case the investor has not undergone the KYC registration as aforesaid iii. Permanent Account Number (PAN)
or investors wish to submit updated/additional information/ document they may For more details on Aadhaar based e-KYC process, please refer the Statement
submit necessary application for KYC Registration/ updation along with the of Additional Information (SAI)
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Central KYC holder’s name, the Bank Account Number which has been debited for issue
Pursuant to SEBI circular no: CIR/MIRSD/ 66 /2016 dated July 21, 2016 the registered of the instrument (Mandatory) and PAN as per bank records, if available.
intermediaries shall upload the KYC data with Central KYC Records Registry • A copy of the acknowledgement from the bank, wherein the instructions to
(CKYCR), in respect of all individual accounts opened on or after August 1, debit / carry the bank account details and name of the investor as an
2016, wherever KYC is required to be carried out as per the circulars issued account holder are available
by SEBI from time to time and accordingly, shall take steps to prepare their • A copy of the passbook/bank statement evidencing the debit for issuance
systems for uploading the KYC data. of the instrument.
Further, SEBI circular no. SEBI/HO/MIRSD/DOP/CIR/P/2021/31 dated March 10, The account number mentioned in the above supporting documents should
2021 has mandated to upload the KYC records of Legal Entity (other than individuals) be the same as one of the registered bank accounts or the bank details
accounts as well opened on or after April 01, 2021 on to CKYCR in terms of Rule 9 mentioned in the application form.
(1A) of the Prevention of Money Laundering (Maintenance of Records) Rules, 2005. If paid by RTGS, Bank Account-to-Account Transfer, NEFT, ECS, NACH etc :
For Legal Entity accounts opened prior to April 1, 2021, the KYC records are required Investors should attach to the purchase application form, an acknowledged copy
to be uploaded on to CKYCR when the updated KYC information is obtained/received of the instruction to the bank also stating the account number debited. The account
from the client. number mentioned on the transfer instruction copy should be a registered bank
(5) Accounts opened on behalf Minor /Change of status from minor to major/ account or the first named applicant/ investor should be one of the account holders
Change of Guardian : to the bank account debited for such electronic transfer of funds.
The minor shall only be the first and the sole holder in an account (folio). There Bank charges for outstation demand drafts will be borne by the AMC and will be
shall not be any joint accounts with minor as the first or joint holder. Name of the limited to the bank charges stipulated by the State Bank of India subject to a
Parent or Guardian must be mentioned if the investments are being made on maximum limit of Rs.1, 000 per instrument.
behalf of a minor. Guardian in the folio should either be a natural guardian (i.e. Outstation Demand Draft has been defined as a demand draft issued by a bank
father or mother, as the case may be) or a court appointed legal guardian. where there are no ISC/Points of Acceptance available for Investors. Investors
Date of birth of the minor along with photocopy of supporting documents (i.e. Birth may please further note that in case of any application made through the Demand
certificate School leaving certificate Mark sheet issued by Higher Secondary Board Draft, no Demand Draft charges will be reimbursed by the AMC in any case. The
of respective states, ICSE, CBSE etc., Passport, or any other suitable proof same will have to be borne by investors.
evidencing the date of birth of the minor) should be provided while opening the Cash : In accordance with SEBI Circular nos. CIR/IMD/DF/21/2012 dated
folio. In case of a natural guardian, document evidencing the relationship of the September 13, 2012 and CIR/IMD/DF/10/2014 dated May 22, 2014; the Fund
Guardian with the minor, if the same is not available as part of the documents shall accept applications for subscriptions for subscription with payment mode as
mentioned above should be submitted. In case of court appointed legal guardian, ‘Cash’ (“Cash Investment”) at select Investor Service Centress (ISCs) to the extent
supporting documentary evidence should be provided. of Rs. 50,000 per investor, per financial year as follows:
Further, in case of SIP/STP/SWAP registration requests received on/after April 1, 1. Only resident individuals, sole proprietorships and minors (through guardians),
2011, the Mutual Fund/AMC will register SIP/STP/SWAP in the folio held by a who are KYC compliant (with or without PAN), have a bank account and who
minor only till the date of the minor attaining majority, even though the instructions submit applications in physical mode at select ISCs can avail this facility.
may be for a period beyond that date. 2. Currently, the Fund has made arrangement with HDFC Bank Limited ("the
Further process to be complied for investments made in the name of a Minor through Bank") to collect Cash from the investors of the Fund at designated branches
a Guardian (SEBI Circular No: SEBI/HO/IMD/DF3/CIR/P/2019/166 dated December of the Bank. For an updated list of the ISCs / the designated bank branches
24, 2019 read with SEBI Circular no. SEBI/HO/IMD/POD-II/CIR/P/2023/0069 dated accepting Cash Investments, investors may contact any of our ISCs or visit
May 12, 2023) the website www.shriramamc.in
a. Payment for investment by any mode shall be accepted from the bank account of 3. Procedure to undertake Cash Investments :
the minor, parent or legal guardian of the minor, or from a joint account of the minor a. Deposit slips for making Cash Investments may be obtained from ISCs
with parent or legal guardian. For existing folios, the AMC shall insist upon a Change which accept Cash Investment applications. The deposit slip must be filled
of Pay-out Bank mandate before redemption is processed. with the scheme name and the amount of cash to be deposited. The deposit
Irrespective of the source of payment for subscription, all redemption proceeds slip will be verified by the ISC officials.
shall be credited only in the verified bank account of the minor i.e. the account the b. Investors must then deposit the cash along with the verified deposit slip at
minor may hold with the parent/ legal guardian after completing all KYC formalities. any of the nearest designated branches of the Bank accepting cash under
b. Upon the minor attaining the status of major, the minor in whose name the investment this facility.
was made, shall be required to provide all the KYC details, updated bank account c. Acknowledged copy of the deposit slip received from the Bank along with
details including cancelled original cheque leaf of the new account. No further the Scheme application form / transaction slip must be submitted at the
transactions shall be allowed till the status of the minor is changed to major. same ISC (i.e. from where the deposit slip was obtained) for time stamping.
In addition, guidelines/formats prescribed by AMFI vide its Best Practice Circular no. Investors must mention their name and folio number/ application number
135/BP/ 86 /2020-21 dated July 16, 2020 need to be complied/followed w.r.t. Minors’ on the reverse of the Bank-acknowledged deposit slip. The pay-out bank
Accounts & Change in status from Minor to Major. account details are also required to be specified in the application form by
(6) Mode of Payment the investors.
a) For Resident investors 4. Applicability of NAV for all schemes other than liquid scheme(s) will be based
on the time stamping of the application by the relevant ISC. Applicable NAV
Cheque, demand draft shall be drawn in the name of the scheme as detailed for Cash Investments in liquid scheme(s) will be based on the time when the
below and crossed “Account Payee only”. cash is received by the liquid scheme from the Bank (and not the time of
a. the Specific Scheme A/c Permanent Account Number(where the investor deposit of cash at the Bank branch) as the Bank merely collects cash and will
has a PAN) e.g.: SHRIRAM BALANCED ADVANTAGE FUND A/C XXXXXXX remit the funds to the scheme(s) usually by next business day only.
(PAN) OR
b. the Specific Scheme A/c First Investor Name* (investors from the state of 5. If the amount of subscription (together with the investments already made
Sikkim & investors without PAN.) through cash in the same financial year) exceeds Rs.20, 000/-, the application
will be rejected.
Source of funds
If paid by cheque : Idenificaion of third party cheques by the AMC/Mutual 6. Payment of proceeds towards redemptions, IDCW, etc. with respect to Cash
Fund/ Registrar & Transfer Agent (R&TA) will be on the basis of matching the Investments shall be made only through the pay-out bank account mentioned
name / signature on the investment cheque with the name/ signature of the in the application form or as registered in the folio (as applicable) as Bank
first named applicant available on the application or in our records for the said mandate.
folio. If the name of the bank account holder is not pre-printed on the investment 7. Acceptance of Cash Investments will be subject to compliance with applicable
cheque or the signature on the said cheque does not match with that of the laws pertaining to prevention of money laundering.
first named applicant mentioned on the application / available in our records 8. Application for Cash Investment not satisfying the above conditions is liable
for the said folio, then the investor should submit any one of the following to be rejected.
documents at the time of investment : Third Party Payments : The Mutual Fund shall adopt the following procedures
(i) A copy of the bank passbook or a statement of bank account having the to ascertain whether payments are Third Party Payments and investors are
name and address of the account holder and account number, Investors therefore required to comply with the requirements specified herein below.
should also bring the original documents along with the documents “Third Party Payment” means payment made through an instrument issued from
mentioned in (a) above to the ISCs/Official Points of Acceptance of Shriram a bank account other than that of the first named applicant/ investor mentioned in
Mutual Fund. The copy of such documents will be verified with the original the application form. In case of payment instruments issued from a joint bank
documents to the satisfaction of the AMC/ Mutual Fund/R&TA. The original account, the first named applicant/ investor must be one of the joint holders of the
documents will be returned across the counter to the investor after due bank account from which the payment instrument is issued to consider the payment
verification. as a non - Third Party Payment.
(ii) A letter (it should be certified by the bank manager with his/her full signature, 1. An Application submitted in joint names of A, B & C along with cheque issued
name, employee code, bank seal and contact number) in original from the from a bank account in names of C, A & B will be treated as valid application.
bank on its letterhead certifying that the investor maintains an account with
2. An Application submitted in joint names of A, B & C along with cheque issued
the bank, along with information like bank account number, bank branch,
from a bank account in name of A will be treated as valid application.
account type, the MICR code of the branch & IFSC Code (where available).
3. An Application submitted in joint names of A, B & C along with cheque issued
If funded by pre-funded instruments such as Pay Order, Demand Draft,
from a bank account in names of B, C & Y will be considered as Third Party
Banker’s cheque etc : Investors should attach any one of the following
Payment.
supporting documents with the purchase application where subscription for
units is vide a pre - funded instrument issued by way of debit to his / her bank As referred in above, following are the exceptional cases where third party
account : payments will be accepted subject to submission of requisite documentation/
declarations.
• A Certificate (in original) from the issuing banker duly certified by the
employee signing the pre-funded instrument with his / her full signature,
name, employee code, bank seal and contact number, stating the Account

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• Payment by Parents/Grand-Parents/Related Persons (any person investing on to mutual fund units on or after October 1, shall have the choice of a. Providing
behalf of a minor in consideration of natural love and affection or as a gift) on nomination in the format specified in fourth schedule of SEBI (Mutual Funds)
behalf of a minor in consideration of natural love and affection or as gift for a value Regulations, 1996 (or) b. Opting out of nomination through a signed Declaration
not exceeding Rs. 50,000 for each regular purchase or per SIP installment. form as provided in Annexure - A to this circular. Nomination is not allowed in
However this restriction of Rs. 50,000 will not be applicable for payment made by a folio held on behalf of a minor.
a Guardian whose name is registered in the records of Mutual Fund in that folio ii. The applicant/unit holders can nominate person/persons (upto three) in whom
(i.e. Father / Mother / Court Appointed Legal Guardian). the units held by him shall vest in the event of his death. Where the units are
• Payment by Employer on behalf of employee under Systematic Investment Plans held by more than one person jointly, the joint Unit holders may together
or as lump sum / one-time subscription, through Payroll deductions. nominate a person/persons (upto two) in whom all the rights in the units shall
• Custodian on behalf of an FII or a Client. vest in the event of death of all the joint Unit holders. If the units are held jointly,
b) For Non-Resident Indian (NRI)/PIO/FII investors all joint holders will sign the nomination form.
On Repatriation Basis : In the case of NRIs including PIOs, payment may be iii. The nomination can be made only by individuals applying for/holding units on
made either by inward remittance through normal banking channels or out of funds their own behalf singly or jointly. Non individuals including society, trust, body
held in his Non - Resident (External) Rupee Account (NRE) / Foreign Currency corporate, partnership firm, Karta of Hindu undivided family (HUF), holder of
(Non-Resident) Account (FCNR). In case Indian rupee drafts are purchased abroad Power of Attorney cannot nominate.
or from Foreign Currency Accounts or Non-resident Rupee Accounts an account iv. A minor can be nominated and in that event, the name and address of the
debit Certificate from the Bank issuing the draft confirming the debit shall also be guardian of the minor nominee shall be provided by the Unit holder.
enclosed. FIIs shall pay their subscription either by inward remittance through
normal banking channels or out of funds held in Foreign Currency Account or Non- v. Nomination can also be in favour of the Central Government, State Government,
Resident Rupee Account maintained by the FII with a designated branch of an and a local authority, any person designated by virtue of his office or a religious
authorized dealer in accordance with the relevant exchange management or charitable trust.
regulations. vi. The Nominee shall not be a Trust, other than a religious or charitable trust,
On non-repatriation basis : In the case of NRIs/PIOs, payment may be made society, body corporate, partnership firm, Karta of HUF or a Power of Attorney
either by inward remittance through normal banking channels or out of funds held holder.
in his NRE / FCNR / Non-Resident Ordinary Rupee Account (NRO). In case Indian vii. A non-resident Indian can be a Nominee subject to the exchange controls in
rupee drafts are purchased abroad or from Foreign Currency Accounts or Non- force, from time to time.
resident Rupee Accounts an account debit Certificate from the Bank issuing the
viii. Nomination in respect of the units stands rescinded upon the transfer of units.
draft confirming the debit shall also be enclosed.
(7) Default Plan / Option ix. Transfer of units in favour of a Nominee shall be valid discharge by the AMC
against the legal heir.
The treatment of applications under “Direct”/ “Regular” Plan shall be based on the
x. The cancellation of nomination can be made only by those individuals who
following scenarios:
hold units on their own behalf singly or jointly and who made the original
Scenario Broker Code mentioned Plan mentioned by the investor Default Plan to nomination.
by the investor be captured xi. On cancellation of the nomination, the nomination shall stand rescinded and
1 Not mentioned Not mentioned Direct Plan the AMC shall not be under any obligation to transfer the units in favour of the
2 Not mentioned Direct Direct Plan Nominee. Investors should note that where the Units are transferred in favour
of the nominee, the KYC formalities, as applicable, shall have to be completed
3 Not mentioned Regular Direct Plan
by the nominee.
4 Mentioned Direct Direct Plan
xii. Every new nomination for a folio/account will overwrite the excising nomination.
5 Direct Not mentioned Direct Plan
(13) Declaration and Signatures :
6 Direct Regular Direct Plan a) All signatures should be in English or any Indian language. Thumb impressions
7 Mentioned Regular Regular Plan should be from the left hand for males and the right hand for females and in
8 Mentioned Not mentioned Regular Plan all cases be attested by a Magistrate, Notary Public under his/her official seal.
b) In case of applications under a Power of Attorney, the relevant Power of
9 Mentioned Both Direct/ Regular Plan ticked/no clarity Regular Plan
Attorney or the certified and duly notarized copy thereof must be lodged along
In cases of wrong/invalid/incomplete ARN codes mentioned on the application form, with the application.
the application shall be processed under Regular Plan. The AMC shall contact and (14) Transaction Charges
obtain the correct ARN code within 30 Calendar days of the receipt of the application In accordance with SEBI circular No. Cir/ IMD/ DF/13/ 2011 dated August 22, 2011,
form from the investor/distributor. In case, the correct code is not received within as amended from time to time SHRIRAM Asset Management Company Limited
30 calendar days, the AMC shall reprocess the transaction under Direct Plan from (“the AMC”)/Mutual Fund will deduct Transaction Charges from the purchase/
the date of application without any exit load.
subscription amount received from the investors investing through a valid ARN
(8) Demat : Investors have the option to hold units in dematerialized mode and the Holder i.e. AMFI registered Distributor.
units are freely transferable. For holding units in dematerialized mode, investors
Transaction Charge of Rs. 150 (for a time investor across mutual funds) or Rs.
should have a Depository account in their name. If the investor selects the
100 (for investor other than time mutual fund investor) per purchase / subscription
depository mode for receiving units, no separate KYC needs to be complied. The
of Rs. 10,000 and above are deductible from the purchase / subscription amount
statement of account issued by the depository participant will be sufficient and no
and payable to the Distributor. The balance amount shall be invested.
separate statement of account indicating crediting of units by the mutual fund is
required for proving allotment of units in the name of the unit holder. For redemption, However the distributors shall have an option to either “Opt-in/Opt-out” from levying
investors will have to submit duly filled up delivery instruction slip to his concerned transaction charge based on the type of product. Therefore, the “Opt-in/Opt-out”
depository participant and an acknowledgement for the same along with application status shall be at distributor level, basis the product selected by the distributor at
for redemption is required to be submitted at the POS. Investors have the the Mutual Fund industry level.
responsibility in ensuring transfer of units to the designated pool account of the TRANSACTION CHARGES IN CASE OF INVESTMENTS THROUGH SIP :
Mutual fund maintained with the registrar for redemption of units. The Scheme Transaction Charges in case of investments through SIP are deductible only if the
wise ISIN is displayed in the website of the mutual Fund. total commitment of investment (i.e. amount per SIP installment x No. of installments)
(9) Mode of Payment of Redemption/ IDCW Proceeds : To the extent possible, amounts to Rs. 10,000 or more. In such cases, Transaction Charges shall be deducted
the AMC will credit the redemption proceeds to the Bank account of the investor in 3-4 installments. Transaction Charges shall not be deducted :
directly through direct credit facility/NEFT/RGESS. In order to enable the AMC to (a) where the Distributor of the investor has not opted to receive any Transaction
credit the funds directly to the Bank account of the investors, the investors are Charges
requested to provide all details about their bank account as required in point 5 of (b) for purchase /subscriptions /total commitment amount in case of SIP of an amount
the application form. In all other cases, the redemption proceeds will be issued in less than Rs. 10000/-
the form of Cheque or DD in the name of the sole/ first unit holder to the (c) for transactions other than purchases / subscriptions relating to new inflows i.e.
correspondence address registered with us. through Switches / Systematic Transfers / IDCW Transfers/ IDCW Reinvestment,
(10) E-services Facility : The E-services facility includes Shriram Online, E-alerts etc.;
and Epayouts. (d) for purchases / subscriptions made directly with the Fund (i.e. not through any
E-alerts : This facility enables the Unit holder to receive SMS confirmation for Distributor); and
purchase, redeem or switch IDCW declaration details and other alerts. (e) for purchases / subscriptions routed through Stock Exchange(s). First / Sole
E-payouts : Apart from above mentioned facilities, the facility of E-payouts Applicant / Guardian should indicate whether he is a first time investor across
comprising of mode of payment of Redemption / IDCW Proceeds if any, via Direct Mutual Funds or an existing investor in the appropriate box provided for this
Credit / NEFT / ECS is covered under E-services facility. purpose in the application form. SHRIRAM AMC/ Fund will endeavor to identify
(11) Investment Options : If the direct plan is ticked, irrespective of any ARN code the investor as “ first time” or “existing” based the Permanent Account Number
filled/ written in the application form, the application will be treated as direct (PAN)/PAN Exempt KYC Reference Number (PEKRN) at the First/ Sole Applicant/
application. Plans/Options exercised at the time of application may be changed Guardian level. If the PAN/PEKRN details are available, then the First / Sole
by the investor at a later date by way of a communication to the Registrar of the Applicant / Guardian will be treated as existing investor (i.e. Rs. 100 will be
Scheme. Such changes would be elective from a prospective date. deducted as Transaction Charge) else the declaration in the application form will
(12) Nomination Facility : be considered (i.e. Rs. 150 for first time investors or Rs. 100 for other than first
i. Nomination is mandatory for new folios/accounts opened by individual especially time investors will be deducted as Transaction Charge, as applicable). However,
with sole holding. As per SEBI Circular no. SEBI/HO/IMD/IMD-II if an investor has not provided any declaration, he will be considered as an
DOF3/P/CIR/2022/82 dated June 15, 2022 read with circular no. “existing” investor.
SEBI/HO/IMD/IMD-I DOF1/P/CIR/2022/105 dated July 29, investors subscribing
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CHECKLIST (Please submit the following documents with your application (where applicable). All documents should be original/true copies certified by a Director/Trustee/
CompanySecretary /Authorized signatory / Notary Public/AMC or R&T Officials)

Individual Companies Societies Partnership Investment Trusts NRI FIIs PIO

Documents
(RI) Firm through POA
Copy of the PAN Card         
Copy of Aadhaar / Enrollment Letter      
Copy of the KYC acknowledgement         
Resolution/Authorization to invest   
List of authorised signatories with specimen signatures     
Trust Deed 
Bye-laws 
Partnership Deed 
Overseas Auditor Certificate and SEBI registration 
Notarised POA 
Proof of Address 
PIO Card 
Foreign Inward Remittance Certificate 

(10)
Shriram Multi Asset Allocation Fund
An open ended scheme investing in Equity, Debt & Money Market Securities and Mutual Fund
Gold/Silver ETFs and related instruments
NURTURING TRUST, SHAPING DREAMS
ASBA Application Form (Application Supported by Blocked Amount) To be submitted to Sell Certified Syndicate Bank [SCSB]
Broker Name (ARN) Sub Broker Code / ARN SCSB Stamp / Code / Sr. No. Application No.

1. APPLICANT(S) INFORMATION (Existing Unit Holder - Please FiII Folio Number and Name)

Folio No. Name of 1st Unit Holder

NAME OF 1st / SOLE APPLICANT / CORPORATE INVESTOR / MINOR DATE OF BIRTH (Mandatory in case of Minor)
Mr. / Ms. / M/s.
Contact Name (In case of Corporate investor) Designation
NAME OF 2nd APPLICANT Mr. / Ms. / M/s.
NAME OF 3rd APPLICANT Mr. / Ms. / M/s.
NAME OF THE GUARDIAN (In case 1st Applicant is a Minor) / NAME OF POA HOLDER Relationship with Minor Please ()
Mr. / Ms. / M/s. Mother  Father  Legal Guardian 

2. PAN DETAILS 3. DEPOSITORY PARTICIPANT (DP) DETAILS

1st / Sole Applicant @ # National Securities Depository Limited (NSDL)

DP ID I N Beneficiary A/C No.
2nd Applicant
# Central Depository Services (India) Limited (CDSL)
3rd Applicant DP ID

Guardian/POA Holder Beneficiary A/C No.

@ If the 1st / sole applicant is a Minor then please provide details of Natural / Legal Guardian. # Please ensure that the sequence of names as mentioned under section 1 above, matches with DP Details.

4. INVESTMENT DETAILS - (Please () Plan / Option you wish to invest - Growth or Divident (Div.)
Plan : Regular * Direct Option : Growth
* Default Plan

5. SCSB ACCOUNT DETAILS - Attn : NRI Investors : Payment should be made through NRE Accounts only
Name of the Bank
Core Banking A/c No. A/c. Type Please () NRE  CURRENT  SAVINGS  NRO 
Branch Name Address
Bank Branch City State
Amount to be blocked ( ) In Words
Undertaking by ASBA Investor & A/c Holder, Declaration & Signature(s) : 1. I/We hereby Undertake that, I/we have read and understood the instructions contained in
this Form and Terms and Conditions concerning ASBA as contained in the Scheme Information Document (SID) / Key Information Memorandum (KIM) of the above
mentioned Scheme and Statement of Additional Information (SAI) of Shriram Mutual Fund. Further, I/we understand that if the details as provided by me/us in this Form
are different from those in the NFO Application Form, then in such a case, the information as provided by me/us herein will be relied upon. 1.A. I/we further confirm and
undertake that I am/we are eligible ASBA applicant(s) as per the relevant provisions of the SEBI (Issue of Capital and Disclosure Requirement) Regulations, 2009. 2. In
accordance with provisions of ASBA in the SEBI ICDR Regulations, 2009 and as disclosed in the SAI. I/We authorize - (a) the SCSB to do all acts as are necessary to
make an application in the New Fund Offer of above mentioned Scheme, including uploading of application details, blocking the amount to the extent mentioned above
under “SCSB BANK ACCOUNT DETAILS” or unblocking of funds in the bank account maintained with the SCSB specified above, transfer of funds of the Shriram Mutual
Funds account on receipt of instructions from the Registrar to Shriram Mutual Fund after finalisation of the basis of allotment, entitling me/us to receive mutual fund units
on such transfer of funds, etc. (b) Registrar to issue instructions to the SCSB to unlock the funds in the bank account specified above upon finalisation of the basis of
allotment and to transfer the requisite money to the Shriram Mutual Fund’s account. 3. In case the amount available in the bank account specified above is insufficient, the
SCSB shall reject the application. Further, I/We also authorize the SCSB to make relevant revisions as may be required to be done during the NFO. In the event of any
modification due to any information required. 4. If the DP ID, Beneficiary or PAN is not provided by me/us or the details on the same as furnished in the form are incorrect
or incomplete or not matching with the depository records, my/our application shall be rejected and Shriram Mutual Fund or SCSB shall not be liable for losses, if any.

Signature of 1st Applicant / Guardian / Signature of 2nd Applicant / Guardian / Signature of 3rd Applicant / Guardian /
Auth. Signatory / POA / Karta Auth. Signatory / POA / Karta Auth. Signatory / POA / Karta
(AS IN BANK RECORDS) (AS IN BANK RECORDS) (AS IN BANK RECORDS)

ACKNOWLEDGEMENT SLIP (To be filled and attached by the Applicant with the Application Form)

Shriram Multi Asset Allocation Fund

An open ended scheme investing in Equity, Debt & Money Market Securities and
Gold/Silver ETFs and related instruments Mutual Fund
NURTURING TRUST, SHAPING DREAMS

App No -
Received from___________________________________________(sole / 1st applicant ASBA Application Form details of which are as follows :

Application No. Amount Blocked ( )

SCSB (Bank and Branch) Bank Account No.
Date of Submission

“In case there is any change in your KYC information please update the same by using the prescribed ‘KYC Change Request Form’ and submit the same at the Point of Service
of any KYC Registration Agency”
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 GENERAL INSTRUCTIONS FOR INVESTORS
ASBA is an application containing an authorization given by the Investor to block the application/money in his specified bank account towards the subscription
of Units offered during the NFO of the Schemes. On intimation of allotment by CAMS (R&T Agent) to the banker the investors account shall be debited to the
extent of the amount due thereon. On allotment, units will be credited to the Investor's demat account as specified in the ASBA application form.
Background : In its continuing endeavour to make the existing public issue process more efficient SEBI introduced a supplementary process of applying in public issues, viz:
the "Applications Supported by Blocked Amount (ASBA)" process. Accordingly, Securities and Exchange Board of India (Issue of Capital and DisclosureRequirements)
Regulations, 2009, as amended have been amended for ASBA process. The salient features of circular no. SEBI/CFD/DIL/ ASBA/1/2009/30/12 datedDecember 30, 2009
available on SEBI website for "Additional mode of payment through Applications Supported by Blocked Amount (hereinafter referred to as"ASBA") are mentioned below for
understanding the ASBA process :
1. SCSB means Self Certified Syndicate Bank registered with the SEBI, which offers the facility of ASBA. The current list of SCSBs as available on SEBI website is
as follows :
1. Ahmedabad Mercantile Co-Op Bank Ltd. 2. AU Small Finance Bank Limited 3. Axis Bank Ltd. 4. Bandhan Bank 5. Bank of Baroda 6. Bank of India 7. Bank of
Maharashtra 8. Barclays Bank PLC 9. BNP Paribas 10. Canara Bank 11. Catholic Syrian Bank Limited 12. Central Bank of India 13. CITI Bank NA 14. City Union Bank
Ltd. 15. DBS Bank Ltd. 16. DCB Bank Ltd. 17. Deutsche Bank 18. Dhanlaxmi Bank Limited 19. Equitas Small Finance Bank 20. GP Parsik Sahakari Bank Limited 21.
HDFC Bank Ltd. 22. HSBC Ltd. 23. ICICI Bank Ltd. 24. IDBI Bank Ltd. 25. IDFC FIRST Bank 26. Indian Bank 27. Indian Overseas Bank 28. IndusInd Bank 29. J P
Morgan Chase Bank, N.A. 30. Jammu &amp; Kashmir Bank 31. Janata Sahakari Bank Ltd. 32. Karnataka Bank Ltd. 33. Karur Vysya Bank Ltd. 34. Kotak Mahindra Bank
Ltd. 35. Mehsana Urban Co-operative Bank Limited 36. Nutan Nagarik Sahakari Bank Ltd. 37.Punjab &amp; Sind Bank 38. Punjab National Bank 39. Rajkot Nagarik
Sahakari Bank Ltd. 40. RBL Bank Limited 41. South Indian Bank 42. Standard Chartered Bank 43. State Bank of Bikaner and Jaipur 44. State Bank of Hyderabad 45.
State Bank of India 46. State Bank of Mysore 47. State Bank of Patiala 48. State Bank of Travencore 49. SVC Co-operative Bank Limited 50. Syndicate Bank 51.
Tamilnad Mercantile Bank Ltd. 52.The Ahmedabad Mercantile Co-Op. Bank Ltd. 53. The Federal Bank. 54. The Jammu &amp; Kashmir Bank Limited. 55. The Kalupur
Commercial Co-operative Bank Ltd. 56. The Lakshmi Vilas Bank Ltd 57. The Saraswat Co-Opearative Bank Ltd. 58. The Surat Peoples Coop Bank Ltd. 59. TJSB
Sahakari Bank Ltd 60. UCO Bank 61. Union Bank of India 62.YES Bank Ltd.
For the complete list of controlling/designated branches of above mentioned SCSBs, please refer to websites - www.sebi.gov.in, www.bseindia.com and www.nseindia.com
2. Eligible investors for ASBA maintaining their account in any of the above SCSBs may use ASBA facility subject to fulfilling all the terms and conditions stipulated in this
regard. An investor shall be eligible to apply through ASBA process, if he/she : (i) is a "Resident Retail Individual Investor, Non Institutional Investor, QIBs, Eligible NRIs
applying on non-repatriation basis, Eligible NRIs applying on repatriation basis i.e. any investor, (ii) is applying through blocking of funds in a bank account with the
SCSB; Such investors are hereinafter referred as "ASBA Investors".
3. ASBA Facility in Brief : Investor shall submit his Bid through an ASBA cum Application Form, either in physical or electronic mode, to the SCSB with whom the bank
account of the ASBA Investor or bank account utilised by the ASBA Investor ("ASBA Account") is maintained. The SCSB shall block an amount equal to the NFO
application Amount in the bank account specified in the ASBA cum Application Form, physical or electronic, on the basis of an authorisation to this effect given by the
account holder at the time of submitting theApplication. The Bid Amount shall remain blocked in the aforesaid ASBA Account until the Allotment in the New fund Offer and
consequent transfer of the Application Amount against the allocated Units to the Issuer's account designated for this purpose, or until withdrawal/failure of the Offer or
until withdrawal/rejection of the ASBA Application, as the case may be. The ASBA data shall thereafter be uploaded by the SCSB in the electronic IPO system of the
Stock Exchanges. Once the Allotment is finalised, the R&TA to the NFO shall send an appropriate request to the Controlling Branch of the SCSB for unblocking the
relevant bank accounts and for transferring the amount allocable to the successful ASBA Bidders to the AMC account designated for this purpose. In case of
withdrawal/Rejection of the Offer, the R&TA to the Offer shall notify the SCSBs to unblock the blocked amount of the ASBA Bidders within one day from the day of receipt
of such notification.
4. Mechanism for Redressal of Investor Grievances under ASBA Facility - All grievances relating to the ASBA facility may be addressed to the respective SCSBs,
giving full details such as name, address of the applicant, number of Units applied for, counterfoil or the application reference given by the SCSBs, DBs or CBs, amount
paid on application and the Designated Branch or the collection centre of the SCSB where the Application Form was submitted by the ASBA Investor.
Other Information for ASBA Investors :
1. SCSB shall not accept any ASBA after the closing time of acceptance on the last day of the NFO period.
2. SCSB shall give ASBA investors an acknowledgment for the receipt of ASBAs.
3. SCSB shall not upload any ASBA in the electronic system of the Stock Exchange(s) unless (i) it has received the ASBA in a physical or electronic form; and (ii) it has
blocked the application money in the bank account specified in the ASBA or has systems to ensure that Electronic ASBAs are accepted in the system only after
blocking of application money in the elevant bank account opened with it.
4. SCSB shall ensure that complaints of ASBA investors arising out of errors or delay in capturing of data, blocking or unblocking of bank accounts, etc. are satisfactorily
redressed.
5. SCSB shall be liable for all its omissions and commissions in discharging responsibilities in the ASBA process.
6. R&TA to the NFO shall act as a nodal agency for redressing complaints of ASBA and non-ASBA investors, including providing guidance to ASBA investors regarding
approaching the SCSB concerned.
Grounds for rejection of ASBA applications
ASBA application forms can be rejected by the AMC/Registrar/ SCSBs, on the following technical grounds :
1. Applications by persons not competent to contract under the Indian Contract Act, 1872, including but not limited to minors, insane persons etc.
2. Mode of ASBA i.e. either Physical ASBA or Electronic ASBA, not selected or ticked.
3. ASBA Application Form without the stamp of the SCSB.
4. Application by any person outside India if not in compliance with applicable foreign and Indian laws.
5. Bank account details not given/incorrect details given.
6. Duly certified Power of Attorney, if applicable, not submitted alongwith the ASBA application form.
7. No corresponding records available with the Depositories matching the parameters namely (a) Names of the ASBA applicants (including the order of names of joint
holders) (b) DPID (c) Beneficiary account-number or any other relevant details pertaining to the Depository Account.
8. Insufficient funds in the investor's account
9. Application accepted by SCSB and not uploaded on/with the Exchange / Registrar

Shriram Asset Management Co. Ltd.

For more information visit us at Registered Office :
www.shriramamc.in 217, 2nd Floor, Swastik Chambers,
Near Junction of S.T. & C.S.T. Road,
Chembur, Mumbai - 400 071, India
Admin. Head Office :
511-512, Meadows, Sahar Plaza, J. B. Nagar
E-mail us at [email protected] Andheri (East), Mumbai - 400 059
Phone: (022) 6947 3400

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 SIP / MICRO SIP TERMS & CONDITIONS FOR ECS (DIRECT CLEARING) / DIRECT DEBIT FACILITY / STANDING INSTRUCTION
The form can be used by investors who wish to enroll for SIP or Micro SIP (PAN 5. The facility is offered to investors the following two Plans (Frequency) :
exempt investments) facility. However, Investors shall submit separate forms in case i) Monthly Systematic Investment Plan (MSIP)
they wish to enroll for both SIP and Micro SIP facility.
ii) Quarterly Systematic Investment Plan (QSIP)
Micro Systematic Investment Plans (Micro SIPs) where aggregate of investments
(Lump sum plus SIP) in a rolling 12 month period or in a financial year i.e. April to 6. (i) The details of minimum amount per installment, minimum number of installments,
March do not exceed Rs. 50,000 shall be exempt from the requirement of PAN. maximum duration etc. are given below :
However, such investors shall be required to quote PAN Exempt KYC Reference SHRIRAM MULTI ASSET ALLOCATION FUND :
Number (PEKRN) details of which are given in PAN Exempt Investments in point no. Monthly SIP (MSIP) Rs. 1000.00 and multiple of
14 below. Minimum amount per SIP installment Re. 1/- thereafter
1. SIP (includes reference to Micro SIP) is available to investors in the following Quarterly SIP (QSIP) Rs. 3000.00 and multiple of
Scheme(s) (including Direct Plan thereunder) of SHRIRAM MUTUAL FUND : Minimum amount per SIP installment Re. 1/- thereafter
SHRIRAM MULTI ASSET ALLOCATION FUND.
No. of SIP Installments :
The above list is subject to change from time to time. Please contact the nearest a) Minimum
Investor Service Centre (ISC) of SHRIRAM Mutual Fund for updated list. Monthly 12 installments
2. Enrolment Form should be completed in English and in Block Letters only. Please Quarterly 4 installments
tick () in the appropriate box () , where boxes have been provided. Enrolment b) Maximum No Limit
Form complete in all respects, should be submitted at any of the Official Points of (ii) There is no maximum duration for enrolment.
Acceptance of SHRIRAM Mutual Fund.
An investor has an option to choose the “End Date” of the SIP by filling the
In case SIP/ Micro SIP investments are made through “Third Party Payments” i.e. date.
payment made through an instrument issued from a bank account other than that
of the first named applicant/ investor mentioned in the application form, Investors However, SIPs will be registered in a folio held by a minor only till the date of
are required to additionally fillup “submit the” Third Party Payment Declaration the minor attaining majority, even though the instructions may be for a period
Form. (available at any of our ISCs or on our website www.shriramamc.in) along beyond that date. The facility will automatically stand terminated upon the Unit
with the SIP Enrolment Form. Holder attaining 18 years of age.

3. a. Investment through Distributors (iii) In respect of enrollments, the Load Structure prevalent at the time of enrollment
shall govern the investors during the tenure.
Agents / distributors are not entitled to sell units of mutual funds unless they
are registered with Association of Mutual Funds in India (AMFI). Further, SEBI The Load Structure for investments through SIP is as follows :
has made it compulsory for every employee/relationship manager/ sales person (a) Entry Load : Not Applicable. The upfront commission on investment made
of the distributor of mutual fund products to quote the Employee Unique by the investor, if any, shall be paid to the ARN Holder (AMFI registered
Identification Number (EUIN) obtained by him/her from AMFI in the Application Distributor) directly by the investor, based on the investor’s assessment of
Form. EUIN, particularly in advisory transactions, would assist in addressing various factors including service rendered by the ARN Holder.
any instance of mis-selling even if the employee/relationship manager/sales (b) Exit Load : Applicable Exit Load, if any, in the Scheme/Plan/Option as on
person later leaves the employment of the distributor. Hence, if your investments the date of enrollment of the SIP will be levied.
are routed through a distributor, please ensure that the EUIN is correctly filled
For Scheme load structure please refer to Key Information Memorandum
up in the Application Form.
or contact the nearest Investor Service Centre (ISC) of SHRIRAM Mutual
However, if your distributor has not given you any advice pertaining to the Fund or visit our website www.shriramamc.in.
investment, the EUIN box may be left blank. In this case, you are required to
(iv) In case the Frequency (Monthly/Quarterly) and date is not indicated, Monthly
provide a duly signed declaration to this effect, as given in the Form.
frequency shall be treated as the Default Frequency and 15th shall be treated
These requirements do not apply to Overseas Distributors. as the Default date.
New cadre distributors: SEBI has introduced a new cadre of distributors who 7. All installments are available on the 1st, 5th, 15th, 20th, 25th or any otherday (as
can sell only „simple and performing. diversified equity schemes, index funds specified) of a month. All installments under MSIP and QSIP should be of the same
and fixed maturity plans. There is a prex of “SD” before the ARN number of amount and same date. For example, if an investor is enrolling for the period July-
such distributors. They also hold a EUIN which must be quoted in the application December for total amount of Rs. 30,000/-, there shall be a minimum of six
form. The list of eligible schemes which may be sold by such distributors is installments (except for first cheque which could be of any date) and same amount.
available on www.shriramamc.in. In case your application through such The first cheque should be drawn on the same bank account which is to be
distributor is not for an eligible scheme, it is liable to be rejected. registered for NACH/ECS (Debit Clearing)/Direct Debit/Standing Instruction.
Direct Investments Alternatively, the cheque may be drawn on any bank, but investor should provide
Investors applying under Direct Plan must mention “Direct” in ARN column. In a photocopy of the cheque of the bank/ branch for which ECS (Debit Clearing)/Direct
case Distributor code is mentioned in the application form, but “Direct Plan” is Debit/Standing Instruction are to be registered. However, investors need not submit
indicated against the Scheme name, the Distributor code will be ignored and the First Cheque for enrollment provided the Enrolment Form is attested by the
the application will be processed under Direct Plan. Bank from which installment will be debited or copy of the cancelled cheque or
photocopy of the cheque of bank account from which the installment will be debited
b. Investor holding folio of SHRIRAM Mutual Fund are required to submit only is attached to the form.
the Enrolment Form. Investor should provide their Folio Number. Investors .
details and mode of holding (single, joint, anyone or survivor) will be as per a. First Cheque and subsequent Installments via NACH/ECS (Debit Clearing)/Direct
the existing folio number and would prevail over any conflicting information Debit/Standing Instruction should be of the same amount.
furnished in this form. Investor name should match with the details in the b. The Enrolment Form should be submitted at least 30 days before the first date
existing folio number, failing which the application form is liable to be rejected. for NACH/ECS (Debit Clearing)/ Direct Debit / Standing Instruction.
c. Signature(s) should be as it appears on the Application Form / Folio and in If the start period is not mentioned, the chosen/Default date falling 30 days
the same order. In case the mode of holding is joint, all unit holders are required from submission date will be considered as the start date and will be registered
to sign. from that date (eg. If the application is submitted on June 1 without indicating
4. a. New investors who wish to enroll are required to fill the the start period then the SIP start date would be July 1).

(i) NACH Form (ii) Enrolment Form (iii) the respective Scheme Application In case the auto debit start date as mentioned in the form does not satisfy this
Form (included in the Key Information Memorandum) along with / without condition, the first date shall be rolled over to begin from the immediately
the initial investment instrument. Investors are advised to read the Scheme following month (provided the roll over date does not exceed the maximum
Information Document(s) / Key Information Memorandum(s) and Statement time gap of 90 days between the SIP submission date and first installment of
of Additional information available with the ISCs of SHRIRAM Mutual Fund, SIP through NACH/ECS (Debit Clearing) or Direct Debit / Standing Instruction)
brokers/ distributors and also displayed at the SHRIRAM Mutual Fund and the end date shall accordingly get extended.
website i.e. www.shriramamc.in c. Payment may be made by cheque drawn on any bank which is situated at
b. New investors can apply for SIP into respective Scheme/ Plans/ Options and is a member of the “Bankers” Clearing House located at the place where
without any existing investment / folio. The provision for “Minimum Application the SIP application is submitted. No cash, money orders or postal orders will
Amount” specified in the respective Scheme Information Document will not be be accepted.
applicable for SIP investments. e.g. the minimum application amount for new d. In case, the name is not pre-printed on the cheque or signature on the cheque
investors. does not match, then the first named applicant/investor should submit any
In SHRIRAM MULTI ASSET ALLOCATION FUND - Growth Option is Rs. one of the following documents i.e. a copy of the bank passbook or a statement
5,000/. However, in case of SIP investments, an investor can enter the Scheme of bank account or a letter from the bank on its letterhead certifying the investors
with minimum amount of Rs. 1,000/-. bank account details (Account Number, Type, Branch, MICR Code). For other

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 mode of payment and further details, please refer to the section “Third Party demat details mentioned in the application are incomplete/incorrect or do not
Payments” under the Instructions in the Key Information Memorandum and match with the depository data, the application shall be treated as invalid for
section .How to Apply. under Statement of Additional Information available on processing under demat mode and therefore may be considered for processing
our website www.shriramamc.in. in non-demat form i.e. in physical mode if the application is otherwise valid.
e. SIP Top-up Facility : All details such as address, bank details, nomination etc. will be applicable as
SIP Top-up Facility is not available under Micro SIPs available in the depositories. records. For effecting any subsequent changes to
1. SIP Top-up is a facility wherein an investor who wishes to enroll for SIP, such information, Investors should approach their DP. Redemption requests for
has an option to increase the amount of the SIP installment by a fixed units held in demat mode must be submitted to DP or through Stock Exchange
amount at pre-defined intervals. The SIP Top-up amount should be filled Platform, as applicable.
in the SIP Enrolment Form itself. Holding / transacting of units held in demat mode shall be in accordance with the
2. The SIP Top-up amount should be in multiples of Rs. 500/- only. procedures / requirements laid down by the Depositories, viz. NSDL/ CDSL in
accordance with the provisions under the Depositories Act, 1996 and the regulations
3. Monthly SIP offers top-up frequency at half yearly and yearly intervals.
thereunder.
Quarterly SIP offers top-up frequency at yearly intervals only. In case the
top-up frequency is not indicated under Monthly SIP, it will be considered 11. You can choose to change your bank account or discontinue the facility by giving
as yearly interval. thirty days written notice to any of our Investor Service Centers. For cancellation
f. (i) Payment through Electronic Clearing Service NACH (ECS) (Debit Clearing) request, please mention the start date as mentioned at the time of registration.
of the Reserve Bank of India (RBI) - Investors / Unit holders may also enroll 12. AMC reserves the right to freeze the folio of the investor(s) in cases where two
for Auto Debit facility through NACH/ECS (Debit Clearing) of the RBI. consecutive installments are not honored or the Bank Account [for NACH/ECS
List of Cities for Auto Debit Facility via NACH/ECS (Debit Clearing) should (Debit clearing)/Direct Debit/Standing Instruction] is closed and request for change
conform to the NACH/ECS Debit locations approved by RBI. The same is in bank account [for NACH/ECS (Debit clearing) / Direct Debit/Standing Instruction]
available on www.rbi.org.in and on our website www.shriramamc.in is not submitted at least 30 days before the next SIP Auto Debit.
This facility is offered only to the investors having bank accounts in select 13. In case the first SIP installment is processed (as the cheque may be banked) and
cities. the application is found to be defective, the SIP registration will be ceased for
future installments. Investor will be sent a communication to this effect. No refunds
The bank account provided for NACH/ECS (Debit) should participate in
shall be made for the units already allotted. However, redemptions/ switch-outs
local MICR clearing.
shall be allowed.
Auto debit facility is available only on specific dates of the month as under:
14. Permanent Account Number (PAN)
The investor agrees to abide by the terms and conditions of NACH/ECS
facility of RBI. (a) SEBI has made it mandatory for all applicants (in the case of application in
joint names, each of the applicants) to mention his/her permanent account
(ii) Payment through Direct Debit Facility
number (PAN) except as mentioned in point (b) below. Where the applicant is
Investors / Unit holders may enroll for Direct Debit Facility available with a minor, and does not possess his / her own PAN, he / she shall quote the
the banks / branches with whom Shriram Mutual Fund may have an PAN of his/ her father or mother or the guardian, as the case may be.
arrangement from time to time. Applications not complying with the above requirement may not be accepted/
This facility shall be offered only to the investors having bank accounts in processed. PAN card copy is not required separately if KYC acknowledgement
select banks/ branches eligible for this facility. letter is made available.
This facility shall be available on all SIP dates of a month / quarter once it For further details, please refer Section “Permanent Account Number” under
is rolled out by the Mutual Fund. Statement of Additional Information available on our website www.shriramamc.in.
(iii) Payment through Standing Instruction (b) PAN Exempt Investments
Payment may also be accepted by direct debits to unit holders' bank SEBI vide its circular dated July 24, 2012 has clarified that investments in
accounts. For this purpose, unit holders are required to give standing mutual funds schemes (including investments in SIPs) of upto Rs.50,000 per
instructions to their bankers (with whom SHRIRAM Mutual Fund may have investor per year across all schemes of the Fund shall be exempt from the
an arrangement from time to time) to debit their bank accounts at periodic requirement of PAN. Accordingly, individuals (including Joint Holders who are
intervals and credit the subscription proceeds to the SHRIRAM Mutual individuals, NRIs but not PIOs, Minors) and Sole proprietary firms who do not
Fund bank account. possess a PAN ("Eligible Investors")* are exempt from submission of PAN for
The cities / banks / branches in the list may be modified/updated/changed/ investments upto Rs.50,000 in a rolling 12 month period or in a financial year
removed at any time in future entirely at the discretion of SHRIRAM Mutual i.e. April to March. However, Eligible Investors are required to undergo Know
Fund / SHRIRAM Asset Management Company Limited without assigning Your Customer (KYC) procedure with any of the SEBI registered KYC
any reasons or prior notice. If any city / bank / branch are removed, SIP Registration Authorities (KRA). Eligible Investors must quote PAN Exempt KYC
instructions for investors in such city / bank / branch via NACH/ECS (Debit Reference Number (PEKRN) issued by the KRA under the KYC acknowledgement
Clearing) / Direct Debit / Standing Instruction route will be discontinued letter in the application form and submit a copy thereof along with the application
without prior notice. Please contact the nearest Investor Service Centre of form. In case the applicant is a minor, PAN /PEKRN details of the Guardian
SHRIRAM Mutual Fund for updated list shall be submitted, as applicable. Eligible Investors (i.e. the First Holder) must
8. Units will be allotted on the applicable dates subject to realization of funds where not possess a PAN at the time of submission of application form. Eligible
total SIP investments on a date amount to Rs. 2 lakh or more. In case date falls investors must hold only one PEKRN issued by any one of the KRAs.
on the Non-Business Day or falls during a book closure period, the immediate If an application for investment together within investments made in a rolling
next Business Day will be considered for the purpose of determining the applicability 12 month period or in a financial year exceeds Rs.50,000, such an application
of NAV subject to the realization of the proceeds will be rejected.
9. The first cheque should be drawn in favor of “the Specific Scheme A/c Permanent Fresh / Additional Purchase and Systematic Investment Plans will be covered
Account Number” or “the Specific Scheme A/c First Investor Name” (e.g. in case in the limit of Rs.50,000. Investors may switch their investments to other
of SBF the cheque should be drawn in favor of “SHRIRAM MULTI ASSET Schemes. However, if the amount per switch transaction is Rs.50,000 or more,
ALLOCATION FUND A/c ABCDE1234F” OR “SHRIRAM MULTI ASSET in accordance with the extant Income Tax rules, investors will be required to
ALLOCATION FUND A/c Robin Saha”; and crossed “Account Payee only”. Unit furnish a copy of PAN to the Mutual Fund.
holders must write the SIP Enrolment Form number, if any, on the reverse of the
cheque. The detailed procedures / requirements for accepting applications shall be as
specified by the AMC/Trustee from time to time and their decision in this behalf
10. Investors have an option to hold the Units in dematerialized form. However, this
will be final and binding.
facility is not available in case of units offered under the Daily/Weekly/Fortnightly
IDCW Option(s).The units will be allotted in demat form based on the applicable * HUFs and other categories are not eligible for such
NAV as per the terms of the respective Scheme Information Document(s) and will 15. Know Your Customer (KYC) Compliance
be credited to investor’s Demat Account on weekly basis on realization of funds.
Units held in account statement (non-demat) form
For e.g. Units will be credited to investor’s Demat account every Monday on the
basis of realization status received during the last week (Monday to Friday). Investors should note that it is mandatory for all registrations to quote the KYC
Compliance Status of each applicant (guardian in case of minor) in the application
Investors desiring to get allotment of units in demat mode must have a beneficiary
and attach proof of KYC Compliance viz. KYC Acknowledgement Letter.
account with a Depository Participant (DP) of the Depositories i.e. National
Securities Depositories Limited (NSDL) / Central Depository Services Limited Units held in electronic (demat) form
(CDSL). If PAN is not mentioned by applicants, the application is liable to be For units held in demat form, the KYC performed by the Depository Participant of
rejected. Investors may attach a copy of the Client Master Form / DP statement the applicants will be considered as KYC verification done by the Trustee / AMC.
showing active demat account details for verification. Names, mode of holding,
For further details, please refer Section. Know Your Customer (KYC) Compliance
PAN details, etc. of the Investor will be verified against the Depository data. The
under Statement of Additional Information available on our website
units will be credited to the beneficiary (demat) account only after successful
www.shriramamc.in.
verification with the depository records and realization of payment. In case the

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16. Transaction Charges First/Sole Applicant/Guardian should indicate whether he is a first time investor across
In accordance with SEBI circular No. Cir/ IMD/ DF/13/ 2011 dated August 22, 2011, Mutual Funds or an existing investor in the appropriate box provided for this purpose
as amended from time to time SHRIRAM Asset Management Company Limited in the application form. SHRIRAM AMC/Fund will endeavor to identify the investor as
(”the AMC”)/Mutual Fund will deduct Transaction Charges from the purchase/ “first time” or “existing” based on the Permanent Account Number (PAN)/ PEKRN at
subscription amount received from the investors investing through a valid ARN the First/Sole/Applicant/Guardian level. If the PAN/PEKRN details are available, then
Holder i.e. AMFI registered Distributor (provided the Distributor has opted-in to the First/Sole Applicant/Guardian will be treated as existing investor (i.e. Rs. 100/-
receive the Transaction Charges). The Distributor may opt to receive Transaction will be deducted as Transaction Charge) else the declaration in the application form
Charges based on the type of product Transaction Charge of Rs. 150/- (for a first will be considered (i.e. Rs. 150/- for rst time investors or Rs. 100/- for other than first
time investor across mutual funds) or Rs. 100/- (for investor other than : first time time investors will be deducted as Transaction Charge, as applicable). However, if an
mutual fund investor) per purchase / subscription of Rs. 10,000/- and above will investor has not provided any declaration, he will be considered as an “existing”
be deducted from the purchase / subscription amount and paid to the Distributor. investor.
The balance amount shall be invested. 17. a. Investors will not hold SHRIRAM Mutual Fund / SHRIRAM Asset Management
Transaction Charges in case of investments through SIP/Micro SIP Transaction Company Limited (SHRIRAM AMC) its registrars and other service providers
Charges are deductible only if the total commitment of investment (i.e. amount responsible and/or liable if the transaction is delayed or not effected or the
per SIP/Micro SIP installment x No. of installments) amounts to Rs. 10,000/-or investor bank account is debited in advance or after the specific SIP date due
more. In such cases, Transaction Charges shall be deducted in 3-4 installments. to local holidays or any other reason.

Transaction Charges shall not be deducted for : b. SHRIRAM Mutual Fund / SHRIRAM AMC, its registrars and other service
providers shall not be responsible and liable for any damages/compensation
(a) where the Distributor of the investor has not opted to receive any Transaction
for any loss, damage etc. incurred by the investor. The investor assumes the
Charges for your Scheme type
entire risk of using this facility and takes full responsibility.
(b) for purchases / subscriptions / total commitment amount in case of SIP of an
c. SHRIRAM Mutual Fund / SHRIRAM AMC reserves the right to reject any
amount less than Rs. 10000.
application without assigning any reason
(c) for transactions other than purchases / subscriptions relating to new inflows
d. Auto Debit facility is subject to the terms and conditions of the Banks offering
i.e. through Switches / Systematic Transfers / IDCW Transfers / IDCW
the said facility and the Investors will not hold SHRIRAM Mutual Fund /
Reinvestment, etc.;
SHRIRAM AMC responsible for any rejection.
(d) for purchases / subscriptions made directly with the Fund (i.e. not through
18. The Trustee/SHRIRAM AMC reserves the right to change/modify the terms and
any Distributor); and
conditions of the SIP. For the updated terms and conditions of SIP, contact the
(e) for purchases / subscriptions routed through Stock Exchange (s) nearest ISC or visit our website www.shriramamc.in.

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 Enrolment Form for SIP / Micro SIP
[For OTM registered investors only] Mutual Fund
(Please read terms & conditions overleaf)
NURTURING TRUST, SHAPING DREAMS
Important : Please strike out the Section(s) that is/are not used by you to avoid any unauthorised use
Enrolment Form no. : S/
SIP/ Micro SIP via ECS/NACH (Debit Clearing) in select cities or via Direct Debit/Standing Instruction in select banks / branches only.
KEY PARTNER / AGENT INFORMATION (Investors applying under Direct Plan must mention “Direct” in ARN column.) FOR OFFICE USE ONLY (TIME STAMP)
ARN ARN Name Sub-Broker ARN / Internal Code Employee Unique
Bank Branch Code for Sub-Agent/ Identication Number
Employee (EUIN)

ARN-
Declaration for "execution-only" transaction (only where EUIN box is left blank) (Refer Item No. 3a)
I / We hereby conrm 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.

Sign Here
____________________________________________ Sign Here
____________________________________________ Sign Here
____________________________________________
First/Sole Applicant/Guardian Second Applicant Third Applicant
Transaction Charges for Applications through Distributors only (Refer Item No. 16 and please tick () any one) Date
 I confirm that I am a First time invest or across Mutual Funds.  I confirm that I am an existing investor in Mutual Funds.
(Rs. 150 deductible as Transaction Charge and payable to the Distributor) (Rs. 100 deductible as Transaction Charge and payable to the Distributor)
If the total commitment of investment through SIP (i.e. amount per SIP installment X no. of installments) amounts to Rs.10,000 or more and your Distributor has opted to
receive transaction Charges, the same are deductible as applicable from the installment amount and payable to the Distributor. In such cases Transaction Charge will be
recoverable in 3-4 installments. Units will be issued against the balance of the installment amounts invested.
Upfront commission shall be paid directly by the investor to the ARN Holder (AMFI registered Distributor) based on the investors’ assessment of various factors including
the service rendered by the ARN Holder.

I/ We have read and understood the contents of the Scheme Information Document(s) and Statement of Additional Information and the terms & conditions of enrolment for
Systematic investment Plan (SIP) and of NACH/ECS (Debit Clearing) / Direct Debit / Standing Instruction facilities and agree to abide by the same. I /We hereby apply to
the Trustee of SHRIRAM Mutual Fund for SIP application under of the following Scheme(s)/ Plan(s) / Option(s) and agree to abide by the terms and conditions of the
same. I/ We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. The ARN holder 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.
Applicable to PEKRN Holders : I, the first / sole holder, also hereby declare that I do not hold a Permanent Account Number and hold only a single PAN Exempt Reference
No. (PEKRN) issued by KYC Registration Authority and that my existing investments together with the current application will not result in aggregate investments exceeding
Rs. 50,000/- in a rolling 12 months period or in a financial year.
Applicable to application under Direct Plan : I/We hereby declare and confirm that I/We have read and understood the Scheme related documents pertaining to the "Direct
Plan" and also conrm that the investments in Scheme through "Direct Plan" is/are made at my own discretion. SHRIRAM Mutual Fund/SHRIRAMAMC/Trustee shall not be
liable for any consequences arising out of such investments.
Please () any one. In the absence of indication of the option the form is liable to be rejected.
NEW REGISTRATION CHANGE IN BANK ACCOUNT CANCELLATION (Refer Item No. 11)
INVESTOR DETAILS

Aplication No. (For New Investor) / Folio No. (For Existing Investor)
SIGNATURE (Refer Item No. 3(c))
Sole/1st Applicant (As per Aadhaar)
PAN# KYC# (Mandatory)  Proof Attached
or [Please tick ()]
PEKRN#
Name of Guardian (As per Aadhaar)
(in case Applicant is minor) 23
PAN# KYC# (Mandatory)  Proof Attached
or [Please tick ()]
PEKRN#
Second Applicant (As per Aadhaar)
PAN# KYC# (Mandatory)  Proof Attached
or [Please tick ()]
PEKRN#
Third Applicant (As per Aadhaar)
PAN# KYC# (Mandatory)  Proof Attached
or [Please tick ()]
PEKRN#
# Please attach Proof. If PAN/PEKRN/KYC is already validated please don’t attach any proof. Refer Item No. 15 and 16.
Scheme
(Investors applying under Direct Plan must mention “Direct” against the Scheme name).
Plan Option
Each SIP/ Micro SIP Amount (Rs.) Frequency * Monthly Quarterly (*Default Frequency) [Refer Item No. 6(iv)]

ACKNOWLEDGEMENT SLIP (To be filled in by the Unit holder)

SHRIRAM MUTUAL FUND Enrolment

Date : Administrative Head Office : Form No. : S/
511-512, Meadows, Sahar Plaza, J. B. Nagar, Andheri (East), Mumbai - 400 059
ISC Stamp & Signature
Received from Mr./Ms./M/s. ‘SIP/Micro SIP’ application for
Scheme / Plan / Option
Total Amount (Rs.) Please Note : All purchases are subject to realisation of cheques
“In case there is any change in your KYC information please update the same by using the prescribed ‘KYC Change Request Form’ and submit the same at the Point of Service
of any KYC Registration Agency”
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SIP/Micro SIP Date 1st 5th *15th 20th 25th Any other day (Please Specify)
[Default : 15th*] [Refer Item No. 6(iv)]

SIP/Micro SIP Period Start From End On** **Please refer Item No. 6(ii) and 7(b)

First SIP/ Micro SIP Transaction via Cheque No. Cheque Dated Amount @ (Rs.)
Mandatory Enclosure (if 1st Installment is not by cheque) Blank cancelled cheque Copy of cheque @ The first cheque amount should
be same as each SIP Amount.
The name of the first / sole applicant must be pre-printed on the cheque.

DEMAT ACCOUNT DETAILS* NSDL CDSL

(Optional - refer instruction 10) DP Name
Investor opting to hold units in demat form may DP ID
provide a copy of the DP statement to match the
demat details as stated in the application form. Beneficiary
Account No.
I/we hereby authorise SHRIRAM Mutual Fund/SHRIRAM Asset Management Company Limited and their authorised service providers, to debit my/our following bank
account by ECS (Debit Clearing) / Direct Debit / Standing Instruction for collection of SIP/ Micro SIP payments.

BANK DETAILS

Bank Name

Branch Name Bank City

Account Number

9 Digit MICR Code (Please enter the 9 digit number that appears after the cheque number)

Account Type (Please ) Savings Current NRO NRE FCNR Others (please specify)______________________________
Account holder Name
as in Bank Account

SIP Top-up (Optional) (Please  to avail this facility) Top-up Amount (Rs.) (The amount should be in multiples of Rs. 500 only)
(Refer Item No. 7e)
SIP Top-up Frequency :  Half-yearly  Yearly (Quarterly SIP offers top-up frequency at yearly intervals only.

I / We hereby confirm and declare as under :

I/ We have read, understood and agree to comply with the terms and conditions of OTM Facility, Scheme related documents of the Scheme and the terms & conditions of
enrolment for Systematic Investment Plan (SIP).
The ARN holder 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.

Applicable to SIP Top-up facility (not available under Micro SIP) :

I/We hereby agree to avail the top-up facility for SIP and authorize my bank to execute the NACH/ECS/Direct Debit/Standing Instruction for a further increase in installment
from my designated account.
Please write SIP Enrolment Form no. / Folio no. on the reverse of the cheque.

1st Account 2nd Account 3rd Account

Holder’s Holder’s Holder’s
Signature Signature Signature
(As in Bank (As in Bank (As in Bank
Records) Records) Records)

For Office Use only (Not to be filled in by Investor)

Recorded on Scheme Code

Recorded by Credit Account Number

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