documents required for transmission process for respective ... · confidential to the recipient 1...

Confidential to the Recipient 1

Documents required for

Transmission process for respective Mutual Funds


Aditya Birla Sun Life Mutual Fund

S. No.

Holding Status

Single Holding (or) Joint Holding on Death of all Unit Holders where

Nominee is available

Single Holding (or) Joint Holding on Death of all Unit Holders where Nominee is not

available

Transmission to Surviving Joint

Holder/s

Transmission to new Karta in case of HUF HUF Dissolution

Documents Required

1 Transmission request letter from the Claimant

2 Original Death Certificate or Notarized copy of Death Certificate (If online Death Certificate is provided then no attestation is required)

3

Copy of KYC acknowledgement and FATCA of the Nominee/Surviving JH [if not already available]/Claimant/new Karta, new HUF UBO (attested by AMC/ARN Distributor/Bank Manager/Notarized Public)

4

Bank proof along with Claimant Name, Account number, IFSC, Signature attested by Banker with Banker official name, Designation, Seal & Signature is required for Nominee/Claimant (JH - If first holder is deceased and the claimant is the second holder with new bank mandate)/new Karta (HUF property should been marked mandatorily)

5 Original or attested copy of the Decree of Dissolution/Court Order for Dissolution of HUF - - - -

6 Request letter from the balance Co-Parceners requesting the change with all their Signatures (or) Indemnity Bond signed by the living family members of the HUF - - - -

7 Original or attested copy of the Legal Heirship issued by the Revenue authorities is required if transmission amount is more than the threshold amount; NOC from all other - - - -


S. No.

Holding Status




available


Holder/s


Documents Required

coparceners on Rs.20/- non judicial stamp paper signed by all other legal heirs is required

8 Original notarized or attested copy of the will – only if available(only for above threshold limit) - Rs.200000/- - - -

9 No Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit) - Rs.200000/- - - -

10

If the Transmission amount is more than threshold amount then the Notarized copy of the Settlement Deed/Notarized copy of the Deed of Partition/Notarized copy of the Court Order

- - - -

11

Indemnity Bond on stamp paper in the prescribed format. (If eStamp is provided for Indemnity Bond then the name of the Claimant must be pre-printed and the annexures will have to be notarized )

- Stamp Paper Value Rs.500/- - Stamp Paper

Value Rs.500/-

Stamp Paper Value Rs.20/- if amount is less

than Rs.2 lakhs/Rs.500/- if amount is more than Rs.2 lakhs

12

Affidavit in a non-judicial stamp paper for the Legal heir/s individually stating that there will be no claimants in the prescribed format. (If eStamp is provided for Affidavit, then the name of the claimant must be pre-printed and the annexures will have to be notarized)

- Stamp Paper Value Rs.100/- - - -

13 If less than the threshold limit, then any appropriate document evidencing relationship of the claimant with the deceased unit holder

14 If the claimant is a minor:


S. No.

Holding Status




available


Holder/s


Documents Required

i) Original attested Copy of the proof of date of birth for the minor

- - - ii) Original attested copy of proof of identity for the guardian - - - iii)

Any appropriate document as evidence for minor-guardian relationship

- - - iv)

Attested copy of proof of identity for Guardian, if the nominee is a major but mentally unsound person

- - - - Note: Joint Holder with Nominee: If only one Joint Holder has a Will and other holder do not have a Will, then the % proportion to the Joint Holder who has a Will, will be done in Testamentary and balance will be in Intestate.

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DSP Black Rock Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Death Certificate notarized or attested by Notary Public/Bank Manager/Gazette Officer (If online Death Certificate is provided then no attestation is required)

3


4

Cancelled original Cheque Leaf or attested copy of the Bank A/c Statement/Passbook/Letter from Bank manager for the proof of Bank Mandate of the Nominee/Claimant/new Karta (If there is no change in bank mandate then this proof is not required for new Karta)/HUF Dissolution (Bank Mandate attested by the bank manager)


6 Request letter from the balance Co-Parceners requesting the change with all their Signatures - - - -

7 Claimant has a Will: Copy of the Will and Probate of the Will where Court's Seal and Signature or Legal Heir - Rs.200000/- - - -


S. No.

Holding Status




available


Holder/s


Documents Required

Certificate or Succession Certificate (only for above threshold limit)

8 Claimant does not have a Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit) - Rs.200000/- - - -

9


- - - -

10



Value Rs.20/- Stamp Paper Value Rs.20/-

11



Value Rs.20/- -




- - - ii) Original attested copy of proof of identity for the guardian - - -


S. No.

Holding Status




available


Holder/s


Documents Required

iii) Any appropriate document as evidence for minor-guardian relationship

- - - iv)



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HDFC Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Death Certificate duly notarized or attested by Gazette Officer or Bank Manager (If online Death Certificate is provided then no attestation is required)

3


4

Cancelled original Cheque Leaf or attested copy of the Bank A/c Statement/Passbook/Letter from Bank manager for the proof of Bank Mandate of the Nominee/Claimant/new Karta ( Bank Mandate and Signature attested by the bank manager)/HUF dissolution (Bank Mandate attested by the bank manager)

5 Original or attested copy of the Decree of Dissolution/Court Order for Dissolution of HUF & Change in Karta - - - -


7 Original or attested copy of the Legal Heirship issued by Revenue Auditors - - - -


S. No.

Holding Status




available


Holder/s


Documents Required

8

Claimant has a Will: Copy of the Will and Probate of the Will where Court's Seal and Signature. Indemnity bond (Annexure-k5) on a stamp paper of Rs.500 duly attested by a Notary Public; Affidavit (Annexure-k6) on a stamp paper of Rs.100 duly attested by a Notary Public

- Rs.500000/- - - -


10


- - - -

11



Value Rs.500/- Stamp Paper

Value Rs.500/-

12






- - -


S. No.

Holding Status




available


Holder/s


Documents Required

ii) Original attested copy of proof of identity for the guardian - - - iii)


- - - iv)



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HSBC Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Death Certificate attested by Magistrate/Notary Public/Bank Manager/Gazette Officer (If online Death Certificate is provided then no attestation required)

3


4

Cancelled original Cheque Leaf or attested copy of the Bank A/c Statement/Passbook/Letter from Bank manager for the proof of Bank Mandate of the Nominee/Claimant/new Karta//HUF dissolution (Bank Mandate attested by the bank manager)

5 Duly notarized Court Order for Dissolution or duly notarized Deed of Dissolution of HUF - - - -




S. No.

Holding Status




available


Holder/s


Documents Required

8 Nomination is Mandatory - -

9

Claimant has a Will : Copy of the Will and Probate of the Will where Court's Seal and Signature or Legal Heir Certificate or Succession Certificate (only for above threshold limit)

- Rs.200000/- - - -


11


- - - -

12


Stamp Paper Value Rs.500/-

Stamp Paper Value Rs.500/- - Stamp Paper


Value Rs.500/-

13

Affidavit in a non-judicial stamp paper for the Legal heir/s individually stating that there will be no claimants in the prescribed format. (If eStamp is provided for Affidavit, then the name of the claimant must be pre-printed and the annexures will have to be notarized). value should be less than Rs.2lakhs


Value Rs.100/- -



S. No.

Holding Status




available


Holder/s


Documents Required





- - - iv)



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ICICI Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Copy of Death Certificate notarized or attested by Gazette Officer/Bank Manager/embassy attested (If online Death Certificate is provided then no attestation is required)

3


4

Cancelled original Cheque Leaf and Bank account details attested by Bank manager of the Nominee/Claimant/new Karta/HUF Dissolution (Bank Mandate attested by the bank manager)

5 Original or attested copy of the Decree of Dissolution/Court Order for Dissolution of HUF & Change in Karta - - - -





S. No.

Holding Status




available


Holder/s


Documents Required

Certificate or Succession Certificate (only for above threshold limit)


10


- - -

11


Stamp Paper Value Rs.300/- if the

amount is less than Rs.10 lakhs;

Indemnity Bond is not required for the amount more than

Rs.10 lakhs

Stamp Paper Value Rs.300/- if the



Rs.10 lakhs

-

Stamp Paper Value Rs.300/- if

the amount is less than Rs.10

lakhs; Indemnity Bond is not

required for the amount more

than Rs.10 lakhs

Stamp Paper Value Rs.300/- if

the amount is less than Rs.10

lakhs; Indemnity Bond is not

required for the amount more

than Rs.10 lakhs

12



Value Rs.100/- -




S. No.

Holding Status




available


Holder/s


Documents Required




- - - iv)



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IDFC Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Death Certificate notarized or attested by Bank Manager/Gazette Officer/AMC Branch Heads (If online Death Certificate is provided then no attestation is required)

3


4

Cancelled original Cheque Leaf or attested copy of the Bank manager for the proof of Bank Mandate of the Nominee/Claimant/new Karta ( Bank Mandate and Signature attested by the bank manager)/HUF dissolution (Bank Mandate attested by the bank manager)

5 Original or attested copy of the Decree of Dissolution/Court Order for Dissolution of HUF (Dissolution Deed on Rs.200/- Non-Judicial Stamp Paper) - - - -




S. No.

Holding Status




available


Holder/s


Documents Required

8 Claimant has a Will: Copy of the Will and Probate of the Will or Legal Heir Certificate or Succession Certificate (any one of the document must be notarized)

- Rs.200000/- - - - 9

Claimant does not have a Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit)/Letter of Administration

- Rs.200000/- - - -

10


- - -

11




12



Value Rs.20/- -




- - -


S. No.

Holding Status




available


Holder/s


Documents Required

ii) Original attested copy of proof of identity for the guardian - - - iii)


- - - iv)



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IIFL Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2


3


4







S. No.

Holding Status




available


Holder/s


Documents Required

Certificate or Succession Certificate (any one of the document must be notarized)


10


- - -






- - - iv)



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Kotak Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2 Original Death Certificate or Copy of the Death Certificate duly notarized or attested of the deceased (If online Death Certificate is provided then no attestation required)

3


4

Bankers Attestation on Bank Details (or) Cancelled Cheque Leaf bearing the account details and account holders name of the Nominee/Claimant/new Karta (Bank Mandate and Signature attested by the bank manager)/HUF dissolution (Bank Mandate attested by the bank manager)



7 Original attested copy of the Legal Heirship issued by Revenue Auditors - - - -

8

Claimant has a Will: Copy of the Will and Probate of the Will where Court's Seal and Signature or Legal Heir Certificate or Succession Certificate (only for above threshold limit)

- Rs.200000/- - - -


S. No.

Holding Status




available


Holder/s


Documents Required

9 Intestate - No Nominee and no Will or Probated Will exists: Succession Certificate from Court for the Claimant or letter of administration (only for above threshold limit)

- Rs.200000/- - - -

10


- - - -

11




12



Value Rs.20/- -






- - -


S. No.

Holding Status




available


Holder/s


Documents Required

iv) Attested copy of proof of identity for Guardian, if the nominee is a major but mentally unsound person


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L&T Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2


3


4





8 Claimant has a Will: Copy of the Will and Probate of the Will (only for above threshold limit) - Rs.200000/- - - -


S. No.

Holding Status




available


Holder/s


Documents Required

9 Claimant does not have a Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit)

- Rs.200000/- - - -

10


- - - -

11


-

Stamp Paper Value Rs.220/- for all

locations; Rs.500/- for the State of

Maharashtra

-


for all locations; Rs.500/- for the

State of Maharashtra


for all locations; Rs.500/- for the

State of Maharashtra

12






- - - ii) Original attested copy of proof of identity for the guardian - - -


S. No.

Holding Status




available


Holder/s


Documents Required


- - - iv)



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Mahindra Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2


3

Copy of KYC acknowledgement and FATCA of the Nominee/Surviving JH [if not already available]/Claimant/new Karta, new HUF, UBO (attested by AMC/ARN Distributor/Bank Manager/Notarized Public)

4





8 Original notarized or attested copy of the will – only if available(only for above threshold limit) - Rs.200000/- - - -


S. No.

Holding Status




available


Holder/s


Documents Required

9 No Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit) - Rs.200000/- - - -

10


- - - -

11





Value Rs.600/-

12



Value Rs.100/- -




- - - ii)

Original attested copy of proof of identity for the guardian

- - - iii)


- - -


S. No.

Holding Status




available


Holder/s


Documents Required

iv) Attested copy of proof of identity for Guardian, if the nominee is a major but mentally unsound person


Top


PPFAS Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2


3


4





S. No.

Holding Status




available


Holder/s


Documents Required


8

Claimant has a Will: Copy of the Will and Probate of the Will where Court's Seal and Signature or Succession Certificate issued by the court or Legal Heir Certificate issued by Tehsildar (only for above threshold limit)

- Rs.200000/- - - -


10


- - - -

11





12



Value Rs.20/- -


S. No.

Holding Status




available


Holder/s


Documents Required



i) Original attested Copy of the proof of date of birth for the minor - - -

ii) Original attested copy of proof of identity for the guardian - - -

iii) Any appropriate document as evidence for minor-guardian relationship - - -

iv) Attested copy of proof of identity for Guardian, if the nominee is a major but mentally unsound person - - - -

Note: Joint Holder with Nominee: If only one Joint Holder has a Will and other holder do not have a Will, then the % proportion to the Joint Holder who has a Will, will be done in Testamentary and balance will be in Intestate.

Top


SBI Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Death Certificate attested by Magistrate/Notary Public/Bank Manager/Gazette Officer/AMC Branch Heads (If online Death Certificate is provided then no attestation is required)

3


4

Bank account details for the For Nominee/Claimant/Surviving JH and Signature attested by the bank manager. For Change in Karta, if any change in bank, then pre-printed Cheque Leaf/Copy of Bank Statement or Bank Pass book plus the Letter from the Bank manager for the account details. For HUF dissolution - either Name pre-printed on Cheque Leaf or Bank mandate proof attested by the bank manager is required

5

Original or attested copy of the Decree of Dissolution/Court Order for Dissolution of HUF & Change in Karta (attested copy by AMC Branch Heads can also be provided)

- - - -



S. No.

Holding Status




available


Holder/s


Documents Required


8

Claimant has a Will: Copy of the Will and Probate of the Will where Court's Seal and Signature or Legal Heir Certificate or Succession Certificate (only for above threshold limit; any one of the document must be notarized)

- Rs.200000/- - - -


- Rs.200000/- - - -

10


- - -

11


-

Stamp Paper Value minimum Rs.20/-

(or) as per the State Value where the



Rs.2 lakhs

-

Stamp Paper Value minimum Rs.20/- (or) as per the State

Value

Stamp Paper Value minimum Rs.20/- (or) as per the State

Value

12 Affidavit in a non-judicial stamp paper for the Legal heir/s individually stating that there will be no claimants in the prescribed format. (If eStamp is provided for

- Stamp Paper Value minimum Rs.20/-

(or) as per the State Value where the

- - -


S. No.

Holding Status




available


Holder/s


Documents Required

Affidavit, then the name of the claimant must be pre-printed and the annexures will have to be notarized)

amount is less than Rs.2 lakhs; Affidavit is not required for the amount more than Rs.2 lakhs




- - - ii)


- - - iii)


- - - iv)



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Shriram Mutual Fund

S. No.

Holding Status




available


Holder/s


Documents Required



3


4






S. No.

Holding Status




available


Holder/s


Documents Required

8 Claimant has a Will: Copy of the Will and Probate of the Will (only for above threshold limit) - Rs.200000/- - - -

9 Claimant has no Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit)

- Rs.200000/- - - -

10


- - - -

11





12



Value Rs.20/- -




- - - ii)


- - -


S. No.

Holding Status




available


Holder/s


Documents Required


- - - iv)



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Tata Mutual Fund

S. No. Holding Status




available


Holder/s


Documents Required


2

Original Death Certificate or Copy of the Death Certificate attested by Notary Public/Gazette Officer (If online Death Certificate is provided then no attestation required)

3


4

Cancelled original Cheque Leaf or attested copy of the Bank A/c Statement/Passbook/Letter from Bank manager for the proof of Bank Mandate of the Nominee/Claimant/new Karta (Bank Mandate and Signature attested by the bank manager)/HUF dissolution (Bank Mandate attested by the bank manager)





8 Claimant has a Will: Copy of the Will and Probate of the Will - Rs.200000/- - - -


- Rs.200000/- - - -

10


- - - -

11




12



Value Rs.20/- -




- - - ii)


- - - iii)


- - - iv)



Top


Union Mutual Fund

S. No. Holding Status




available


Holder/s


Documents Required



3


4 Bank Mandate details duly attested by Bank Manager and above for the Nominee/Claimant/new Karta/HUF Dissolution



7 Claimant has a Will: Copy of the Will and Probate of the Will or Legal Heir Certificate or Succession Certificate (only for above threshold limit)

- Rs.200000/- - - -


8 Claimant has no Will or Probated Will exists: Succession Certificate from Court for the Claimant (only for above threshold limit)

- Rs.200000/- - - -

9


- - - -

10




Value Rs.500/-

11



Value Rs.100/- -




- - - ii)


- - - iii)


- - - iv)



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