kim bsl capital protection oriented fund ser 5

8/7/2019 KIM BSL Capital Protection Oriented Fund Ser 5

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Birla Sun Life Capital Protection Oriented Fund- Series 5 (832 days)

A Close ended Capital Protection Oriented Scheme

Collection Centre / BSLAMC Stamp & Signature

Application No.

Received from Mr. / Ms. _____________________________________________________________________________ Date : _____/_____/___________

ENCLOSED PAN Proof)][ (Please tick CompliedKYC

ACKNOWLEDGEMENT SLIP (To be filled in by the Investor)

Birla Sun Life Asset Management Company LimitedOne India Bulls Centre, Tower 1, 17th floor, Jupiter Mill Compound, 841, S.B. Marg, Elphinstone Road, Mumbai - 400 013

Toll Free: 1800-270-7000 / 1800-22-7000 sms AIM to 56161 | Email: [email protected]

Birla Sun Life Capital Protection Oriented Fund - Series 5 (832 days)

Sub Broker Name / No.Distributor Name / ARN No.Ref. Instruction No. 11

Collection Centre

Offer of units of ` 10/- each for cash during the New Fund Offer

New Fund Offer Opens: Friday, March 11, 2011 | New Fund Offer Closes: Friday, March 25, 2011

(PLEASE READ THE INSTRUCTIONS BEFORE FILLING UP THE FORM)

APPLICATION FORM

Application No.

Upfront commission shall be paid directly by the investor to the AMFI registered distributors based on the investor's assessment of various factors including the service rendered by the distributor.

EXISTING UNIT HOLDER INFORMATION (Please fill in your Folio No. & Name and then proceed to Section 7) Applicable details and mode of holding will be as per the existing Folio No.

Folio No.

2.

4. )]

I/We wish to receive the following document(s) via E-mail instead of Physical mode Annual ReportAccount Statement Other Statutory Information

COMMUNICATION [ (Please tick (Refer Instruction No. 8)

CONTACT DETAILS OF FIRST / SOLE APPLICANT / CONTACT PERSON - DESIGNATION (In case of Non-individual Investors)

ISD CODE

E-MAIL (Refer Instruction No. 8)

ONLINE ACCESS** (this enables you to access your investment portfolio through our website - www.birlasunlife.com) Yes No )][ (Please tick

TEL: RESI MOBILE

TEL: OFF. -S T D

-S T D

Important Note: Please ensure that you enter your

phone number and email address

correctly. Here’s why:

• Keep an eye on your money: We will send you regular

updates on your investment status • Early Bird

advantage: You’ll be the first to know about our new

products • Go green: Stay free of paperwork

)][ (Please tick MODE OF HOLDING

Anyone or Survivor (Default option is Anyone or survivor)Joint Single

MAILING ADDRESS OF FIRST / SOLE APPLICANT (P.O.Box Address is not sufficient. Please provide full address.) (Indian Address in case of NRI s/FIIs)

CITY PIN CODESTATE

Overseas Address (For NRIs/FIIs) (For NRI / FII application in addition to mailing address above)

CITY

PIN CODECOUNTRY STATE

STATUS (Please tick from following)

Resident Individual NRI - NROFIIs PIOHUF Club / Society Body Corporate Minor Trust

Others (Please Specify)Partnership FirmNRI - NRE Bank & FI

Professional Housewife Business Service Retired Student Others (Please Specify)

OCCUPATION (Please tick from following)

Proof Enclosed? Y/N KYC Complied? Y/NFIRST APPLICANT PAN No.

3. UNIT HOLDER INFORMATION

NAME OF FIRST / SOLE APPLICANT Mr. Ms. M/s. Date of Birth

Mandatory

D D M M Y Y Y Y

(Refer Instruction No. 2) Fresh / New Investors fill in all the blocks. (2 to 13)

APPLICATION FORM

NAME OF THE GUARDIAN (In case of minor) / CONTACT PERSON - DESIGNATION / PoA HOLDER (In case of Non-individual Investors)

Date of Birth D D M M Y Y Y Y Mr. Ms. M/s.

NAME OF SECOND APPLICANT

SECOND APPLICANT PAN No. Proof Enclosed? Y/N KYC Complied? Y/N

Mr. Ms. M/s. Date of Birth D D M M Y Y Y Y

NAME OF THIRD APPLICANT

THIRD APPLICANT PAN No. Proof Enclosed? Y/N KYC Complied? Y/N

Mr. Ms. M/s. Date of Birth D D M M Y Y Y Y

Proof Enclosed? Y/N KYC Complied? Y/NGUARDIAN / POA HOLDER PAN No.

5. JOINT APPLICANT INFORMATION (Refer Instruction No. 2)

The rating of “mfAAA (so)” is pronounced as “mf triple A S O”. The assigned rating is valid only for Birla Sun Life Capital Protection Oriented Fund - Series 5. The rating indicates highest degree of certainty for payment of face value of

the mutual fund units on maturity to the unit holders. The ratings should, however, not be construed as an indication of expected returns, prospective performance of the Mutual Fund scheme, NAV or of volatility in its return.

1. INVESTMENT DETAILS )][ (Please tick

GrowthBirla Sun Life Capital Protection Oriented Fund - Series 5 (832 days)

ARN - 25682



7. (Please note that as per SEBI Regulations it is mandatory for investors to provide their bank account details) Refer Instruction No. 3BANK ACCOUNT D ETAILS

Name of the Bank

Branch Address

City Pin Code

Account No.

IFSC CODE MICR CODEThis is a 9 digit number next to your Cheque Number. Please attach an extra blank cancelled cheque or a clearphotocopy of a cheque

Account Type SAVINGS CURRENT NRE NRO FCNR (please specify)OTHERS)][ (Please tick

Investment Amount (` )___________________________________ DD Charges ( ) __________________________ Net Amount ( ) _______________________________________________

Cheque / DD No. ______________________ Dated ____/____/________ Drawn on Bank _________________________________________________________________________________

` `

11. NOMINATION DETAILS (Refer Instruction No. 6) I n case of m ultiple nominees - m ore than 1 u p to 3 - f ill a s eparate nomination form available on our website (www.birlasunlife.com) or any of Birla Sun L ife Mutual Fund branches

I/We do hereby nominate the undermentioned Nominee to receive the units to my / our credit in this folio no. in the event of my / our death. I / We also understand that all payments and settlements made to suchNominee (upon such documentation) shall be a valid discharge by the AMC / Mutual Fund / Trustees.

Nominee Name : Date of Birth (in case of minor):

Relationship : Guardian / Parent Name (in case of minor):

Address :

Witness Name: Address :

_________________________________________________________________________________________________________ _____ /_____ / _____________

____________________________ _______________________________________________

_______________________________________________________________________________________________________________

___________________________________________________________ ______________________________________

_______________________________________________________________________________________________________________________

I have attached the nomination details separately with this application form (Please tick if applicable)

Signature of Nominee or Parent / Guardian

Signature of the Witness

6. DOCUMENTS SUBMITTED

Board / Committee Resolution / Authority Letter Memorandum & Articles of Association Trust Deed Partnership Deed Bye-laws Overseas Auditor’s certificate

List of Authorised Signatories with names,designations & specimen signature

)][ (Please tick (Refer Instruction No. 2 (iv))

12. DECLARATION(S) & SIGNATURE(S)(Refer Instruction No. 1 & 13)

D D M M Y Y Y Y Date

First Applicant / Authorised Signatory

Second Applicant

Third Applicant

To,The Trustee,

Birla Sun Life Mutual FundHaving read and understood the contents of the Statement of Additional Information / Scheme Information Document of t he Scheme, I/We hereby apply for units of the schemeand agree to abide by the terms, conditions, rules and regulations governing the scheme. I/We hereby declare that the amount invested in the scheme is through legitimatesources only and does not involve and is not designed for the purpose of the contravention of any Act, Rules, Regulations, Notifications or Directions of t he provisions of theIncome Tax Act, Anti Money Laundering Laws, Anti Corruption Laws or any other applicable laws enacted by the government of India from t ime to time. I/We have understoodthe details of the scheme & I /We have not received nor have been induced by any rebate or gifts, directly or indirectly in making this investment.For NRIs only: I/We confirm that I am/We are Non Residents of Indian Nationality/Origin and that I/We have remitted funds from abroad through approved banking channels orfrom funds in my/our Non-Resident External /Non-Resident Ordinary /FCNR account. (Refer Inst. No. 5)I/We confirm that details provided by me/us are true and correct.** I have voluntarily subscribed to the on-line access for transacting through the internet facility provided by Birla Sun Life Asset Management Company Ltd. (InvestmentManager of Birla Sun Life Mutual Fund) and confirm of having read, understood and agree to abide the terms and conditions for availing of the internet facility more particularlymentioned on the website www.birlasunlife.com and hereby undertake to be bound by the same. I further undertake to discharge the obligations cast on me and shall not atany time deny or repudiate the on-line transactions effected by me and I shall be solely liable for all the costs and consequences thereof.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 dif ferent competing schemes of variousmutual funds from amongst which the scheme is being recommended to me/us.

UNDERTAKING IF INVESTING THROUGH ASBA FACILITY:1) I/We hereby undertake that I/We am/are an ASBA applicant(s) as per the applicable provisions of the SEBI Regulations.2) In accordance with ASBA process provided in the SEBI Regulations I/We authorize (a) the SCSB to do all acts as are necessary to make the

unblocking of funds in the bank account maintained with the SCSB specified in the ASBA Form, transfer of funds to the New Fund OfferAccount on receipt of instruction from the Registrar to the Of fer after finalisation of the basis of Allotment; and (b) the Registrar to the New Fund Offer provide instructionsto the SCSB to remove the block on the funds in the bank account specified in t he ASBA Form, upon finalisation

3) In case the amount available in the bank account specified in the ASBA Form is insufficient for blocking the amount equivalent to the application money, the SCSB shallreject the application.

4) Bank a/c details and PAN mentioned in the ASBA Form does not match with one available in the depository's database, such ASBA Applications shall be rejected by the

Application in the New FundOffer (NFO) for blocking or

of allotment of units.

Registrar to the New Fund Offer.

For Non-Individual Investors: I/We hereby confirm that the object clause of the constitution document of the entity (viz. MOA / AOA / Trust Deed, etc.), allows us t o apply for investment in this scheme of Birla Sun Life Mutual f und and the application

is being made within the limits for the same. I/ We are complying with all requirements / conditions of the entity while applying for t he investments and I/We, including the entity, if the case may arise so, hereby agree to indemnify BSLAMC / BSLMF incase of any dispute regarding the eligibility, validity and authorization of the entity and/or the applicants who have applied on behalf of the entity.

9. DEMAT ACCOUNT DETAILS

Do you want units in demat form.

CENTRAL DEPOSITORY SERVICES (INDIA) LTD. (CDSL)NATIONAL SECURITIES DEPOSITORY LTD. (NSDL)Depository Participant Name: __________________________________________________

DPID No.: I N

Benificiary A/c No.

Depository Participant Name: __________________________________________________

Beneficiary A/c No.

Refer Instruction No. 9

)][ (Please tick Yes No Please ensure that the sequence of names as mentioned in the application form matches with that of the A/c. held with the depository participant.

The Applicant may note that incase the DP ID, Client ID and PAN Number mentioned in the ASBA Form and entered in the Electronic System of the Stock Exchanges do not ma tch with DP ID, Client ID and PAN Number disclosed in DespositoryData Base the Application is liable t o be rejected.

#Minimum of` 5,000/- and in multiples of 10/- thereafter during the New Fund Offer period.` *To be filled in by investors residing at the location, where the AMC Branches /Collection Bank centres are not located.

8. PAYMENT DETAILS (Please mention the application Serial number and the first applicant's name on the reverse of the Cheque /DD. Please ensure there is only one Cheque / DD submitted per application form ).Refer Instruction No. 4.

Investment Amount (` )#

Net Amount ( )` DD Charges ( )*`

Cheque/DD No. Dated Bank Name & BranchD D M M Y Y

Mode of Payment Cheque / DD should be drawn favouring “Birla Sun Life Capital Protection Oriented Fund - Series 5”Cheque)][ (Please tick

Account No.

RTGS / NEFT / Fund Transfer LetterDD

10. REDEMPTION REMITTANCE Please attach a copy of cancelled cheque Refer Instruction No. 7

It is the responsibility of the Investor to ensure the correctness of the IFSC code/ MICR code forElectronic Payout at recipient/destination branch corresponding to the Bank details mentioned inSection 7.

Electronic Payment Cheque Payment

If MICR and IFSC code for Redemption/Dividend Payout is available all payouts will be automatically processed as Electronic Payout-RTGS/NEFT/Direct Credit/NECS.




INSTRUCTIONS FOR FILLING APPLICATION FORM

The Power of Attorney should necessarily be signed by both the investor and the constituent Power of Attorney.Where only uncertified photocopies of the documents are submitted / attached to the application form, the onus forauthentication of the documents so submitted shall be on investors and the BSLAMC / MF will accept and act i n good faithon uncertified / not properly authenticated documents submitted/attached with the application form. Submission of suchdocuments by investors shall be full and final proof of the non individual investor’s authority to invest and the BSLAMC/MFshall not be liable under any circumstances for any defects in t he documents so submitted.Non-Individual investors are required to ensure that the object clause of the constitution document (viz. MOA / AOA / TrustDeed, etc.) permits investment in the scheme(s) of Birla Sun Life Mutual Fund. BSLAMC / BSLMF shall accept andprocess the applications made by these entities in good faith by relying on the undertaking given with respect to theauthority, validity and compliance with all relevant formalities/conditions etc., in the application for making suchinvestments with Birla Sun Life Mutual Fund. Further, BSLAMC/BSLMF /Trustees or any of its affili ates shall not be liable incase of any dispute arising with respect to eligibility, validity and authorization of the entity and/or the applicants who aveapplied on behalf of the entity, as applicable.

v. Applicants can specify the mode of holding in the application form as “Single” or “Joint” or “Anyone or Survivor”. In the caseof holding specified as “Joint”, redemption and all other request / t ransactions would have to be signed by all unit holders.However, in cases of holding specified as “Anyone or Survivor”, any one of the unit holders will have the power to make allnecessary requests, without it being necessary for all the unit holders to sign. In the event the account has more than oneregistered unit holders and the mode of holding i s not specified in the application form, the default option for holding wouldbe considered to be “anyone or survivor”. However, in all cases, the proceeds of all redemption will be paid to the firstnamed holder. All communications will also be sent to the first named holder.

BANK AND PERMANENT ACCOUNT NUMBER DETAILSBank Details: In order to protect the interest of investors from fraudulent encashment of cheques, the SEBI Regulations havemade it mandatory for investors to mention in their application / Redemption request, the bank name and account number. It may

be noted that, in case of those unit holders, who hold units in demat form, the bank mandate available with respective DepositoryParticipant will be treated as the valid bank mandate for the purpose of payout at the time of maturity or at the time of anycorporate action.PAN Details: It is compulsory for all investors to quote their Permanent Account Number (PAN) and submit copy of the PAN cardissued by the Income Tax Department, irrespective of the amount of investment, while making an application for Purchase ofUnits. In case of joint applicants, PAN details of all holders should be submitted. In case the investor making the application is aminor, PAN details of the Guardian must be submitted. Investors residing in the state of Sikkim are exempt from t he mandatoryrequirement of PAN proof submission, however sufficient documentary evidence shall have to be submitted to Birla Sun LifeMutual Fund for verifying that they are residents of State of Sikkim.

MODE OF PAYMENTi. Resident investors may make payment by cheque payable locally in the city where the application form is submitted at the

local Birla Sun Life Asset Management Company Ltd. Off ices / Authorised Collection Centres.ii. The cheque should be drawn on any bank which is situated at and is a member/sub member of the bankers clearing house.

Cheque drawn on the bank not participating in the clearing house will not be accepted.iii. Payment shall be accepted through RTGS/NEFT, DDs as well as MICR Cheques during the NFO of the schemes.

However, payment through MICR Cheques/DD drawn on bank other than HDFC Bank, Standard Charted Bank, ICICIBank & Citibank will be accepted till the end of the business hours on March 23rd, 2011.

iv. Investors residing in Centres, where the Investors service Centres of the mutual fund are not located, are requested tomake payment by demand drafts payable at the Centre where the application is to be lodged. D.D. charges would be borneby the fund only for t he investors residing at places which are not covered by our offices / authorised centres & DD Chargesare mentioned in the form. The maximum charges so borne by the fund would be restricted to limits as prescribed by StateBank of India.

v. For all mode of payments, details of source account, source bank name and source branch name should be mentioned.vi. Restriction on acceptance of Third Party Payment:

a) Pursuant to the AMFI Best Practice Guidelines circular on 'Risk mitigation process against Third-Party Cheques inmutual fund subscriptions' read with compliance wit h 'Know your Customer (KYC)' norms under Prevention of MoneyLaundering Act, 2002 (PMLA), Birla Sun Life Asset Management Company Limited (BSLAMC)/ Birla Sun LifeMutual Fund (BSLMF) shall not accept applications for subscriptions of units accompanied with Third PartyPayments,except in the cases as enumerated below in para (c).

b) “Third Party Payment” means payment through an instrument issued from a bank account other than that of thebeneficiary investor. In case of payments from a joint bank account, the f irst named investor/holder of the mutual f undfolio has to be one of the joint holders of the bank account from which payment is made.

c) BSLAMC shall not accept subscriptions accompanied with Third Party Payments except in the following exceptionalsituations subject to submission of requisite documentation/declarations enumerated in para (d) below:i. Payment by Parents/Grand-Parents/Related persons on behalf of a minor in consideration of natural love and

affection or as gift for a value not exceeding` 50,000/- (each regular purchase or per SIP installment)ii. Payment by Employer on behalf of employee under Systematic Investment Plans (SIP) through Payroll

deductions.iii. Custodian on behalf of an FII or a client.

d) In case of 'exceptional situations' mentioned above, investors are required to submit following documents / declarations alongwith the application form without which such applications will be rejected/not processed/refunded:i. Mandatory KYC for all Investors (guardian in case of minor) and the person making the payment i.e. third party. In

order for an application to be considered as valid, investors and the person making the payment should attach theirvalid KYC Acknowledgement Letter to the application form.

ii. A separate, complete and valid 'Third Party Payment Declaration Form', inter alia, containing the details of thebank account from which the payment is made and the relationship with the investor(s). The declaration has to begiven by the person making the payment i.e. Third Party. Please contact the nearest Investor Service Centre (ISC)of BSLAMC or visit our website www.birlasunlife.com for the said Declaration Form.BSLAMC/BSLMF shall verify the source of funds to ensure that funds have come from the drawer's account only.

e) Investors are requested to note that, in case of:i. Payment by Cheque: An investor at the time of his/her purchase must provide the details of his pay-in bank

account (i.e. account from which a subscription payment is made) and his pay-out bank account (i.e. account intowhich redemption/dividend proceeds are to be paid). If the name/bank account number is not pre-printed on thecheque and signature on the cheque does not match with signature on the application, then the first namedapplicant/investor should submit any one of the following documents:a. a copy# of the bank passbook or a statement of bank account having the name and address of the account

holder and account number;b. a letter* (in original) from the bank on its letterhead certifying that the investor maintains an account with the

bank, along with information like bank account number, bank branch, account type, the MICR code of the branch& IFSC Code (where available).

# Investors should also bring the original documents along with the documents mentioned in (a) above to the ISCs/Official Points of Acceptance of BSLMF. The copy of such documents will be verified with the original documents to the satisfaction of the BSLAMC/BSLMF. The original documents will be returned across the counter to the investor after due verification.* In respect of (b) above, it should be certified by the bank manager with his/her full signature, name, employee code, bank seal and contact number.

Investors should note that where the bank account numbers have changed on account of t he implementation of corebanking system at their banks, any related communication from the bank towards a change in bank account numbershould accompany the application form for subscription of units.ii. Payment by Prefunded Instrument: (1) If the subscription is settled with pre-funded instruments such as Pay

Order, Demand Draft, Banker's cheque, etc., a Certificate (in original) from the Issuing banker must accompany thepurchase application, stating the Account holder's name and t he Account number which has been debited for issueof the instrument. The account number mentioned in the Certificate should be a registered bank account or the firstnamed unitholder should be one of the account holders to the bank account debited for issue of such instruments.Investors may also submit a copy of the acknowledgement from the bank, wherein the instructions to debit carry thebank account details and name of t he investor as an account holder, or a copy of the passbook/bank statementevidencing the debit for issuance of a DD, provided bank account number has to match with the details provided inthe application form and name should match with the name of the first named unitholder.(2) A pre-funded instrument issued by the Bank against Cash shall not be accepted for investments of ` 50,000/- ormore. This also should be accompanied by a certificate from the banker giving name, address and PAN (ifavailable) of the person who has requested for the payment instrument. The name mentioned on the Certificateshould match with the name of the first named unitholder and certificate must state such investor's bank accountnumber and PAN as per bank record, if available.The Certificate(s) mentioned in (1) and (2) above should be duly certified by the bank manager with his/her fullsignature, name, employee code, bank seal and contact number.

iii. Payment by RTGS, NEFT, ECS, Bank transfer, etc: A copy of the instruction to the bank stating the accountnumber debited must accompany the purchase application. The account number mentioned on the transferInstruction copy should be a registered bank account or the first named unitholder should be one of the account

holders to the bank account.In case the application for subscription does not comply with the above provisions, BSLAMC/BSLMF retains the Sole andabsolute discretion to reject/not process such application and refund the subscription money and shall not be liable for anysuch rejection.

5. NRI INVESTORSRepatriation basis:Payments by NRIs/FIIs may be made by way of Indian rupee drafts purchased abroad or out of funds held in NRE/FCNR accountor by way of cheques drawn on non-resident external accounts payable at par and payable at the cities where the InvestorService Centres are located. In case of Indian rupee drafts purchased and subscriptions through NRIs / FCNR account, anaccount debit cer tificate from the bank issuing the draft confirming the debit should also be enclosed.Non Repatriation basis:NRIs investing on a non repatriable basis may do so by issuing cheques/ demand drafts drawn on Non-Resident Ordinary (NRO)account payable at the cities where the Investor Service Centres are located.

6. NOMINATIONi. Unit holder can nominate (in the manner prescribed under the SEBI Regulations), maximum upto 3 person(s) in whom the

Units held by him/her shall vest i n the event of his/her death. It shall be mandatory to indicate clearly the percentage ofallocation / share in favour of each of the nominees against their name and such allocation / share should be in wholenumbers without any decimals making a total of 100 percent. In the event of the Unitholders not indicating the percentageof allocation / share for each of the nominees, the AMCs, by invoking default option shall settle the claim equally amongstall the nominees.

ii. The nomination can be made only by individuals applying for / holding units on their own behalf singly or jointly. Non-individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family, holder of Power ofAttorney cannot nominate. If the units are held jointly, all joint holders will sign the nomination form.'

iii. A minor can be nominated and in that event, the name and address of the guardian of the minor nominee shall be providedby the unit holder. The Applicant is advised that, in case of Single Holding, the Guardian to a Minor Nominee should be a

person other than the Applicant.iv. Nomination can also be in favour of the Central Government, State Government, a local authority, any person designatedby vir tue of these offices or a religious or charitable trust.

v. The Nominee shall not be a trust, society, body corporate, partnership firm, Karta of Hindu Undivided Family or a Power ofAttorney holder. A non-resident Indian can be a Nominee subject to the exchange controls in f orce, from time to time.

vi. Nomination in respect of the units stands rescinded upon the transfer of units.vii. Transfer of units in favour of a Nominee shall be valid discharge by the Asset Management Company against the legal heir.viii. The cancellation of nomination can be made only by those individuals who hold units on their own behalf singly or jointly

and who made the original nomination.ix. On cancellation of the nomination, the nomination shall stand rescinded and the Asset Management Company shall not be

under any obligation to transfer the units in favour of the Nominee.x. The nomination details as registered with the Depository Participant shall be applicable to unitholders who have opted to

hold units in Demat mode.

7. DIRECT CREDIT OF REDEMPTIONThe Mutual Fund has an arrangement with select banks to enable direct credit of redemption proceeds into the bank account ofthe respective investors who have an account with any of these banks. This facility as a mode of payment is faster & safer(attach a copy of cancelled cheque). The potential risk of loss of instruments in transit through courier / post i s also eliminated. Incase the bank account as communicated by the Unit holder is wit h any of the select banks, the Mutual Fund shall automaticallyextend this facility to the Unit holders. If the remittance is delayed or not effected for reasons of incomplete or incorrectinformation, Mutual Fund cannot be held responsible. The Mutual Fund, however, reserves the right to issue a cheque / demanddraft inspite of an investor opting for Direct Credit. However, if the Unit holders are not keen on availing of the facility and preferreceiving cheques / demand drafts, may indicate so on the application form. The Mutual Fund would then effect the payouts bycheque / demand draft. The list of Banks include ABN AMRO Bank, Citi Bank, Deutsche Bank, HDFC Bank, HSBC Bank, ICICIBank, IDBI Bank, Standard Chartered Bank, Axis Bank, Kotak Mahindra Bank, Yes Bank, State Bank of India, Punjab NationalBank & Bank of Baroda which are subject to change from time to time.

8. COMMUNICATIONAccount Statements, Quarterly Newsletter, Annual Reports and Transaction Confirmation can be sent to Unit holders by post / e-mail. Should the Unit holder experience any difficulty in accessing in the electronically delivered documents, the unit holder shallpromptly inform the same to the Mutual Fund. It is deemed that the Unit holder is aware of all security risks including possiblethird party interception of the documents and contents of the documents becoming known to third parties.

9. DEMAT ACCOUNT DETAILSInvestor have the option to hold the units in demat form, please tick the relevant option of yes/no for opting or not opting units indemat form. If no option is excercised, “No" will the default option. Applicants must ensure that the sequence of names asmentioned in the application form matches with that of the account held with the Depository Participant. If the details mentionedin the application are incomplete/incorrect, not matching wit h the Depository data, the application shall be treated as invalid andshall be liable to be rejected.

10. KNOW YOUR CLIENT (KYC)According to guidelines issued by SEBI under 'The Prevention of Money Laundering Act, 2002', Mutual Funds are required tofollow enhanced Know Your Customer (KYC) norms. Birla Sun Life Asset Management Company Limited (BSLAMC) has madearrangements with CDSL Ventures Limited (“CVL”), to process KYC compliance. Investors can visit branches of BSLAMC ormay visit www.birlasunlife.com, www.amfii ndia.com and www.cdslindia.com to know detailed procedure for KYC compliance.On submission of KYC application alongwith the prescribed documents “KYC Acknowledgement letter” will be issued by CVL tothe applicant.Effective January 01, 2011 it is mandatory for all category of investors to provide a copy of KYC Acknowledgementletter issued by CVL for all investment transactions made on or after January 01, 2011, irrespective of amount ofinvestment.To further clarify, the above category of investors shall include:i. their constituted Power of Attorney (PoA) holder, in case of investments through a PoAii. each of the applicants, in case of investments in joint names; and

iii. Guardian in case of investments on behalf of minor.Applications without KYC Acknowledgement letter for the specified category of investors are liable to be rejected. Providedfurther, where it is not possible to verify the KYC compliance status of the investor at the time of allotment of units, the BSLAMCshall verify the KYC compliance status of the investor within a reasonable time after the allotment of units. In the event of noncompliance of KYC requirements, the BSLAMC reserves the right to freeze the folio of the investor(s) for any kind of transactionsor affect mandatory redemption of unit holdings of the i nvestors at the applicable NAV, subject to payment of exit load.Investors who have obtained MIN allotment letter by submitting the PAN copy are deemed to be KYC compliant. Investorsshould note that on completion of KYC Compliance all details of the investor in the Mutual Fund records will be replaced by thedetails as given in KYC Application Form by the investor to the CVL. Any change in this details like change of Name / Address / Status /Signature, etc. should be given by Investor directly to CVL in the prescribed manner.

11. DIRECT APPLICATIONSInvestors should ensure to write the word 'DIRECT' in the column 'ARN No' or 'Broker Code' in their applications for purchases/ additional purchases/switches in all such cases where applications are not routed through any distributor/agent/broker.In cases where unit holder uses a pre-printed transaction slip/application form where details in the 'ARN No' or 'Broker Code'column is already printed, unit holder should cancel the ARN No/ Broker Code, write 'DIRECT' in the said column. It should alsobe counter signed by the unit holder/ all joint holder(s).Transactions slips/application forms where the column under 'ARN No or 'Broker Code' is provided, has to be filled by the unitholder as 'DIRECT' for processing the same as Direct applications.Investors can submit their applications for purchases /additional purchases/ switches at any of the Official Point(s) ofAcceptance of Birla Sun Life Mutual Fund. The list of Of ficial Point(s) of Acceptance is available on the website of Birla Sun LifeMutual Fund (www.birlasunlife.com).

12. REAL TIME GROSS SETTLEMENT / NATIONAL ELECTRONIC FUNDS TRANSFER (RTGS / NEFT)Funds Transfer shall be effected only if the recipient/destination Bank/Branch is participating in RTGS / NEFT. It is theresponsibility of the Investor to ensure t he correctness of the message especially the IFSC code of the recipient /destinationbranch & account number. The collecting bank as well as BSLMF will get valid discharge if the amount is credited to the account

number mentioned in the Application even if the name of the Investor account holder differs. BSLMF shall not assume anyliability or responsibility arising out of or made liable for any incorrect request or message. If the date of payment happens to be aholiday at the centre where the recipient branch is situated, the credit will be passed on to the Investor on next working day.BSLMF shall not be liable for delay in payments to the Investor if:i. Incorrect and insufficient details are provided.ii. If there is dislocation of work due to circumstances beyond the control of Remitting/Destination Banks including but not

limited to circumstances like non-functioning of computer system, disruption of work due to natural calamities, strike, riotetc., or Netware or internet problem or other causes beyond the control of the Branch/ bank resulting in disruption ofcommunication, such cases will be settled on the next working day when RTGS / NEFT is functioning properly.

The Investor hereby agrees and undertakes that he is aware of all the RTGS / NEFT rules set by RBI & to abide by all the rules,terms, conditions and administrative guidelines issued or which may be issued by the RBI or any other regulatory authoritiesapplicable to the transactions relating to RTGS / NEFT whether directly or/and indirectly.

13. APPLICATIONS NOT COMPLETE IN ANY RESPECT ARE LIABLE TO BE REJECTED.

GENERAL INSTRUCTIONSi. Please read the terms of the Key Information Memorandum and the Scheme Information Document (SID) and Statement

of Additional Information (SAI) carefully before filli ng the Application Form. Investors should also apprise themselves of theprevailing Load structure on the date of submitting the Application Form. Investors are deemed to have accepted the termssubject to which this offer is being made and bind themselves to the t erms upon signing the Application Form and tenderingpayment.

ii. Application form should be completed in English and in BLOCK LETTERS. Please tick in the appropriate boxes whereverapplicable.

iii. The signature should be in English or in any of the Indian languages specified in the eighth schedule of the Constitution ofIndia. Thumb Impressions must be attested by a magistrate or a notary public or a special executive magistrate underhis/her official seal. Applications by minors should be signed by the guardians. In case of H. U. F. the Karta should sign onbehalf of the H. U. F.

iv. The application complete in all respects along with the cheque must be submitted to the nearest designated InvestorService Centre. Applications incomplete in any respect or not accompanied by cheque of the amount payable are liable tobe rejected and the money paid will be refunded without interest.

v. No receipt will be issued for the application money. The designated Investors Service Centre will stamp and return theacknowledgement slip in the application form, to acknowledge receipt of the application.

vi. All cheques must be drawn in favour of “Scheme Name” and crossed “Account Payee Only”. A separate cheque mustaccompany each application /each Scheme.

vii. Investors already holding a folio in Birla Sun Life Mutual Fund can provide their existing Folio Number and Name ofapplicants(s) corresponding to the said folio. It is the responsibility of the I nvestor to ensure correctness of such detailsprovided. The personal details and Bank Account details as registered in the existing folio number as provided would apply

to the said investment and the registered details would prevail over any conflicting information furnished in this form. TheAMC reserves the right to assign any of the existing Folio Number of the investor against multiple applications and / orsubsequent purchases under this new application form lodged, with identical mode of holding and address and such othercriterions and integrity checks as may be determined by the AMC from t ime to time.

INVESTOR PARTICULARSi. Name and address must be given in full. P.O. Box address is not sufficient. In case of NRIs/ FII investors an overseas

address must be provided.ii. Name of Guardian must be mentioned if investments are being made on behalf of a minor. Date of birth is mandatory in

case of minor.iii. In case of an application under Power of attorney or by a limited company, body corporate, registered society, trust or

partnership, etc the relevant Power of attorney or the relevant resolution or authority to make the application as the casemaybe, or duly notarised copy thereof, along with the Memorandum and Articles of Association/ Bye Laws must be lodgedwith the application form.

iv. Documentation to be submitted by Corporate Investors/Societies / Trusts / Partnership Firms/ FIIs

Board /Committee Resolution / Authority Letter

Corporate Investors Trusts Societies Partnership F irms FIIs

List of authorised Signatories with names,designations & Specimen Signature

Memorandum & Ar ticles of Association

Trust Deed

Partnership Deed

Bye-laws

Overseas Auditor’s certificate



2. EXISTING FOLIO NO. (If you have an existing folio number, please mention the number here)

Folio No.

1. NAME OF FIRST APPLICANT (Name should be as available in Demat Account in case of Demat Account holders)

Mr. Ms. M/s.

APPLICATION SUPPORTED BY BLOCKED AMOUNT (ASBA) FORM

D D M M Y Y Y Y Date

ASBA Application No. NFO Application No. [mandatory & only for Non-Demat holders]

BROKER/AGENT INFORMATION FOR OFFICE USE ONLYName and AMFI Regn No. Sub Broker Name & Code

ARN:

SCSB SCSB IFSC Code Syndicate Member Code SL No.

[Name & Code] [11 digit code] [Name and Code]

Application No.

Birla Sun Life Asset Management Company LimitedOne India Bulls Centre, Tower 1, 17th floor, Jupiter Mill Compound, 841, S.B. Marg, Elphinstone Road, Mumbai - 400 013

Toll Free : 1800-270-7000/ 1-800-22-7000 | sms AIM to 56161 Email: [email protected]|

Birla Sun Life Capital Protection Oriented Fund - Series 5 (832 days)ACKNOWLEDGEMET SLIP (to be filled in by the investor]

ASBA Application Number: ________________________ Date : _____/_____/___________Application Number [mandatory for non-demat account holders]: _________________________

New Fund Offer Opens: Friday, March 11, 2011 | New Fund Offer Closes: Friday, March 25, 2011

ASBA APPLICATION FORM

3. DEPOSITORY ACCOUNT DETAILS

Depository Name [Please tick] National Securities Depository Ltd Central Depository Services [India] Limited

Depository Participant Name

DP-ID

Beneficiary Account Number

4. PAN OF 1ST APPLICANT (Permanent Account Number)

PAN

Birla Sun Life Capital Protection Oriented Fund - Series 5 (832 days) Growth

Received from Mr./Ms./Mrs./M/s. _____________________________________________________________________________________________________________________________

Address ________________________________________________________________________________________________________________________________________________

SCSB Account details:

A/c No. ________________________________________ Bank Name ________________________________________________ Branch Name ___________________________________

Total Amount to be Blocked:

` In figures Rupees In words _____________________________________________________________________

______________________________________________________________________________________________________________________

__________________________SCSB Stamp, Signature

Date & time of receipt _____________________________________________________________________________________________________



BA APPLICATION FORM

INVESTORS MUST READ THE SCHEME INFORMATION DOCUMENT/KEY INFORMATION MEMORANDUM AND INSTRUCTIONS BEFORE COMPLETING THIS FORM.

6. DETAILS OF BANK ACCOUNT FOR BLOCKING OF FUNDS

Bank Account Number

Bank Name

Branch Name where account is held

Total Amount to be blocked (` In figures)

Rupees in words

7. UNDERTAKING BY ASBA INVESTOR

1)l/We hereby undertake that l/We am/are an ASBA lnvestor as per the applicable provisions of the SEBl (lssue of Capital and Disclosure Requirements), Regulations 2009 (‘SEBl Regulations’) as amended from time t o time. 2) ln accordancewith ASBA process provided in the SEBl Regulations and as disclosed in this application, l/We authorize (a) the SCSB to do all necessary acts including blocking of application money towards the Subscription of Units of the Scheme, to the extentmentioned above in the “SCSB / ASBA Account details” or unblocking of funds in the bank account maintained with the SCSB specified in this application form, tr ansfer of funds to the Bank account of the Scheme/Birla Sun Life Mutual Fund onreceipt of instructions from the Registrar and Transfer Agent after the allotment of the Units entitling me/us to receive Units on such transfer of funds, etc. (b) Registrar and Transfer Agent to issue instructions to the SCSB to remove the block onthe funds in the bank account specified in the application, upon allotmen t of Units and to transfer the requisite money to the Scheme’s account / Bank account of Birla Sun Life Mutual Fund. 3) ln case the amount available in the bank accountspecified in the application is insufficient for blocking the amount equivalent to the application money towards the Subscription of Units, the SCSB shall reject the application 4) lf the DP lD, Beneficiary Account No. or PAN furnished by me/us inthe application is incorrect or incomplete or not matching with the depository records, the application shall be rejected and the Birla Sun Life Mutual Fund or Birla Sun Life Asset Management Company Limited or Birla Sun Life Trustee CompanyLimited or SCSBs shall not be liable for losses, if any. All future commun ication in connection with NFO should be addressed to the SCSB/RTA/AMC quoting the full name of the Sole/First Applicant, NFO Application Number, ASBA ApplicationNumber, Despository Account details [if it has been provided], Amount applied for and the accpunt number from where NFO amount was blocked.

Signature of Bank Account Holders

The rating of “mfAAA (so)” is pronounced as “mf triple A S O”. The assigned rating is valid only for Birla Sun L ife Capital Protection Oriented Fund - Series 5. The rating indicates highest degree of certainty for payment of face value of the mutual fund units on maturity to the unit holders. The ratings should, however, not be construed as an indication of expected returns, prospective performance of the Mutual Fund scheme, NAV or of volatility in its return.

5. INVESTMENT DETAILS )][ (Please tick


ARN - 25682



INSTRUCTIONS FOR FILLING ASBA APPLICATION FORM

. An ASBA investor shall submit a duly filled upASBA Application form, physically or electronically, to the SCSB with whom the bank account to be blocked, is maintained.• In case of ASBA application in physical mode, the investor shall submit the ASBA Form at the Bank branch of SCSB, which is designated for the purpose and the investor must be holding a bank account with such SCSB.• In case of ASBA application in electronic form, the investor shall submit the ASBA Form either through the internet banking facility available with the SCSB, or such other electronically enabled mechanism for subscribing to units of Mutual

Fund scheme authorising SCSB to block the subscription money in a bank account.. Investors shall correctly mention the Bank Account number in the ASBA Application Form and ensure that funds equal to the subscription amount are available in the bank account maintained with the SCSB before submitting the same to the

designated branch.. Upon submission of an ASBA Form with the SCSB, whether in physical or electronic mode, investor shall be deemed to have agreed to block the entire subscription amount specified and authorized the Designated Branch to block such amount in

the Bank Account.. On the basis of an authorisation given by the account holder in the ASBA application, the SCSB shall block the subscription money in the Bank Account specified in the ASBA application. The subscription money shall remain blocked in the Bank

Account till allotment of units under the scheme or till rejection of the application, as the case may be.. If the Bank Account specified in the ASBA application does not have sufficient credit balance to meet the subscription money, the ASBA application shall be rejected by the SCSB.. The ASBA Form should not be accompanied by cheque, demand draft or any mode of payment other than authorisation to block subscription amount in the Bank Account.. All grievances relating to the ASBA facility may be addressed to the AMC / RTA to the Issue, with a copy to the SCSB, giving full details such as name, address of the applicant, subscription amount blocked on application, bank account number

and the Designated Branch or the collection centre of the SCSB where the ASBA Form was submitted by the Investor.. ASBA facility extended to investors shall operate in accordance with the SEBI guidelines in force from time to time.

BIRLA SUN LIFE ASSET MANAGEMENT COMPANY LTD (Branches)

gra: Shop No. 3, Block No. 54/4, Ground Floor, Prateek Tower, Lashkar Pur City Circle, Sanjay Place, Agra - 282002 • Ahmedabad: 2nd floor , Shivalika Point , opp Abhujeet -1 Near Mithakali, Six Road Navrangpura - Ahemdabad - 380009 • Ajmer:

p No.5,6, Ist Floor,India Square Building, Kutchery Road,Ajmer - 305001 • Allahabad: Upper ground floor, 45/1(202), MG Marg,Civil Lines, Allahabad-211001 • Alwar: Krishna Complex, Plot no. 17, Tej Mandi Station Road, Alwar - 301001 • Ambala:1/14 Nicholson road Above ARCHIES GALLERY AMBALA CANTT-133001 HARYANA • Amravati: 1st Floor, Katri Mall, Morchi Road, Amravati - 444602 • Amritsar: Central mall, 3rd Floor, Opp ICICI Prudential, Mall Road, Amritsar - 143001 •and: 306-307 , Triveni Arcade , V V Nagar Road , Anand 388001 • Aurangabad: Shop No. 101 & 102, 1st Floor, Super Market, Nirala Bazar, Aurangabad - 431001 • Bengaluru - Flat No. SG-14, Ground Floor, South Block, Manipal Centre, No.47,kenson Road, Bengaluru : 560042 • Bengaluru - Jayanagar: #14, South end road, Basavanagudi, Next to Surana College, Bengaluru-560004• Baroda: Soham Complex, 49, Alkapuri society, Ground Floor, Opp HDFC Bank Alkapuri, R C Dutt Road,odara-390007• Belgaum: 1st Floor, Beside Canara Bank, Opp. Meenaxi Bhavan,Station Road, Belgaum - 590 001 • Bharuch: 205/206, Aditya Complex, Kasak Circle, Bharuch - 392001 • Bhavnagar: Shree Vallabh Complex,Ground Floor, G ( 1 to 3

Opp Joggers Park, Waghawadi Road, Bhavnagar -364002 • Bhilai: Shop no-9 2nd floor Chauhan estate G E Road Bhilai( C.G) 490023 -Ph no-0788-4083340 • Bhopal: 149 Kamal Tower, MP Nagar Zone 1 Bhopal - 462011 • Bhubaneswar:Janpath, Kharvelnagar Bhubaneshwar - 751001 • Calicut: SHOP No:110-111, First Floor, Calicut Mall, Stadium Junction, Puthiyara Road, Calicut-673004 • Chandigarh: SCO : 145-146, First Floor, Sector : 9 - C, Chandigarh - 160017 • Chennai -ar: No:2, 2nd Cross Street, Kasturibai Nagar, Adyar, Chennai - 600020 • Chennai - Madhurai: S.E.V.Grandson 1st Floor, 280-B, Good Shed Street, Madurai 625 001 • Chennai - Egmore: " Kuber", 1st Floor, 42, Pantheon Road, Egmore, Chennai -008 • Cochin: Casa Blanca, 2nd Floor, Opp: CITI BANK, M.G Road, Cochin - 682 035 • Coimbatore: 723 A & B, II nd Floor, Thirumalai Towers, Avinashi Road, Coimbatore - 641018 • Dehradun: 97 I ndia Trade Centre, Rajpur road, Adjoining hotel

dhuban, Dehradun - 248001 • Delhi: C - 34, First Floor, Inner Circle, Connought Place, New Delhi - 110001 • Dhanbad: Shop No - 202 2nd Floor, Shriram Plaza Bank, More Dhanbad - 826001 • Durgapur: City Centre City Plaza, 3rd Floor Durgapur-216 • Erode: N R Complex,1st Floor, 1B,Veerabadra Street IV, Park Approach Road, Near Hotel Oxford, Erode-638003 • Gorakhpur: First Floor, Prahlad Rai Trade Centre, Bank Road, Gorakhpur- 273001 • Gurgaon: 617,Galleria Commercial

mplex, DLF City Phase IV, Gurgaon-122002 • Guwahati: 2nd Floor, Nezone Plaza, Christian Basti, G.S Road, Guwahati -781005 • Gwalior: Alaknanada Tower, 4th Floor, Plot no 45 A, City center, Gwalior - 474001 Hubli: 15, Upper Ground Floor,ekanand Corner, Desai Cross, HUBLI-580029• Hyderabad - Abids: 102 1st floor, Oasis Plaza, D.No:4-1-898, Tilak Road, Abids, Hyderabad - 500001• Indore: 405 City Centre, 570, M G Road, Indore 452001 • Jabalpur: Mangalam, 2nd Floor, Shastrie Road, Napier Town Jabalpur - 482001 • Jaipur: 204, 2nd Floor, Ganpati Plaza, M.I Road, Jaipur 302001 • Jalandhar: 210, 2nd Floor, Grand Mall, Jalandhar-144001• Jammu: TRG Building, 5th Floor, Gandhi Nagar, Behind Baahu Plaza, Jammu -004 • Jamnagar: 209, Madhav Darshan Complex, Lal Bunglow Road Jamnagar - 361001 • Jamshedpur: 4/1, 4th floor, Aditya Towers Bistupur, Opp Bistupur Police Station, Bistupur-831001 -Jamshedpur• Jodhpur: KK.Plaza, II nd Floor, Sardarpura

B Road, Jodhpur (Raj.) 342003 • Kanpur: 114/113, Kan chambers, office No. 103-106, Civil Lines, Kanpur-208001• Kolhapur: Shop No. S-1a, ' E ' Ward, CTS No. 264/k, Tarabai Park, Kolhapur - 416003 • Kolkata: First Floor, New BK Market, 16 A,kespeare Sarani, Kolkatta - 700071 • Kota: 390, 2nd Floor, Shopping Centre, Near Ghodawala Baba Chauraha, Kota-324004 (Raj.) • Lucknow: 103-B, 1st Floor, Shalimar Square, Lalbagh, Lucknow-226001• Ludhiana: SCO-2, Ground Floor, ABCding, Feroze Gandhi Market, Ludhiana-141001• Mandi Gobindgarh: Ward No. 11, Post Office Road, Near State Bank of India, Mandi Gobindgarh – 147301 • Mangalore: 6th Floor, Essel Towers, Bunds Hostel Circle, Mangalore - 575003 • Margao:und Floor, Shop No.7 & 8, Colaco Building, Abade Faria Road, Margao - Goa,403601 • Meerut: Unit 103,Om plaza, opposite Ganga Plazxa, Begum bridge road, Merrut - 25001 • Mehasana: Gr. Floor, Shop no G (1 to 3), C, Shri Vallabh Complex,vnagar, Gujarat-364002 • Moradabad: Near Hotel Rajmahal, Infront of Dr. P. K. Das, Civil Lines, Moradabad - 244001 • Mumbai - Borivali: Jayesh Apartment, Shop No 2 & 3, Ground Floor, Opp. Standard Chartered Bank, Near Shyamaprasad

kherjee Garden, Chandarvarkar Road, Borivali (West), Mumbai - 400092 • Mumbai - Ghatkopar: Shop no - 12A/B, Ground Floor, Kailash Plaza, Vallabh Baug Lane, Ghatkopar - East, Mumbai - 400077 • Mumbai (IH): Industry House, 1st Floor,rchgate Reclamation, Mumbai 400 020 • Mumbai (IB): One India Bulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound, 841, Senapati Bapat Marg, Elphinstone Road, Mumbai- 400013 • Mysore: No. 442-443, Laxman Plaza, Chamraja Double

d, Near Ramaswamy Circle, Mysore -570024 • Nagpur: 1st Floor, Kapish House Appartments,282, Mata Mandir Road, Near Khare Town, Dharampeth, Nagpur - 440 010 • Nasik: Shop no 1, Samruddhi Residency, Opp Hotel City Pride, Tilakwadi,ik – 422002 • Noida: N-22,Ist Floor, Sector-18,Noida 201301 • Panipat: N.K Tower,Office no -1, Second Floor,G.T Road, Panipat-132103 • Panjim: 1st Floor, Ashok-Samrat Complex, Above Vishal Mega Mart, Off. 18th June Road, Panaji, Goa-001 • Patiala: 1- SCO 88, 1st Floor, New Leela Bhawan Market,Tehsil & District Patiala, Patiala - 147001 • Patna: Ground Floor, Konark Share Building,Behind RBI, Exhibition Road, Patna - 800 001 • Pondicherry: 116 1st floor, Jayalxmi Complex,uvalluvar Salai, Pondicherry - 605013 • Pune (Bhandarkar Rd): Shop No.A5/1, Ground Floor, Near Millennium Tower, Bhandarkar Institute Rd, Deccan Gymkhana, Shivajinagar, Pune-411004• Pune (Main): Kapil Towers, 'C' Wing, 1st Floor, Neargam Bridge, R.T.O., Dr. Ambedkar Rd., Pune - 411001 • Pune (Pimpri): A-17,Empire Estate, Near Ranka Jewellers, Pimpri Branch, Pune-411019• Raipur: 2nd Floor Chawla Complex Devandra Nagar Road Sai Nagar,Raipur - 492001 • Rajkot: 915-

r Plaza, Full chap chowk, Rajkot-360001• Ranchi: 2nd floor Liya complex, P.P compound, Ranchi-834001• Rourkela: 1st Floor, Aditya Ventures, Holding No.72, Udit Nagar, Opp: Court, Rourkela - 769012 • Salem: No4,Anura Complex, Omalur Maind, Angammal Colony entrance, Salem - 636009 • Shimla: Sood Complex, Opposite Mela Ram Petrol Pump, Tara Hall, Circular Road, Shimla - 171003 • Siliguri: Ganpati Plaza 2nd floor, Near File Cineme hall, Sevoke Road Siliguri - 734001 • Surat:& 9 Mezzanine Floor, Jolly Plaza, Athwa Gate, Surat - 395001• Thane: Konark Tower Ground Floor, Shop 13 - 15, Ghantali Road, Thane (W), Thane - 400602 • Trichy: 19/1, 1ST Floor, Kingstone Park, Ramalinga nagar, Puthur High Road, Woraiyur,hy - 620017 • Trivandrum: 3rd, Floor, Kailas Plaza, Pattom, Trivandrum - 695 004 • Udaipur: 209-210, Daulat Chambers, 4-D Sardarpura, 2nd Floor, Udaipur - 313001 (Raj.) • Valsad: 103, Amar Chambers, Nr. ICICI Bank, Opp. Lal School, Stationd, Valsad - 396001 • Vapi: 145-146, Tirupati Plaza, Chala Road, VAPI - 396191 • Varanasi: Arihant Complex, 3rd Floor, D-9/127, C-4, Sigra,Varanasi-221002 • Vashi: Office No. 50, Ground Floor, Welfare Chamber CHS, Sector 17, Vashi, Navi

mbai - 400703 • Vijayawada: K.P.Towers, 40-1-52/6, Birla Sun Life Insurance, Acharya Ranga Nagar, Vijaywada - 520010• Vishakapatnam: 1st Floor, B-2, Pavan Palace, Opp. T.S.R.Complex, Dawarkanagar, Vishakapatnam - 530016.

CAMS NFO Collection Centres

OTHER POINTS OF ACCEPTANCE

ra : F-39/203, Sky Tower Sanjay Place Agra 282002 • Ahmedabad : 402-406, 4th Floor - Devpath Building Off C. G. Road Behind Lal Bungalow, Ellis Bridge, Ahmedabad-380 006• Ahmednagar: 203 - A, Mutha Chambers, Old Vasant Talkies Market,d Road, Ahmednagar, Maharashtra, Ahmednagar-414 001 • Ajmer: Shop No.S-5, Second Floor, Swami Complex, Ajmer 305001 • Akola : Opp. RLT Science College Civil Lines Maharashtra Akola 444001 • Aligarh: City Enclave, Opp. d Kumarsing Home, Ramghat Road, U.P. Aligarh 202001 • Allahabad: No.7, Ist Floor, Bihari Bhawan 3, S.P. Marg, Civil Lines, Allahabad-211001• Alleppey: Building No. VIII / 411, C C N B Road, Near Pagoda Resort, Chungom, Alleppey, Kerala - 688011•ar : 256A, Scheme No:1, Arya Nagar Alwar 301001 • Amaravati : 81, Gulsham Tower, 2 Floor, Near Panchsheel Talkies, Amaravati-444601 • Amritsar : 378-Majithia Complex, 1st Floor, M. M. Malviya Road, Amritsar-143001 • Anand: 101, A.P.

wer, B/H, Sardhar Gunj, Next to Nathwani Chambers, Anand-388001 • Ankleshwar: G-34, Ravi Complex, Valia Char Rasta, G.I.D.C., Ankleshwar- Bharuch 393 002• Asansol: Block - G 1 Floor, P C Chatterjee Market Complex, Rambandhu Talab, Pshagram, Asansol-713303• Aurangabad: Office No. 1, 1st Floor, Amodi Complex, Juna Bazar, Aurangabad-431001 • Balasore: B. C. Sen Road, Balasore-756001• Bangalore: Trade Centre, 1st Floor 45, Dikensen Road (Next to Manipal Centre)galore-560 042 • Barnala Ist floor, R. K. Marbel House, Court Road, Barnala - 148101.Punjab • Bareilly: F-62-63, Butler Plaza, Civil Lines Bareilly U.P. Bareilly-243001 • Basti: Office no. 3, Ist Floor, Jamia Shopping Complex, (Opposite Pandeyool), Station Road, Basti- 272002.Uttar Pradesh • Belgaum: Tanish Tower, CTS No. 192/A, Guruwar Peth Tilakwadi, Belgaum 590006 • Bellary : No.18A, 1st Floor Opp. Ganesh Petrol Pump Parvathi Nagar Main Road Bellary-583103• Berhampur:t Floor, Upstairs of Aaroon Printers Gandhi Nagar Main Road Orissa Berhampur-760001 • Bhagalpur: Dr R P Road, Khalifabag Chowk, Bihar, Bhagalpur-812002 • Bhavnagar: 305-306, Sterling Point, Waghawadi Road, OPP. HDFC BANK,

vnagar-364002 • Bhilai: 209, Khichariya Complex, Opp IDBI Bank, Nehru Nagar, Square Bhilai-490020 • Bhilwara: C/o Kodwani & Associates, F-20-21, Apsara Complex, Azad Market Bhilwara-311001• Bhiwani: 24-25, First Floor, City Mall, Hansie, Bhiwani - 127021 • Bhopal: C-12, Near City Bank, Above Delhi, Prakashan Agency Zone-I, M.P.Nagar, Bhopal-462011• Bhubaneswar: 101/ 7, Janpath, Unit - III, Bhubaneswar-751 001 • Bhuj: Data Solution, Office No:17, I st Floor Municipalding, Opp. Hotel Prince, Station Road, Bhuj - Kutch-370001• Bikaner: F 4, 5 Bothra Complex, Modern Market, Bikaner, Rajasthan - 334001• Bokaro : HC-3, Ist Floor City Centre, Sector-4 Bokaro Steel City Bokaro 827004 • Burdwan: 399, G T Roaddwan 713101 • Calicut: 17/28, H 1 Floor Manama Building Mavoor Road, Calicut 673001 • Chandigarh: Deepak Towers, SCO 154-155, 1st Floor, Sector 17-C, Chandigarh-160 017 • Chennai: Ground Floor No.178/10, Kodambakkam High Roadp. Hotel Palmgrove Nungambakkam Chennai-600 034 • Chhindwara: Office No - 1, Parasia Road, Near Mehta Colony, Chhindwara - 480001 • Cochin: 40/9633 D, Veekshanam Road Near International hotel Cochin-682 035 • Coimbatore: Old # 66w # 86, Lokamanya Street (West), Ground Floor, R.S.Puram, Coimbatore-641 002 • Cuttack: Near Indian Overseas Bank, Cantonment Road Mata Math, Cuttack-753001 • Davenegere: 13, Ist Floor, Akkamahadevi Samaj Complex Church RoadExtension Devengere-577002• Dehradun: 204/121 Nari Shilp Mandir Marg Old Connaught Place, Dehradun-248001• Dhanbad: Urmila Towers Room No: 111(1st Floor) Bank More Dhanbad-826001 • Dhule: H. No. 1793 / A, J. B. Road, Near Towerden Maharashtra Dhule-424 001 • Durgapur: 4/2, Bengal Ambuja Housing Development Ltd., Ground Floor, City Centre Durgapur-713 216 • Eluru: Door No.: 23, B - 4 - 73, Andhra Bank Lane, Opposite Srinivasa Theatre, Ramachandra Rao Peta,u - 534002 • Erode: 197, Seshaiyer Complex Agraharam Street Erode-638001 • Faridhabad: B-49, Ist Floor Nehru Ground Behind Anupam Sweet House NIT Faridhabad-121001 • Firozabad: Shop No. 19, 1st Floor, Above YO Bikes, Seth Vimal

and Jain Market, Jain Nagar, Agra Gate, Firozabad, Uttar Pradesh - 283 203 • Gandhidham: Grain Merchants Association Building, Gandhidham - 370201 • Ghaziabad: 113/6, I Floor, Navyug Market Gazhiabad-201001• Goa: No.108, 1st Floor,udutta Bldg., Above Weekender, M G Road, Panaji (Goa)-403 001 • Gondal: Kailash Complex, Wing - A, Office No. 52, Bus Stand Road, Near Gundala Gate, Gondal - 360311 • Gorakhpur: Shop No. 3, Second Floor, The Mall Cross Road, A.D.wk Bank Road Gorakhpur 273001 • Guntur : Door No 5-38-44 5/1 BRODIPET Near Ravi Sankar Hotel Guntur 522002• Gurgoan: SCO - 16, Sector 14, First Floor, Gurgoan 122001 • Guwahati : A.K. Azad Road, Rehabari Guwahati 781008 • Gwaliorloor, Singhal Bhavan Daji Vitthal Ka Bada Old High Court Road Gwalior 474001 • Hosur : Shop No.8 J D Plaza OPP TNEB Office Royakotta Road Hosur 635109• Hubli : 206 & 207. 1st Floor 'A' Block, Kundagol Complex Opp Court, Club road Hubli029 • Hyderabad : 102, First Floor Jade Arcade Paradise Circle Secunderabad 500 003 • Indore : 101, Shalimar Corporate Centre 8- B, South tukogunj, Opp.Greenpark Indore 452 001 • Jabalpur : 975,Chouksey Chambers Near Gitanjali School 4thge, Napier Town Jabalpur 482001 • Jaipur : R-7, Yudhisthir Marg, C-Scheme Behind Ashok Nagar Police Station, Jaipur-302001 • Jajpur: Room No 1, First Floor, Sulaikha complex, Chorda, Bypass Jajpur Road, Jajpur - 755091 • Jalandhar: 367/8,tral Town Opp. Gurudwara Diwan Asthan Jalandhar - 144001 • Jalgaon : Rustomji Infotech Services 70, Navipeth Opp. Old Bus Stand Jalgaon 425001 • Jalna :Shop No. 6, Ground Floor, Anand Plaza Complex, Bharat Nagar, Shivaji Putla Road,a - 431 203 • Jammu: 660- Gandhi Nagar Jammu-180004 • Jamnagar : 217/218, Manek Centre P.N. Marg Jamnagar-361001• Jamshedpur : Millennium Tower, “R” Road Room No:15 First Floor, Bistupur Jamshedpur-831001• Jaunpur: 248, Fort

ad, Near Amber Hotel, Jaunpur - 222001 • Jhansi: Opp SBI Credit Branch Babu Lal Kharkana Compound Gwalior Road Jhansi 284001• Jodhpur: 1/5, Nirmal Tower Ist Chopasani Road Jodhpur 342003 • Junagadh : Circle Chowk, Near Choksi Bazarman, Gujarat Junagadh 362001 • Kanpur : I Floor 106 to 108 CITY CENTRE Phase II 63/ 2, THE MALL Kanpur-208001• Karimnagar : HNo.7-1-257, Upstairs S B H Mangammathota Karimnagar A.P. Karimnagar 505 001 • Katni: NH 7, Near LIC,alpur Road, Bargawan, Katni, Madhya Pradesh - 483 501 • Kadapa : Bandi Subbaramaiah Complex D.No: 3/ 1718, Shop No: 8 Raja Reddy Street, Beside Bharathi Junior College, KADAPA – 516 001.Andhra Pradesh • Kestopur: AA 101, Prafullaan Sreeparna Appartment Ground Floor Kolkata Kestopur-700101• Khammam: Shop No: 11 - 2 - 31/3, 1st floor, Philips Complex, Balajinagar, Wyra Road, Near Baburao Petrol Bunk, Khammam, Andhra Pradesh - 507 001 • Khanna: Shop No 3,

k of India Building, Guru Amar Dass Market, Khanna - 141401 • Kolhapur : AMD Sofex Office No.7, 3rd Floor, Ayodhya Towers Station Road, Kolhapur 416001 • Kolkata : “LORDS Building” 7/1,Lord Sinha Road, Ground Floor, Kolkata-700 071 •am : Kochupilamoodu Junction Near VLC, Beach Road Kollam 691001 • Kota : B-33 'Kalyan Bhawan Triangle Part ,Vallabh Nagar Kota 324007 • Kottayam : Building No. KMC IX / 1331 A, Opposite Malayala Manorama, Railway Station Road,kkummoottil, Kottayam - 686001 • Kumbakonam: Jailani Complex 47, Mutt Street Tamil Nadu Kumbakonam 612001 • Lucknow : Off # 4,1st Floor,Centre Court Building, 3/c, 5 - Park Road, Hazratganj Lucknow-226 001 • Ludhiana : U/ GF, Princeket, Green Field, Near Traffic Lights, Sarabha Nagar Pulli Pakhowal Road, Ludhiana 141 002 • Madurai : 86/71A, Tamilsangam Road Madurai 625 001 • Mangalore : No. G 4 & G 5, Inland Monarch Opp. Karnataka Bank Kadri Main Road, Kadri,

ngalore-575 003 • Manipal: Academy Annex, First Floor, Opposite Corporation Bank, Upendra Nagar, Manipal-576104 • Mathura: 159/160, Vikas Bazar, Mathura-281001 • Meerut: 108 Ist Floor, Shivam Plaza, Opposite Eves Cinema, Hapur Road,erut-250002• Mehsana: 1 Floor, Subhadra Complex Urban Bank Road Mehsana Gujarat-384002 • Moradabad: B-612, 'Sudhakar' Lajpat Nagar, Moradabad - 244001 • Mumbai: Rajabahdur Compound, Ground Floor Opp Allahabad Bank, BehindCI Bank 30, Mumbai Samachar Marg, Fort, Mumbai-400 023 • Muzzafarpur: Brahman toli, Durgasthan Gola Road Muzaffarpur-842001 • Mysore: No.1, 1st Floor, CH.26, 7th Main, 5th Cross (Above Trishakthi Medicals) Saraswati Puram Mysore-009 • Nagpur : 145 Lendra Park, Behind Indus Ind Bank, New Ramdaspeth Nagpur-440 010 • Nandyal: Shop No.: 62 & 63, Srinivasa Complex, Besides Ramakrishna Plywood, Srinivasa Nagar, Nandyal - 518501 • Nalgonda: H.NO: 6 - 2 - 1477,

madhana Nagar, beside HDFC STANDARD LIFE OFFICE Lane, Ramgiri, Nalgonda - 508 001. Andhra Pradesh • Nasik: “Varsha Bungalow”, 1st Floor, Near Rungtha High School, 493, Ashok Stambh, Nasik-422001 • Navsari: Dinesh Vasani &ociates, 103 -Harekrishna Complex, above IDBI Bank, Nr. Vasant Talkies Chimnabai Road Navasari-396445 • Nellore :97/56, I Floor, Immadisetty Towers, Ranganayakulapet Road, Santhapet, Nellore-524001 • New Delhi : 304-305, III Floor,chenjunga Building, 18, Barakhamba Road, Cannaugt Place, New Delhi-110 001 • Noida : B-20, Sector - 16, Near Metro Station, Noida, Uttar Pradesh - 201301 • Ongole: Shop No.1, ARN Complex, Kurnool Road, Prakasam District, Ongole - 523001nipat: 83, Devi Lal Shopping Complex Opp ABN Amro Bank, G.T.Road Panipat-132103 • Patiala : 35, New lal Bagh Colony Patiala-147001 • Pathankot: 13 - A, First Floor, Gurjeet Market, Dhangu Road, Pathankot - 145001 • Patna: Kamlalayebha Plaza, Ground Floor Near Ashiana Tower Exhibition Road Patna-800001 • Pondicherry: S-8, 100, Jawaharlal Nehru Street (New Complex, Opp. Indian Coffee House) Pondicherry-605001 • Porbandar: 1st Floor, Silver Complex, S.T. Road,arat Porbandar-360575 • Proddatur: Dwarakamayee, D. No. 8 / 239, Opposite Saraswathi Type Institute, Sreeramula Peta, Proddatur - 516360 • Pune: Nirmiti Eminence, Off. No. 6, I Floor, Opp. Abhishek Hotel Mehandale, st. Garage Road,ndawane, Pune-411 004 • Raipur: C-24, Sector 1, Devendra Nagar, Raipur-492004• Rajahmundry: Cabin, 101, D.no 7-27-4, 1 Floor, Krishna Complex, Baruvari Street, T Nagar Rajahmundry-533101• Rajkot: 111, Pooja Complex, Harihar Chowk,r GPO, Rajkot-360001 • Ranchi: 223,Tirath Mansion (Near Over Bridge),1st Floor Main Road Ranchi-834001 • Ranchi: 4, HB Road. No. 206, 2nd Flr., Shri Lok Complex, Ranchi - 834 001 • Ratlam: 18, Ram Bagh, Near Scholar's School, Ratlam -001 • Rohtak : 205, 2 Floor, Blg. No. 2, Munjal Complex, Delhi Road, Rohtak 124001 • Rourkela: 1st Floor, Mangal Bhawan, Phase II, Power House Road, Rourkela-769001 • Sagar: Opp. Somani Automobiles, Bhagwanganj Sagar Madhya Pradeshar-470 002 • Salem : No.2, I Floor, Vivekananda Street, New Fairlands, Salem-636016 •Sambalpur:C/o Raj Tibrewal & Associates Opp.Town High School, Sansarak Sambalpur - 768001 •Satara:117 / A / 3 / 22, Shukrawar Peth Sargam Apartment,

harashtra, Satara-415002 • Satna: 1st Floor, Shri Ram Market Besides Hotel Pankaj, Birla Road SATNA Madhya Pradesh SATNA-485 001 • Shahjahanpur: Bijlipura, Near Old Distt Hospital, Jail Road, Shahjahanpur, Uttar Pradesh - 242 001 •guri: No 8, Swamiji Sarani, Ground Floor, Hakimpara Siliguri-734401 • Sirsa: Gali No:1, Old Court Road, Near Railway Station Crossing, Sirsa, Haryana - 125055 • Solapur: 4, Lokhandwala Tower, 144, Sidheshwar Peth, Near Z.P. Opp. Pangal Highool, Solapur-413001 • Surat:Office No 2 Ahura -Mazda Complex, First Floor, Sadak Street, Timalyawad, Nanpura, Surat-395001 • Thane(W):3rd Floor, Nalanda Chambers, "B" Wing, Gokhale Road, Near Hanuman Temple, Naupada, Thane (West)0 602. Maharashtra • Thiruppur: 1(1), Binny Compound, II Street, Kumaran Road, Thiruppur-641601 • Thiruvalla: Central Tower, Above Indian Bank, Cross Junction, Thiruvalla, Kerala- 689101 • Tirunelveli : III Floor, Nellai Plaza, 64-D, Madurai

d, Tirunelveli-627001 • Tirupathi : Shop No14, Boligala Complex, 1st Floor, Door No. 18-8-41B, Near Leela Mahal Circle, Tirumala, Byepass Road, Tirupathi-517501 • Trichur: Adam Bazar, Room no.49, Ground Floor, Rice Bazar (East), Trichur-001 • Trichy: No 8, I Floor, 8th Cross West, Extn Thillainagar Trichy-620018 • Trivandrum:R S Complex, Opposite of LIC Building, Pattom PO, Trivandrum-695004 • Udaipur: 32 Ahinsapuri, Fatehpura Circle, Udaipur-313004 • Ujjain: 123, Firstor, Siddhi Vinanyaka Trade Centre, Saheed Park, Ujjain - 456010 • Vadodara: 109 - Silver Line, Besides world Trade Centre, Sayajigunj, Vadodara-390005 • Valsad: Gita Nivas, 3rd Floor, Opposite Head Post Office, Halar Cross Lane, Valsad,arat-396001 • Varanasi:C 27/249 - 22A, Vivekanand Nagar Colony, Maldhaiya, Varanasi-221002 • Vashi:Mahaveer Center Office No:17, Plot No: 77, Sector 17, Vashi-400703 • Vellore:No:54, Ist Floor, Pillaiyar Koil Street, Thotta Palayam, Vellore-004 • Vijayawada:40-1-68, Rao & Ratnam Complex, Near Chennupati Petrol Pump, M.G Road, Labbipet Vijayawada 520 010 • Visakhapatnam:47/ 9 / 17, 1st Floor, 3rd Lane, Dwaraka Nagar, Visakhapatnam - 530 016 • Warangal:F13, 1st Floor,

SS Mayuri Complex, Opp. Public Garden, Lashkar Bazaar, Hanamkonda, Warangal-506001 • Yamuna Nagar: 124-B/R, Model Town, Yamunanagar, Haryana, Yamuna Nagar-135 001. In addition to the above, CAMS, Registrar & Transfer Agents toa Sun Life Mutual Fund will be the official point of acceptance for all online / electronic transactions by investors who have subscribed to the Online Transaction Facility offered by Birla Sun Life Asset Management Company Ltd (BSLAMC). The investorsundertake purchase / sale / switch transactions and avail of such other online facilities as may be provided by BSLAMC from time to time through its official website - www.birlasunlife.com, which is the official point of acceptance for electronicsactions and through other secured internet sites of specified banks, financial institutions, etc. with whom BSLAMC has entered or may enter into specific arrangements for providing online facility. Secured internet sites operated by CAMS will also beial point of acceptance.

umbai: 19,'Shreeji Darshan', Shantilal Modi Road, Near Bata Show Room, Kandivali (West), Mumbai - 400 067 • Dombivili: Shop No.8, Manpada Road, Char Rasta, Nr. Bank of India, Dombivili (East) - 421 201 • Kalyan: Shop No.5, Madhav Building,k Baug, Opp Archies Bldg, New Kalyan Road, Kalyan (West) - 421 301 • Navi Mumbai: Shop No. 5, Crystal Apartments, Plot No. 25, Sector 19, Opp- Axis Bank, New Panvel, Navi Mumbai - 410206.





Investment Manager : Birla Sun Life Asset Management Company Ltd

Mutual Fund : Birla Sun Life Mutual Fund

Offer of units of ` 10/- each for cash (subject to applicable load) during the New Fund OfferNew Fund Offer Opens: Friday, March 11, 2011 | New Fund Offer Closes: Friday, March 25, 2011

Key Information Memorandum (KIM) sets forth the information, which a prospective investor ought to know before investing. For further details of the scheme/Mutual Fund, due diligence certificate by the AMC, Key Personnel, investors'ts & services, risk factors, penalties & pending litigations etc. investors should, before investment, refer to the Scheme Information Document and Statement of Additional Information available free of cost at any of the Investorvice Centres or distributors or from the website www.birlasunlife.com.Scheme particulars have been prepared in accordance with Securities and Exchange Board of India (Mutual Funds) Regulations 1996, as amended till date, and filed with Securities and Exchange Board of India (SEBI). The units

ng offered for public subscription have not been approved or disapproved by SEBI, nor has SEBI certified the accuracy or adequacy of this KIM. The Mutual Fund/AMC and its empanelled broker(s) has not given and shall not giveindicative portfolio and indicative yield in any communication, in any manner whatsoever. Investors are advised not to rely on any communication regarding indicative yield/portfolio with regard to the schemeto be distinctly understood that the permission given by National Stock Exchange of India Limited (NSE) should not in any way be deemed or construed that the Scheme Information Document has been cleared or approved by

E nor does it certify the correctness or completeness of any of the contents of the Draft Scheme Information Document. The investors are advised to refer to the Scheme Information Document for the full text of the 'Disclaimeruse of NSE. The KIM is dated February 15, 2011.e rating of “mfAAA (so)” is pronounced as “mf triple A S O”. The assigned rating is valid only for Birla Sun Life Capital Protection Oriented Fund - Series 5. The rating indicates highest degree of certainty for payment of face value of the mutual fund s on maturity to the unit holders. The ratings should, however, not be construed as an indication of expected returns, prospective performance of the Mutual Fund scheme, NAV or of volatility in its return.

KEY INFORMATION MEMORANDUM

vestment Objective

vestment Strategy

sset Allocation and Investmentattern of the Scheme

Under normal circumstances, the asset allocation pattern for the scheme shall be as under:

Risk profileIndicative allocations (% of total assets)

Instruments

Low to medium 80%Debt Securities and money market instruments*

High, but limited to the premium paid 0%Options Premium^

quidity The scheme will have duration of 832 days from and including the date of allotment.

Minimum Maximum

100%

20%

sk Control

The scheme seeks to provide capital appreciation linked to equity market with downside protection at the end of tenure.• Fund expects to achieve down side protection by investing in debt securities with tenure comparable with the tenure of the Plan, subject to the credit risk.• Fund expects to achieve the market-linked appreciation (upside) by investing in premium of exchange traded options.

The Fund proposes to restrict its derivative exposure only to the extent of buy ing of call options. Hence the maximum loss could be equivalent to the premium paid, not anymore, Moreover, the premium paid will be equal or lower to the coupon receivable from fixed income securities after providing for fund expenses.

The Investment Philosophy of the fund manager is to provide capital appreciation linked to equity market with downside protection at the end of tenure.The Fund expects to achieve down side protection by investing in debt securities with tenure comparable with the tenure of the Plan, subject to the credit risk.The Fund expects to achieve the market linked appreciation (upside) by investing in premium of exchange traded options.The total option premium shall be limited to available surplus after investing in debt securities initially and provision of the expense ratio.ExampleFor illustration purposes only, purely to explain the concept of the scheme and should not be taken as any indication of either capital protection or equity market returns. Theactual allocation can be different and shall be within the provisions of Asset Allocation and Investment Pattern mentioned in the SID. The actual allocation & performancewould depend upon prevailing market conditions. Within the specified limit, the actual expense ratio could be higher or lower than the assumption below.It is an 832 days Plan; Interest rate is assumed @ 9.25% p.a. at the time of investment; option premium is assumed 19%; total expense assumed: ` 3. In order to offerdownside protection at the end of the tenure, the fund will have to invest 82% in debt securities. After provisioning for expenses (` 3 for 832 days), the remaining amountavailable for the fund to invest in options premium is ` 15. Since the option premium is 19%, with 15% of available investment amount for options , the fund will be able to offer79% participation in the market.Let’s now look at potential investor returns in various market scenarios• If market goes up by 40% absolute over 832 days: Investor gets back debt investment (` 82) + interest income (` 18) and Gain on options (` 100 initial corpus * 79%

participation * 40% market gain = ` 31.6). The maturity value would be ` 131.6.• If market goes down by 40% absolute over 832 days: Investor gets debt investment (̀ 82) + interest income (` 18) and Loss on options (premium value is lost but there

is no additional loss, as the fund will not exercise the option and let it expire). The maturity value would be ` 100.• Market closes flat after over 832 days: Investor gets debt investment (̀ 82) + Interest income (` 18) and Gain / Loss on options (premium value is lost but there is no

additional loss, as the fund will not exercise the option and let it expire). The maturity value would be ` 100.

* Money Market Instruments include commercial papers, commercial bills, treasury bills, and Government securities having an unexpired maturity upto one year, call ornotice money, certificate of deposit, usance bills, CBLOs and any other like instruments as specified by the Reserve Bank of India from time to timeThe scheme does not intend to invest in Securitised Debt.^The Option Premium shall be for the purpose of exposure to derivative instruments which shall be restricted to long call options. The Options Premium offers the actualequity market exposure. The total exposure related to option premium paid will not exceed 20% of the net assets of the scheme. Moreover the upper limit of 20% investmentin Options Premium is applicable only at the time of investment. If due to market action the value of options appreciates/ depreciates resulting in breach of the limit of 20%, thefund manager may or may not rebalance the portfolio and may run with the ongoing exposure. However, if the fund manager sells the option before maturity, the reinvestmentwill be subject to maximum 20% limit on Options Premium.The scheme shall invest only in such securities which mature on or before the date of the maturity of the scheme.The scheme does not intend to invest in Foreign Securities.The Fund will diversify its debt portfolio across instruments with various rating agencies. The following criteria will be used for selecting the portfolio securities:• The Portfolio will not invest more than 20% of total portfolio value in instruments rated by ICRA, as ICRA has rated this Fund.• However, the above restriction shall not apply to investments in PSU Bonds (entities where GoI holding is over 51%).• The remaining fixed income portfolio (other than Money Market Instruments) will be invested in securities that are rated by a rating agency other than the one which has

rated the Fund.

• The yield of purchase shall not be more than 100 bps over CRISIL & ICRA Bond *AAA* Matrix level• Further, the scheme shall consider positive and negative list of issuers as decided in accordance with Credit policy of BSLAMC. For further details please refer Section onRisk Control as appearing below.The Fund manager(s), may alter the asset allocation pattern mentioned above at the time of any subsequent deployment of funds generated out of the appreciation in thevalue of the investments to the extent deemed appropriate including investment in short term and / or long term options in the best interest of the investors, while endeavoringthat the capital will remain protected on maturity and ensuring that the rating of the Scheme is not adversely affected

Investments made by the scheme would be in accordance with the investment objectives of the scheme and provisions of SEBI Regulations. Since investing requiresdisciplined risk management, the AMC would incorporate adequate safeguards for controlling risks in the portfolio construction process. The risk control process involvesreducing risks through portfolio diversification, taking care however not to dilute returns in the process. The AMC believes that this diversification would help achieve thedesired level of consistency in returns. The AMC aims to identify securities, which offer superior levels of yield at lower levels of risks. With the aim of controlling risks, rigorousin-depth credit evaluation of the securities proposed to be invested in will be carried out by the investment team of the AMC.Every investment in Debt and Money Market Ins truments of any issuer would be made in accordance with Credit policy as defined and established by BSLAMC from time totime. The Credit Policy, which is reviewed and monitored on a regular basis by Investment Committee, inter alia, enumerates issuer selection process, the variousparameters to be considered for setting up credit exposure limits and Credit authorisation matrix for such limits, credit monitoring process etc.As an overlay to above mentioned policy, the scheme shall also be bound by warranties issued by ICRA while rating this scheme. The investment clauses of the ratingagencies restrict debt component to be invested only in AAA rated or equivalent securities. Ratings assigned are required to be monitored over the life of the instrument.Additionally, at a broad level, BSLAMC shall have a posi tive list of issuers would be AAA rated PSU entities, Financial Ins titutions, Manufacturing entities which would be ourprime consideration for investment.The negative list would be bonds that are AA+ and below rated papers and also bonds of sensitive sectors like Real Estate, NBFCs etc. In case any new issuer is in the marketat the time of our actual investment, AMC shall ensure that the investments are made in instruments which are AAA rated or equivalent for such new entrants.

BSLAMC reserves the right to alter the list from time to time to the extent the same is deemed fit on the basis of Credit policy, as adopted and in the interest of protecting thecapital of the investors.Further, the fund manager shall carry out risk assessment of the issuer, continuously monitor the networth of the company, check the track record of the company and/or itssponsors/parent company, any defaults by such companies in past etc. For further details on these parameters for selection and investment criterions, investors arerequested to refer to SID. However, these parameters are dependent upon information available at the time of due dil igence. Fund manager shall endeavor to include allsuch parameters but investors should note that these parameters are indicative and can change from time to time at the discretion of the fund manager.The Scheme may also use various derivatives and hedging products from time to time, as would be available and permitted by SEBI/RBI, in an attempt to protect the value ofthe portfolio and enhance Unitholders' interest.It is proposed to manage the risks by placing limit orders for basket trades and other trades, proactive follow-up with the service providers for daily change in weights in therespective indices as well as closely monitor daily inflows and outflows to and from the Fund.The Trustees will also continuously monitor the structure of the portfolio of the scheme and will report the same in the half-yearly Trustee Report. The AMC shall also reportabout the same in the bi-monthly Compliance Test Report.While these measures are expected to mitigate the above risks to a large extent, there can be no assurance that these risks would be completely eliminated.

ame of Scheme Birla Sun Life Capital Protection Oriented Fund - Series 5


http://slidepdf.com/reader/full/kim-bsl-capital-protection-oriented-fund-ser-5 7/7Place: Mumbai

Mutual Fund Units involve investment risks including the possible loss of principal. Please read the Statement of Additional Information / Scheme Information Documentcarefully for details on risk factors before investment. Scheme specific Risk Factors are summarized:• The scheme offered is “oriented towards protection of capital” and “not with guaranteed returns”. Further, the orientation towards protection of the capital

originates from the portfolio structure of the scheme and not from any bank guarantee, insurance cover etc• The ability of the portfolio to meet capital protection on maturity to the investors can be impacted by interest rate movements in the market, credit defaults by bonds,

expenses and reinvestment risk.• The rating provided by ICRA Ltd. should not be treated as a recommendation to buy, sell or hold the units issued under the scheme.• ICRA reserves the right to suspend, withdraw or revise the above rating at any time, on the basis of any new information or unavailability of information or such other

circumstances, which ICRA believes may have impact on the ratings assigned to the scheme.In addition to the above, investments in the scheme are subject to various risk factors including but not limited to risks associated with: investments in Debt Securities such asPrice-Risk or Interest-Rate Risk, Credit Risk, Liquidity or Marketability Risk, Reinvestment Risk etc., investments in Derivatives (The risks associated with the use ofderivatives are different from or possibly greater than, the risks associated with investing directly in securities and other traditional investments). Different types of securitiesin which the scheme would invest as given in the Scheme Information Document carry different levels and types of risk. Accordingly the scheme's risk may increase ordecrease depending upon its investment pattern. e.g. corporate bonds carry a higher amount of risk than Government securities.The above are some of the common risks associated with investments in various securities. There can be no assurance that a Scheme's investment objectives will beachieved, or that there will be no loss of capital. Investment results may vary substantially on a monthly, quarterly or annual basis.

Purchase Repurchase

Minimum of `5,000/- and in multiples of `10/- thereafter during the NFO period. No redemption (repurchase) of units is allowed before the maturity of the plan.Investors wishing to exit may do so by selling their units through stock exchange.

Within 10 working days from the date of maturity.

Not Applicable

Mr. Satyabrata Mohanty & Mr. Ajay Garg

Birla Sun Life Trustee Company Private Limited

This scheme does not have any performance track record

New Fund Offer PeriodThe initial issue expenses shall be borne by the AMC.

Entry Load*: NilExit Load: Nil

No redemption/repurchase of units shall be allowed prior to the maturity of the scheme. Investors wishing to exit may do so through stock exchange mode.* In terms of SEBI circular no. SEBI/IMD/CIR No.4/168230/09 dated June 30, 2009, no entry load will be charged by the Scheme to the investor effective August 1, 2009.Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors' assessment of various factors including the servicerendered by the distributor.

sk Profile of the Scheme

sting

ption

nimum Applicationmount/ Number of Units

espatch of Proceeds ofepurchase (Redemption) Request

enchmark Index

vidend Policy

ame of the Fund Manager

ame of the Trustee Company

rformance of the Scheme

xpenses of the Scheme

i) Load Structure

The scheme being offered through this Scheme Information Document is a close ended Scheme and the units offered under the Scheme will be listed on one or morerecognized stock exchanges as may be decided by AMC within 5 business days from the date of allotment. As the units will be listed on stock exchanges, investors/ unitholders can buy / sell units on a continuous basis on the stock exchanges during the trading hours like any other publicly traded stock at market prices. The minimumnumber of Units that can be bought or sold on the Exchange is 1 (one) unit. Unitholders who wish to trade in units would be required to have a demat account. All investorsmay buy/sell Units on the Stock Exchange on all the trading days as per the settlement cycle of the Stock ExchangeAlthough Units are to be listed on Stock Exchange, there can be no assurance that an active secondary market will develop or be maintained. The AMC and the Trustees willnot be liable for delay in trading of Units on Stock Exchange due t o the occurrence of any event beyond their controlAs per SEBI circular SEBI/IMD/CIR No. 12/147132/08 dated December 11, 2008 the units of the scheme will be listed on National Stock Exchange of India Ltd. (NSE) forwhich the Trustees have obtained an in-principle approval from NSE.

The scheme shall have Growth Option only.

pplicable NAV Units of the scheme cannot be redeemed by the investors directly with the fund until the date of maturity of the scheme. Therefore, the provisions of cut off timing forredemptions will not be applicable.

CRISIL Balanced Fund IndexThe fund reserves the right to change the benchmark for evaluation of the performance of the scheme from time to time, subject to SEBI Regulations and other prevailingguidelines if any.

Average weekly net assets Maximum, as a % of average weekly net assets

First ` 100 crores 2.25%

2.00%

1.75%

Next 300 crores`

Next 300 crores`

1.50%Balance

ii) Recurring expenses

Not Applicable

Investor will be advised to refer to the details in the Statement of Additional Information and also independently refer to his tax advisor.

The NAV will be declared on all the days and will be published in 2 newspapers. NAV can also be viewed on www.birlasunlife.com and www.amfiindia.com Investors canalso call up at our toll free number 1-800-22-7000.

Birla Sun Life Asset Management Company Limited, One India Bulls Centre, Tower 1, 17th Floor, Jupiter Mill Compound, 841, SenapatiBapat Marg, Elphinstone Road, Mumbai - 400 013.Tel.: 1800-270-7000 / 1800-22-7000 , E-mail: [email protected]: www.birlasunlife.com

Registrar & Transfer Agents:Computer Age Management Services Pvt. Ltd. (CAMS)Rayala Towers, 158, Anna Salai, Chennai - 600002.Contact Details: 1800-425-2267 E-mail: [email protected]: www.camsonline.com

aiver of Load for Directpplications

x treatment for the Investorsnitholders)

aily Net Asset ValueAV) Publication

or Investor Grievances pleaseontact

nitholders' Information Mailing of account statements reflecting the allotments will be completed within 5 business days from the date of closure of the New Fund Offer Period.The Scheme wise annual report or an abridged summary thereof shall be mailed to all Unit holders not later than four months from the date of closure of the relevantaccounting year and full annual report shall be available for inspection at the Head Office of the Mutual Fund and a copy shall be made available to the Unit holders onrequest on payment of nominal fees, if any.The Mutual Fund and Asset Management Company shall before the expiry of one month from the close of each half year that is on 31st March and on 30th September,publish its unaudited financial results in one national English daily newspaper and in a regional newspaper published in the language of the region where the Head Office ofthe Mutual Fund is situated.Investor(s) who have provided their email address in the application form or any subsequent communication in any of the folio belonging to the investor, Electronic Mail(email) shall be treated as a default mode for sending various statutory communications including Abridged Annual Report to the investor. The investor(s) may however onrequest obtain a physical copy of Abridged Annual Report or any other statutory communication.

otwithstanding anything contained in the Key Information Memorandum, the provisions of SEBI (Mutual Funds) Regulations, 1996 and Guidelines thereunder shall be applicable. Further,vestors may ascertain about any further changes from the Mutual Fund/Investor Service Centres /Distributors or Brokers.

http://www.moneyvriksh.com/



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