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Key Information Memorandum and Application Form
Offer for Units of H 10/- per Unit for cash
during the New Fund Offer Period and at NAV
based prices upon re-opening
This 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’ rights and services, risk factors, penalties and
pending litigations etc. investors should, before investment,
refer to the Scheme Information Document (SID)
dated March 10, 2011 and Statement of Additional
Information available free of cost at any of the Investor
Service Centres or distributors or from the website
www.assetmanagement.hsbc.com/in.
The 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
being offered for public subscription have not been approved
or disapproved by SEBI, nor has SEBI certified the accuracy
or adequacy of this KIM. The date of this KIM is March 10,
2011.
Sponsor:
HSBC Securities and Capital Markets
(India) Private Limited
Regd. Office: 52/60, Mahatma Gandhi Road,
Fort, Mumbai 400 001, India.
Trustee:
Board of Trustees
Office: 314, D. N. Road,
Fort, Mumbai 400 001, India
Asset Management Company:
HSBC Asset Management (India) Private Limited
Corp. & Regd. Office: 314, D. N. Road,
Fort, Mumbai 400 001, India
HSBC Brazil Fund (HBF)An open-ended Fund of Funds Scheme
Visit us at: www.assetmanagement.hsbc.com/in E mail id: [email protected]
New Fund Offer Opens on:
April 15, 2011
New Fund Offer Closes on:
April 29, 2011
Scheme Re-opens for continuous
sale and repurchase on:
May 09, 2011
2 HSBC Brazil Fund
InvestmentObjective
The primary investment objective of the Scheme is to provide long term capital appreciation by investing predominantly in units/shares ofHSBC Global Investment Funds (HGIF) Brazil Equity Fund. The Scheme may, at the discretion of the Investment Manager, also invest inthe units of other similar overseas mutual fund schemes, which may constitute a significant part of its corpus. The Scheme may alsoinvest a certain proportion of its corpus in money market instruments and/or units of liquid mutual fund schemes, in order to meet liquidityrequirements from time to time.
Asset AllocationPattern of theScheme
Types of Instruments Normal Allocation(% of Net Assets)
Minimum Maximum
Units/shares of HGIF Brazil Equity Fund 95% 100%
Money Market instruments (including CBLO & reverse repo) and / or units of liquid mutual fund schemes 0% 5%
Investment in units/shares of overseas mutual fund schemes other than HGIF Brazil Equity Fund, will be considered as a change in thefundamental attribute of the Scheme and all applicable provisions under the SEBI (Mutual Funds) Regulations, 1996 read with anyamendments thereto, would be complied with, including giving an option to investors for a period of 30 days, to exit at the prevailing NAVof the Scheme, without being charged any exit load.
The Scheme will not invest in the underlying scheme(s) which invest more than 10% of their net assets in unlisted equity shares or equityrelated instruments.
InvestmentStrategy of theScheme
The Scheme will invest predominantly in units / shares of HGIF Brazil Equity Fund. The Scheme may, at the discretion of the InvestmentManager, also invest in the units of other similar overseas mutual fund schemes, which may constitute a significant part of its corpus. TheScheme may also invest a certain proportion of its corpus in money market instruments and/or units of liquid mutual fund schemes, inorder to meet liquidity requirements from time to time.
Risk Profile of theScheme
Mutual Fund units involve investment risks including the possible loss of principal. Please read the SID carefully for details on risk factorsbefore investment. Scheme Specific Risk Factors are summarized below:
� The Scheme will be investing predominantly in units/shares of HGIF Brazil Equity Fund. The Scheme may, at the discretion of theInvestment Manager, also invest in the units of other similar overseas mutual fund schemes, which may constitute a significant partof its corpus. Hence the Scheme’s performance may depend upon the performance of the underlying scheme. Any change in theinvestment policy or the fundamental attributes of the underlying scheme will affect the performance of the Scheme.
� Investments in the underlying scheme, which is an equity fund, will have all the risks associated with investments in equity and theoffshore markets.
� If underlying scheme declares any day as a non-Business Day, AMC will also declare that day as a non-Business Day. However, if thisinformation is received by the AMC from underlying scheme later in the day and the Scheme has already accepted transactions, suchtransactions will be processed on the next Business Day.
� The portfolio disclosure of the Scheme will be largely limited to the investments made by the Scheme.
Risk Factors associated with Money Markets
� Investments in money market instruments would involve a moderate credit risk i.e. risk of an issuer’s liability to meet the principalpayments.
� Money market instruments may also be subject to price volatility due to factors such as changes in interest rates, general level ofmarket liquidity and market perception of credit worthiness of the issuer of such instruments.
� The NAV of the Scheme’s Units, to the extent that the corpus of the Scheme is invested in money market instruments, will beaffected by the changes in the level of interest rates.
Risk Factors for Underlying scheme (HGIF Brazil Equity Fund)
� Market Risk: The underlying scheme’s investments are subject to the risks inherent in all investments in securities i.e. the value ofholdings may fall as well as rise.
� Currency Risk: As the underlying scheme will invest in securities which are denominated in foreign currencies (e.g. US Dollars),fluctuations in the exchange rates of these foreign currencies or any change in exchange control guidelines may have an impact on theincome and value of the scheme.
� Hedging Risk: The investment manager to the underlying scheme is permitted, but not obliged, to use hedging techniques to attemptto offset market and currency risks. There is no guarantee that hedging techniques will achieve the desired result.
� Country Risk: The portfolio shall be exposed to the political, economic and social risks with respect to Brazil.
� Liquidity Risk: Investments can be negatively impacted by low liquidity, poor transparency and greater financial risks.
� Legal, Tax and Regulatory Risk: The underlying scheme could be exposed to changes (including retrospective) in legal, tax andregulatory regime which may adversely affect it and the investors.
� Settlement Risks: The scheme will be exposed to settlement risk, as Brazil may have different settlement periods and the proceduresmay be different.
� Emerging Market Risk: Economies in Emerging Markets like Brazil generally are heavily dependent upon international trade and,accordingly, have been and may continue to be affected adversely by trade barriers, exchange controls, managed adjustments inrelative currency values and other protectionist measures imposed or negotiated by the countries with which they trade.
� Sector Concentration Risk: The portfolio may have a high concentration in natural resources sector. Because these investments arelimited to narrow segment of the economy, the performance of the scheme could be sensitive to movements in these sectors.
Risks associated with Investing in Foreign Securities
Offshore investments will be made subject to any / all approvals, conditions thereof as may be stipulated by SEBI/RBI and provided suchinvestments do not result in expenses to the Fund in excess of the ceiling on expenses prescribed by and consistent with costs andexpenses attendant to international investing.
Risk MitigationFactors
� Market Risk : Investment approach supported by comprehensive research.
� Currency Risk : Investment Manager could use (there is no obligation) derivatives to hedge currency.
�· Country Risk : Investment universe is carefully selected to include high quality businesses.
� Liquidity Risk : Robust process for periodic monitoring of liquidity.
� Sector Concentration Risk : Investment across market capitalization spectrum and industries/sectors.
� Legal/Tax/Regulatory Risk : This risk is dependent upon a future event and will be clearly communicated to the investor.
� Emerging market Risks and Risks associated with foreign investments : The Fund will, where necessary, appoint intermediaries ofrepute as advisors, custodian/sub-custodians etc. for managing and administering foreign investments.
Option(s) /Sub-option(s)
Options: Growth & Dividend Sub-options: Dividend Payout and Dividend Reinvestment
3 HSBC Brazil Fund
TemporarySuspension ofSubscription
The AMC/Trustee reserves the right to temporarily suspend subscriptions in/switches into the Scheme or subsequent instalments ofHSBC SIP / HSBC STP will be stopped from the month in which the subscriptions exceed the maximum permissible limits prescribed bySEBI for overseas investments as mentioned under the heading on “Policy on Offshore Investments by the Scheme” of the SID (currentlythe limit for all the schemes of HSBC Mutual Fund put together is equivalent to US $ 300 mn).
Applicable NAV(after the Schemeopens forrepurchase andsale)
For subscriptions / purchases including switch-ins and redemptions including switch-outs
� Where a valid application is received upto 3.00 p.m. with a local cheque or demand draft payable at par at the place where it isreceived, the closing NAV of the day of receipt of application will be applicable.
� Where a valid application is received after 3.00 p.m. with a local cheque or demand draft payable at par at the place where it isreceived, the closing NAV of the next Business Day will be applicable.
� Where a valid application is received with an outstation cheque or demand draft which is not payable on par at the place where it isreceived, the closing NAV of day on which the cheque or demand draft is credited will be applicable.
MinimumApplicationAmount-Lumpsuminvestment
Initial investment Additional investment
H 10,000/- (and in multiples of H 1/- thereafter) H 1,000/- (and in multiples of H 1/- thereafter)
Despatch ofRepurchase(Redemption)Request
Within 10 Business Days from the date of redemption or repurchase request at any of the Investor Service Centres. Under normalcircumstances, the Fund will endeavour to despatch the redemption proceeds within 7 Business Days from the date of redemption orrepurchase request.
Benchmark Index MSCI Brazil 10/40 Index
Dividend Policy Declaration of dividend is subject to the availability of distributable surplus. Such dividends, if declared will be paid under normal circumstances,only to those Unitholders who have opted for Dividend option with specified sub-options. Further, no exit load shall be charged for Unitsallotted under Dividend Reinvestment option. However, it must be distinctly understood that the actual declaration of dividends under theScheme and the frequency thereof will, inter alia, depend upon the distributable surplus of the Scheme. The Trustees reserve the right ofdividend declaration and to change the frequency, date of declaration and the decision of the Trustees in this regard shall be final. There is noassurance or guarantee to Unitholders as to the rate of dividend distribution nor that the dividend will be regularly paid. The dividend that maybe paid out of the net surplus of the Scheme will be paid only to those Unitholders whose names appear in the register of Unitholders on thenotified record date. The dividend will be at such rate as may be decided by the AMC in consultation with the Trustees.
Name of the FundManager(s)
Gaurav Mehrotra and Niren Parekh, Dedicated Fund Managers for managing the overseas investments as permitted under the Regulations,guidelines and circulars issued from time to time.
Sanjay Shah, Fund Manager responsible for managing investments in Indian markets.
Name of theTrustee Company
Board of Trustees (The Trustees) of HSBC Mutual Fund
The Sponsor has appointed a Board of Individual Trustees to be the Trustees of HSBC Mutual Fund.
Presently Mr. N. P. Gidwani, Mr. Nasser Munjee, Mr. Mehli Mistri, Mr. Dilip J. Thakkar and Mr. Manu Tandon are the Trustees of HSBCMutual Fund.
Performance ofthe Scheme
This Scheme being a new Scheme, does not have any performance track record.
Expenses of theScheme
(i) Load Structure
New Fund Offer Period & Continuous Offer
Entry Load - Nil
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 theinvestor. Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors assessmentof various factors including the service rendered by the distributors.
Exit Load - 1% if redeemed / switched-out within 1 year from the date of allotment. Otherwise Nil.
No exit load shall be charged for Units allotted under bonus/dividend reinvestment option. The exit loads set forth above is subject tochange at the discretion of the AMC and such changes shall be implemented prospectively.
(ii) RecurringExpenses
The total expenses of the Scheme including the management fees shall consist of –
(A) management fees for the Scheme not exceeding 0.75% of the daily average net assets;
(B) other expenses relating to administration of the Scheme; and
(C) charges levied by the underlying scheme (HGIF Brazil Equity Fund).
Provided that the sum total of (A), (B) and the weighted average of the total expense ratio of the underlying scheme shall not exceed2.50% of the daily average net assets of the Scheme.
Procedure forDirectApplications
Pursuant to SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, no Entry Load will be charged for Mutual Fundschemes. Therefore, the procedure for Waiver of Load for Direct Applications is no longer applicable.
Tax treatment forthe Investors(Unitholders)
Investor is advised to refer to the details in the Statement of Additional Information (SAI) and also independently refer to his tax advisor.
Daily Net AssetValue (NAV)Publication
The AMC will calculate and disclose the first NAV of the Scheme within a period of 5 Business Days from the date of allotment. Subsequently,the AMC will calculate and disclose the NAVs of the Scheme at the close of every Business Day. NAV of the Scheme / Option(s) shall bemade available at all Investor Service Centres of the AMC. The AMC shall have the NAV published in two daily newspapers. The AMC shallupdate the NAVs on the website of the Fund, www.assetmanagement.hsbc.com/in and on the website of AMFI (Association of MutualFunds in India) - (www.amfiindia.com) latest by 10.00 a.m. on the next Business Day, due to differences in the time zones. A link to theMSCI Brazil 10/40 Index (Benchmark) prices will also be available on the website of the Fund, at all times with no additional cost, forinvestors to compare the performance of the Scheme vis-à-vis the Benchmark.
MinimumApplicationAmount-SystematicInvestment Plan(available duringContinuous Offer)
Minimum Investment Amount Minimum no. of instalments Minimum Aggregate Investment
H 1,000/- (monthly) or 12 (monthly SIP) or 4 (quarterly SIP) H 12,000/-H 3,000/- (quarterly)
MinimumRedemptionAmount / Numberof Units
H 1,000/- (and in multiples of H 1/- thereafter), or 100 units.
4 HSBC Brazil Fund
Modes ofPayment
In addition to Cheque and Demand Draft as payment mechanisms, an additional mode of payment viz. Applications Supported by BlockedAmount (ASBA) is available to investors. ASBA refers to an application made for subscribing to an NFO, along with an authorisation to aSelf Certified Syndicate Bank (SCSB) to block the application money in a bank account. Please refer to the instructions in the KIM fordetails.
For InvestorGrievances,please contact
RegistrarComputer Age Management Services Private Limited (CAMS)HSBC Mutual Fund Unit, Rayala Towers, 3rd Floor, 158, Anna Salai, Chennai 600 002.
Mutual FundMs. Rheitu Bansal, HSBC Asset Management (India) Private Limited, 314, D. N. Road, Fort, Mumbai 400 001.Tel.: 66668819. Fax : 40029600 E-mail : [email protected]
Unitholders'Information
Account Statement
An account statement will be sent by ordinary post / courier / e-mail to each Unitholder, stating the number of Units allotted, as soon aspossible, but not later than 5 Business Days from the close of the New Fund Offer. During continuous offer, the AMC shall endeavour todespatch the account statement within 3 Business Days from the date of receipt of request from the unitholder. An Account Statementreflecting the net balance of the Unitholder will under normal circumstances be mailed to the Unitholder by ordinary post / courier afterevery purchase, redemption and switch transaction is effected, except in exceptional circumstances. For those Unitholders who haveprovided an e-mail address, the AMC will send the account statement by e-mail at the email address provided by the Unitholder.
For SIP/STP/SEP transactions (available during Continuous Offer) - The first Account Statement under SIP/STP/SEP shall be issuedwithin 10 working days of the initial investment/transfer/ withdrawal. Account Statement for SIP/ STP/SEP transactions will be despatchedonce every quarter ending March, June, September and December within 10 working days of the end of the respective quarter.
Annual Account Statement
The Mutual Fund shall provide the Account Statement to the Unitholders who have not transacted during the last six months prior to thedate of generation of account statements. The Account Statement shall reflect the latest closing balance and value of the Units prior to thedate of generation of the account statement. The Account Statement shall reflect the latest closing balance and value of the Units prior tothe date of generation of the account statement. The account statements in such cases may be generated and issued along with thePortfolio Statement or Annual Report of the Scheme.
Annual Financial Results: A schemewise Annual Report of the Fund or an abridged summary thereof shall be mailed to all Unitholders assoon as may be but not later than 4 months from the date of closure of the relevant accounting year (i.e. 31st March of each year). Theabridged / Full schemewise Annual Report shall contain such details as are required under the Regulations / Circular issued thereafter. Afull copy of the schemewise / abridged annual report shall be made available for inspection at the Head Office of the Fund and a copy shallbe made available to the Unitholders on request, on payment of nominal fees if any. These results shall also be displayed on the websiteof the Mutual Fund and AMFI. Full Annual Report shall be disclosed on our website, www.assetmanagement.hsbc.com/in.
Half yearly financial results and portfolio disclosure: As presently required by the SEBI Regulations, the Fund shall before the expiry of1 month from the close of each half year, that is as on 31 March and 30 September, publish its unaudited financial results in one Englishdaily newspaper circulating in the whole of India and in a newspaper published in the language of the region where the Head Office of theFund is situated and update the same on the Fund’s website at www.assetmanagement.hsbc.com/in and on AMFI’s website atwww.amfiindia.com, within 1 month from the close of each half year, in the formats as prescribed by SEBI. The Fund shall before theexpiry of 1 month from the close of each half year (31 March and 30 September) send to the Unitholders a complete statement of theScheme’s portfolios or if such statement is not sent to the Unitholders, it will be published by way of an advertisement in one English dailynewspaper circulating in the whole of India and in a newspaper published in the language of the region where the Head Office of theMutual Fund is situated. The Scheme’s portfolios shall also be displayed on the Fund’s website at www.assetmanagement.hsbc.com/in,within 1 month from the close of each half year in the format as prescribed by SEBI.
Comparison with other equity and fund-of-funds schemes of HSBC Mutual Fund
Name of the Investment Objective Investment Strategy Product Differentiation AUM as on Folio numbersScheme Feb. 28, 2011 as on
(in H crores) Feb. 28, 2011
EQUITYSCHEMES
HSBC To generate long-term capital The aim of the scheme is to It seeks to invest primarily into 912.51 8,63,306Equity Fund growth from an actively deliver above-benchmark returns large cap Indian equity stocks
managed portfolio of equity and by providing long-term capital which makes it different fromequity related securities. growth from an actively other schemes of the Fund.
managed portfolio, mainlycomprising companiesregistered in and/or listed on aregulated market of India.
HSBC India To seek long term capital growth The aim of the scheme is to This scheme seeks to invest 179.58 22,015Opportunities through investments across all seek aggressive growth and primarily into Indian equity stocksFund market capitalisations, including deliver above-benchmark returns with no market capitalisation or
small, mid and large cap stocks. by providing long-term capital other biases which makes theThe fund aims to be growth from an actively scheme different from otherpredominantly invested in equity managed portfolio, mainly schemes of the Fund.and equity related securities. comprising a judicious mix ofHowever, it could move a small, mid and large cap stocks.significant portion of its assetstowards fixed income securitiesif the fund manager becomesnegative on equity markets.
HSBC To generate long term capital The aim of the scheme is to It is a thematic equity scheme 212.52 68,511Progressive growth from an actively deliver above benchmark returns which uses a flexi-themeThemes Fund managed portfolio of equity and by providing long-term capital approach in selection of areas in
equity related securities by growth from an actively managed which to invest. This makes theinvesting primarily in sectors, portfolio, primarily comprising of scheme different.
5 HSBC Brazil Fund
areas and themes that play an stocks of companies in areas/important role in, and / or benefit sectors that play an important rolefrom, India's progress, reform in India's economic development.process and economicdevelopment.
HSBC Midcap To generate long term capital The aim of the scheme is to It seeks to invest primarily into 130.63 24,189Equity Fund growth from an actively managed deliver above-benchmark returns mid cap Indian equity stocks which
portfolio of equity and equity by providing long-term capital makes the scheme different fromrelated securities primarily being growth from an actively managed other schemes of the Fund.Midcap stocks. However, it could portfolio, primarily comprising ofmove a portion of its assets midcap stocks.towards fixed income securitiesif the fund manager becomesnegative on the Indian equitymarkets.
HSBC To provide long term capital The scheme has the flexibility to The scheme seeks to normally 108.68 29,696Dynamic Fund appreciation by allocating funds allocate assets to both equity and invest in equity, aiming to capitalise
in equity and equity related debt instruments. It will hold a on the potential upside in equityinstruments. It also has the mix of securities-primarily equity markets but can react quickly to aflexibility to move, entirely if and equity related instruments. negative market by moving itsrequired, into debt instruments This allocation will be steadily assets into debt instruments, within times that the view on equity monitored and updated as and an aim to limit any downside risk inmarkets seems negative. when the market movements the event that the fund manager is
demand it, a switch would be bearish in the market.made.
HSBC To provide long term capital The aim of the HSBC Tax Saver It is the only scheme launched as 229.38 85,143Tax Saver appreciation by investing in a Equity Fund is to provide an Equity Linked Savings SchemeEquity Fund diversified portfolio of equity & long-term capital appreciation from
equity related instruments of an actively managed portfolio,companies across various sectors primarily comprising of a mix ofand industries, with no small, mid and large cap stocks.capitalization bias. The Fund mayalso invest in fixed incomesecurities.
HSBC Unique To provide long-term capital The Fund Manager will seek to This scheme seeks to invest into 92.62 24,921Opportunities growth from a diversified invest in companies that currently stocks of companies facing "out ofFund portfolio of equity and equity operate in "out of ordinary" ordinary" conditions but have
related instruments. The focus situations like turnaround/recovery potential for long term growth.would be to invest in stocks of situations, financial restructurings, The scheme aims to invest incompanies facing "out-of-ordinary" distressed debt etc., Mergers & companies that have strongconditions. Acquisitions, Divestments, fundamentals and possess growth
Spin-Offs, Demergers, potential but are either temporarilyOut-of-favour industries/sectors, undervalued or are likely to benefitEmployee/Management buyouts, from unlocking of value from theNew product/business launches, culmination of these situations.Asset plays (companies selling atsignificant discount to intrinsicvalue), Unrecognised growthpotential, companies likely tobenefit from some change in theeconomy, industry transformation,new laws/regulations/technology.
HSBC To provide long-term capital The Fund Manager will endeavour It is the only close ended equity 39.08 8,637Small Cap appreciation primarily from a to invest in small cap companies scheme with automatic conversionFund diversified portfolio of equity and that are typically characterized by into open-ended equity scheme at
equity related instruments of strong fundamentals, high growth the end of three years from thesmall cap companies. potential and under-pricing relative date of allotment of units.
to intrinsic value.
FUND OFFUNDSSCHEME
HSBC To provide long term capital The scheme proposes to invest in This is the only overseas fund of 59.73 8,719Emerging appreciation by investing in India the overseas market by investing funds scheme which takesMarkets Fund and in the emerging markets, in in units/securities issued by exposure into Emerging Market
equity and equity related overseas mutual funds managed Equities.instruments, share classes and by HSBC globally, e.g. HSBC GEMUnits / securities issued by Equity Fund. The scheme mayoverseas mutual funds or undertake currency hedging tounit trusts. The fund may also protect the investors from the riskinvest a limited proportion in associated with movement indebt and money market currency markets.instruments.
For detailed investment strategies of each of the above schemes, please refer Combined Scheme Information Document.
Name of the Investment Objective Investment Strategy Product Differentiation AUM as on Folio numbersScheme Feb. 28, 2011 as on
(in H crores) Feb. 28, 2011
6 HSBC Brazil Fund
1) Please refer to the SID, SAI and the KIM of the Scheme carefully before fillingthe Application Form.
2) Please refer the section on "Who can invest?" for a list of eligible investors in theSID. Applications from investors resident in USA or Canada will not be accepted.
3) All applicants are deemed to have accepted the terms subject to which this offeris being made and bind themselves to the terms upon signing the ApplicationForm and tendering the payment.
4) Investors are requested to use the services of AMFI certified Distributorsempanelled with the AMC. The AMC shall not be liable to an Investor, with respectto investments made through non-empanelled Distributors.
If the investor wishes to invest directly, i.e. without involving the services of anyagent or broker, “DIRECT” should be mentioned in the space provided for “ARNNumber” in the Application Form/Transaction Form. Any subsequent change/updation/removal of broker code will be based on the written request from theUnit holder and will be on a prospective basis only from the date when theRegistrar executes such written instruction.
5) Applications under Power of Attorney / Body Corporate / Registered Society /Trust / Partnership
The original Power of Attorney or a duly notarised copy of the Power of Attorneyshall be required to be submitted where applications are made under a Power ofAttorney.
A company, body corporate, eligible institutions, registered society, trusts,partnership or other eligible non-individuals who apply in the scheme shouldfurnish a certified copy of resolution or authority to make the application as thecase may be and a certified copy of the Memorandum and Articles of Associationand / or bye-laws and / or Trust Deed and / or Partnership Deed and certificateof registration or any other document as the case may be. In case of a Trust / Fund,it shall submit a certified true copy of the resolution from the Trustee(s) authorisingsuch purchases. The officials should sign the application under their officialdesignation and furnish a list of authorised signatories. All communications andpayments shall be made to the First Applicant only.
6) PAN Details (PAN Mandatory for all investments)
As per Securities and Exchange Board of India (SEBI) Circular dated 27 April, 2007and letter dated 25 June, 2007, Permanent Account Number (PAN) has beenmade the sole identification number for all participants investing in the securitiesmarket, irrespective of the amount of investment.
With effect from 1 January, 2008, for all applicable transactions, investors willneed to submit a photocopy of their PAN card, which shall have been eitherverified with the original or verified/ attested by AMFI registered distributors, bankmanagers or judicial authorities. The PAN requirements will be applicable to alljoint applicants as well as the Guardian, in case of applications by a Minor. As perSEBI circular no. MRD/DoP/MF Cir - 08/2008 dated April 3, 2008 investors residingin the state of Sikkim are exempted from the mandatory requirement of PAN fortheir investments in Mutual Funds. However, this would be subject to verificationof the veracity of the claim of the investors that they are residents of Sikkim, bycollecting sufficient documentary evidence.
Accordingly, submission of Form 49A and/ or declaration in Form 60/61 will notbe accepted. Hence, all applicable transactions not accompanied by a duly verified/attested copy of PAN card are liable to be rejected.
7) Know Your Customer (KYC)
KYC is mandatory under the Prevention of Money Laundering Act, 2002 for allinvestors irrespective of the amount of investment.
The KYC requirements can be completed by filling up the prescribed form andsubmitting the same along with the other requisite details / proof (attested truecopies of supporting documents relating to proof of identity and address orverification with the original) to a designated Point of Service (PoS) of CDSLVentures Limited (CVL). Any subsequent change to Address, Pin Code, Country,Nationality, Occupation, Income details, Date of Birth, Proof of Identity need tobe communicated to CVL ONLY. For details of the process and list of PoS, pleasevisit our website http://www.assetmanagement.hsbc.com/in. In case investor hascompleted the KYC Compliance process, without submitting a copy of PAN Card,he/she must forthwith provide a copy of PAN Card alongwith the copy of KYCcompliance acknowledgement to CVL.
In view of this, with effect from January 1, 2011, irrespective of the amount ofinvestments (including switch), all investors who make any investment or switchrequest and have not completed their KYC, will be required to do so and providea copy of KYC acknowledgment along with the application form. Investors whohave already completed their KYC and provided a copy of KYC to AMC/RTA neednot undergo any additional KYC.
8) Investors are requested to note that information will be obtained from CVLdatabase and information in the AMC records will be overwritten. Any discrepancyin the application on account of address or residence status the application willbe rejected and the money will be refunded upon confirmation from CVL.
9) Third Party Payments
a) Third party payments (i.e where payment is made from a source other thanthat of the first holder) will not be accepted by the Fund, except if made underthe following exceptional categories, namely i) as gift by parents/grandparents/related persons in favour of minor, not exceeding Rs. 50,000/-, ii) employer onbehalf of employee as payroll deductions for SIP/ Lumpsum investments, andiii) Custodian on behalf of FII/client. In such cases, KYC acknowledgementalong with additional declarations will have to be submitted along with theapplication form, failing which the application will be rejected. Such declarationto be submitted in original & in the prescribed standard format and uniqueacross each lumpsum investment. (Declaration formats can be obtained fromISCs or downloaded from the Fund’s website.)
b) In case of payment from a joint bank account, first holder in the folio has tobe one of the joint holders of the bank account from which the payment ismade. Hence, joint holders may pre-register their bank accounts (single/multiple)with the AMC/RTA, by completing the Multiple Bank Account RegistrationForm, if they intend to make payment on behalf of other joint holder(s) in thefolio. In such cases the application will be accepted and not treated as a thirdparty payment.
c) Where the payment instrument does not mention the bank account holdersname/s, investor should attach bank pass book copy/bank statement/bankletter to substantiate that the first unit holder is one of the joint holders of thebank account. Where a payment is through a pre-funded instrument, a bankcertification of the bank account no. and account holders name should beattached, in the required format. Pre-funded instrument issued against cashshall not be accepted for investments of Rs 50,000 or more
For RTGS/NEFT/online bank transfer etc., a copy of the instruction to the bankstating the account number debited must accompany the purchase application.
d) The AMC reserves the right to reject the application, post acceptance of thesame, if any of the requisite documents/declarations are unavailable orincomplete, in which case the AMC shall refund the subscription money. Nointerest will be payable on the subscription money refunded. Refund orderswill be marked “A/c. payee only” and will be in favour of and be despatchedto the Sole / First Applicant, by courier/speed post/registered post.
10) Subject to the SEBI (MF) Regulations, any application for Units may be acceptedor rejected in the sole and absolute discretion of the Trustee. The Trustee mayinter alia reject any application for the purchase of Units if the application is invalidor incomplete or if the Trustee for any other reason does not believe that it wouldbe in the best interest of the Scheme or its Unit holders to accept such anapplication.
11) NRIs, Persons of Indian Origin, FIIs
The Foreign Exchange Management (Transfer or Issue of Security by a PersonResident Outside India) Regulations, 2000 (the "FEMA Regulations") permit a NRI /PIO to purchase on repatriation or non-repatriation basis, without limit, units ofdomestic mutual funds. Payment for such units must be made either by chequeor demand draft by means of: (i) inward remittance through normal bankingchannels; or (ii) out of funds held in the NRE / FCNR account, in the case ofpurchases on a repatriation basis or out of funds held in the NRE / FCNR / NROaccount, in the case of purchases on a non-repatriation basis.
Investments by NRIs / FIIs shall be in accordance with the prevailing lawsgoverning such investments.
Payment by the FII must be made either by inward remittance through normalbanking channels or out of funds held in foreign currency account or non-residentrupee account maintained by the FII with a designated branch of an authoriseddealer in terms of paragraph 2 of Schedule 2 to the FEMA Regulations.
12) Nomination Details
Applicants applying for Units singly / jointly can also make the nomination at thetime of initial investment. Investors are advised to consider availing nominationfacility in their own interest.
a) The nomination can be made only by individuals applying for / holding units ontheir own behalf singly or jointly. Non-individuals including society, trust, bodycorporate, partnership firm, Karta of Hindu Undivided Family, holder of Power ofAttorney cannot nominate.
b) Where a folio has joint holders, all joint holders should sign the request fornomination/cancellation of nomination, even if the mode of holding is not "joint".Nomination form cannot be signed by Power of attorney (PoA) holders.
c) There can be no nomination in a folio held in the name of minor.
d) The investors/Unitholders are requested to note that a maximum of three nomineescan be registered for a Folio. In case of multiple nominees, the 'Share / Ratio' ofnomination has to be clearly specified in the nomination form / request letter. Ifthe 'Share / Ratio' of nomination is not explicitly stated, then the nomination shallbe treated at 'Equal Share/Ratio'.
e) A minor can be nominated and in that event, the name, address and PAN of theGuardian of the minor nominee (in case the minor does not have PAN) shall beprovided by the Unitholder.
f) The Nominee shall not be a trust, (other than a religious or charitable trust) society,body corporate, partnership firm, Karta of Hindu Undivided Family or a Power ofAttorney holder. A non-resident Indian can be a Nominee subject to the exchangecontrols in force, from time to time. However, a resident of USA/Canada can notbe a Nominee. Nomination can also be made in favour of the Central Government,State Government, Local Authority, any person designated by virtue of his officeor a religious or charitable trust.
g) Nomination in respect of the Units stands rescinded upon the transmission ofUnits.
h) Transmission of Units in favour of a Nominee shall be valid discharge by the AMC /Mutual Fund / Trustees against the legal heir.
i) The cancellation of nomination can be made only by those individuals who holdUnits on their own behalf singly or jointly and who made the original nomination.
j) On cancellation of the nomination, the nomination shall stand rescinded and theAMC / Mutual Fund / Trustees shall not be under any obligation to transmit theUnits in favour of the Nominee.
k) The rights in the units will rest in the Nominee(s) only upon death of all Unitholders.
l) Every new nomination for a folio/account will overwrite the existing nomination.
m) Nomination shall be mandatory for new folios/accounts opened by individualespecially with sole holding and no new folios/accounts for individuals in singleholding should be opened without nomination.
Important Instructions
7 HSBC Brazil Fund
1. General Information
a) Investors adopting the ASBA (Applications Supported by Blocked Amount) routefor payment, may use the ASBA Application form attached, while other investorsmay use the normal application form to be used by non-ASBA investors.
b) The Application Form should be completed in ENGLISH in BLOCK LETTERS only.
Please Tick (�) in the appropriate box ( ), where boxes have been provided.
c) Existing investors of HSBC Mutual Fund who have provided their PAN earlierand wanting to make an investment will need to provide KYC acknowledgment,fill up ONLY their Folio Number in Section 1 and then proceed to section 3.However, new investors will be required to fill up the Applicant's Details inSection 2.
d) Please do not overwrite. For any correction / changes (if any) made on theapplication form, applicants are requested to authenticate the same by cancelingand re-writing the correct details and counter-signed by the sole / all applicants.
d) In view of the RBI Circular - DPSS.CO.CHD.No. 1832/01.07.05/2009-10 dated 22ndFebruary 2010, kindly note the following: No changes / corrections should becarried out on the cheques. For any change in the payee’s details, amount in figuresor amount in words, etc., fresh cheque would be required. Cheque with alterations /corrections will not be honoured effective 1st July, 2010.
2. Applicant's Information
Applicants must provide all the details under Section 2 of the Application Form.
a) Name and address must be given in full (P.O. Box Address alone is not sufficient).In case of NRIs / FIIs, 'Overseas Address' should also be provided.
b) Please provide the name of the Contact Person in case of investments by aCompany / Body Corporate / Partnership Firm / Trust / Society / FIIs / Associationof Persons / Body of Individuals.
c) If the application is on behalf a Minor, the Guardian's Name and date of birth ofthe Minor should be provided.
d) Investor has an option to receive communication through email. The investoralways has a right to demand a physical copy of any or all the documents in respectof the services provided by the Fund.
3. Bank Account Details
Applicants should provide the name of the bank, branch address, account type andaccount number of the Sole / First Applicant. As per SEBI guidelines, it is mandatoryfor investors to mention their bank account details in the Application Form.AMC will endeavour to directly credit redemption / dividend proceeds in customer'sbank account wherever possible.
Applications without this information will be rejected.
For NRI investors - Kindly also provide the FIRC Letter from your banker (i.e.source of funds confirmation) if your account type is NRE.
Applications without this information will be rejected.
4. Investment and Payment Details
a) The application amounts can be tendered by cheque / demand drafts payablelocally at any of the ISCs and designated collection centres. Application Formsaccompanied with outstation cheques / stockinvests / postal orders / moneyorders / cash will not be accepted.
b) All cheques and bank drafts must be drawn in the name of the Scheme e.g. “HSBCBrazil Fund” and crossed "Account Payee only". A separate cheque or bank draftmust accompany each Application. Please note that amount in words and figureson the cheque must tally and should not be in local languages.
Kindly note that post-dated cheques are not allowed.
c) If no indication is given for the investment the default Option will be as follows :
Indication not made Default
Scheme Name As indicated on the Cheque
Dividend / Growth Option Growth Option
Dividend Payout / Reinvestment Dividend Reinvestment
Mode of holding (in cases where there are Jointmore than one applicant)
Status of First Applicant (Individual, HUF, Others#Company etc.)
# Tax rates (including the tax on dividend distribution) wherever applied on ‘Others‘by HSBC Mutual Fund shall be the same as applicable to a Resident IndianCompany
d) Bank charges for demand drafts will be borne by the AMC and will be limited tothe bank charges as per table below. The AMC will not entertain any request forrefund of demand draft charges. Outstation cheques / outstation demand draft willnot be accepted.
Amount DD Charges
Upto H 10,000/- At actuals, subject to a maximum of H 65/-
Above H 10,000/- At H 3.50/- per H 1,000/-. Minimum H 65/-and Maximum H 12,500/-
However, such Demand Draft charges would be reimbursed only when the investoris not residing in any of the locations where the AMC or CAMS have official pointsof acceptance.
e) ASBA Facility
As per SEBI circular dated March 15, 2010 read with circular dated July 28, 2010,investors can subscribe to the NFO through ASBA facility for NFOs launched onor after October 1, 2010. The ASBA facility shall co-exist with the current process,wherein cheques / demand drafts are accepted by the Mutual Fund as a mode ofpayment for subscription. ASBA is an application containing an authorisation givenby the investor to block the application money in his specified bank accounttowards the subscription of Units offered during the NFO of the Scheme. Thus,for an investor who applies though ASBA facility, the application money blockedtowards subscription of Units shall be debited only if his/her application is selectedfor allotment of Units. The ASBA facility is offered by selected Self CertifiedSyndicate Banks (SCSBs) which are registered with SEBI for offering the facility,and whose names appear in the list of SCSBs on the website of NSE, BSE andSEBI. Investors are requested to check with their respective banks about theavailability of the ASBA facility. Investors adopting the ASBA route may only fill upthe ASBA application form.
5. Declaration and Signatures
a) Signature should be in black or blue ink only.
b) Signatures can be in English or in any Indian language. Thumb impressions mustbe attested by a Magistrate / Notary Public under his / her official seal. In case ofHUF, the Karta will sign on behalf of the HUF.
c) Applications on behalf of minors should be signed by their Guardian.
HSBC Mutual Fund / AMC, reserves the right to reject any application inter alia in theabsence of fulfilment of regulatory requirements, fulfilment of requirements of theSID, SAI and furnishing necessary information to the satisfaction of the Mutual Fund/ AMC.
Instructions for filling up the Application Form
Documents Individuals NRIs Minors Companies / Trusts Societies HUF Partnership FIIs InvestmentsBody Firms through
Corporates ConstitutedAttorney
1. Certificate of Incorporation / Registration � � � �
2. Resolution / Authorisation to invest � � � � �
3. List of Authorised Signatories withSpecimen Signature(s) � � � � � �
4. Memorandum & Articles of Association �
5. Trust Deed �
6. Bye-Laws �
7. Partnership Deed / Deed of Declaration � �
8. Notarised Power of Attorney �
9. Proof of PAN and KYC (including for guardian) � � � � � � � � � �
10. Overseas Auditor's Certificate (applicable for DTAA) � �
11. Foreign Inward Remittance Certificate � �
12. Date of Birth Certificate or School Living Certicate or �
Passport of Minor
13. Document evidencing relationship with Guardian �
All documents for entities above should be originals / true copies certified by the Director / Trustee / Company Secretary / Authorised Signatory / Notary Public.
CHECKLIST
8 HSBC Brazil Fund
HSBC MUTUAL FUND
� Ahmedabad : Mardia Plaza, C. G. Road, Ahmedabad 380 006. Tel : 98983 77319 � Bengaluru : 7, HSBC Centre, M. G. Road, Bengaluru 560 001.
Tel : 080 - 4118 6519 � Chennai : 96, Dr Radhakrishnan Salai, 2nd Floor, Mylapore, Chennai 600 004. Tel : 044 - 4200 8719 � Coimbatore : 108, Srivari
Gokul Towers, Race Course Road, Coimbatore 641 018. Tel : 98944 77319 � Hyderabad : 6-3-1107 & 1108, Rajbhavan Road, Somajiguda, Hyderabad
500 082. Tel : 040 - 6667 4719 � Indore : Darshan Mall, 15/2, Race Course Road, Indore 452 001. Tel : 98934 77319 � Kochi : II Floor, HSBC, Pulikkal Estate,
Pallimukku, M. G. Road, Kochi 682 016. Tel : 98954 77319 � Kolkata : Jasmine Tower, 1st Floor, 31, Shakespeare Sarani, Kolkata 700 017.
Tel : 033 - 2213 9919 � Lucknow : 1 Shahnajaf Road, Lucknow 226 001. Tel : 99367 97319 � Mumbai : 314, D N Road, Fort, Mumbai 400 001.
Tel : 022 - 6666 8819 � New Delhi : 3rd Floor, East Tower, Birla Tower, 25, Barakhamba Road, New Delhi 110 001. Tel : 011 - 4149 0719 � Pune : Amar
Avinash Corporate City, Sector No. 11, Bund Garden Road, Pune 411 001. Tel : 020 - 2600 1119 � Vadodara : 1st Floor, Benison Complex, Opp. Rajlaxmi
Complex, Old Padra Road, Vadodara 390 007. Tel : 98983 77319.
CAMS (Service Centres)
� Ahmedabad : Off C. G. Road, Behind Lal Bungalow, Ellis Bridge, Ahmedabad - 380 006 � Bangalore : 45, Dikensen Road, (Next to Manipal Centre), Bangalore
- 560 042 � Chandigarh : Sector 17 C, Chandigarh - 160 017 � Chennai : Opp. Hotel Palmgrove, Nungambakkam, Chennai - 600 034 � Coimbatore : Ground
Floor, R. S. Puram, Coimbatore - 641 002 � Gurgaon : Gurgaon - 122001 � Guwahati : Rehabari, Guwahati - 781008 � Hyderabad : Jade Arcade, Paradise
Circle, Secunderabad - 500 003 � Indore : 8-B, South tukogunj, Opp. Greenpark, Indore - 452 001 � Jaipur : Behind Ashok Nagar Police Station, Jaipur -
302 001 � Jodhpur : Ist Chopasani Road, Jodhpur - 342003 � Kochi : Near International hotel, Cochin - 682 035 � Kolkata : 7/1, Lord Sinha Road, Ground
Floor, Kolkata - 700 071 � Ludhiana : Near Traffic Lights, Sarabha Nagar Pulli, Pakhowal Road, Ludhiana - 141 002 � Lucknow : 3/c, 5 - Park Road, Hazratganj,
Lucknow - 226 001 � Mumbai : Opp Allahabad Bank, Behind ICICI Bank, 30, Mumbai Samachar Marg, Fort, Mumbai - 400 023 � Mysore : CH.26 7th Main,
5th Cross , (Above Trishakthi Medicals), Saraswati Puram, Mysore - 570009 � Nagpur : New Ramdaspeth, Nagpur - 440 010 � Noida : Near Metro Station,
Noida - 201301 � New Delhi : Kanchenjunga Building, 18, Barakhamba Road, Cannaugt Place, New Delhi - 110 001 � Nasik : Behind Big Bazar, Near Boys
Town School, Off College Road, Nasik - 422005 � Patna : Near Ashiana Tower, Exhibition Road, Patna - 800 001 � Pune : Opp. Abhishek Hotel Mehandale
Garage Road, Erandawane, Pune - 411 004 � Raipur : Sector - 1, Devendra Nagar, Raipur - 492004 � Surat : Mansukhlal Tower, Beside Seventh Day Hospital,
Opp. Dhiraj Sons, Athwalines, Surat - 395 001 � Trivandrum : Opposite of LIC Building, Pattom PO, Trivandrum - 695004 � Thane : Nr. Gaondevi Vegetable
Market, Gokhale Road, Naupada , Thane West - 400602 � Vadodara : BPC Road, Off R. C. Dutt Road, Alkapuri, Vadodara - 390 007 � Visakhapatnam : 3rd
Lane, Dwaraka Nagar, Visakhapatnam - 530 016.
ASBA
All Self Certified Syndicated Banks (SCSBs) and their branches, through which Applications Supported by Blocked Amounts (ASBA) are sourced shall also
be considered as Official Points of Acceptance for ASBA Applications.
For more details on CAMS Locations please contact : 1-800-200-2267
LIST OF THE COLLECTION CENTRES
Please note that during the NFO period, switch transactions (switch-out from an existing scheme of HSBC Mutual Fund to HSBC Brazil Fund) should be submitted only at
HSBC Mutual Fund Investor Service Centres or the CAMS Centres listed above.
HSBC Asset Management (India) Private LimitedRegd. Office : 314, D. N. Road, Fort, Mumbai 400 001 Tel. : 022-6666 8819 Fax : 022-4002 9600 Email : [email protected] Website : www.assetmanagement.hsbc.com/in.
1 EXISTING UNITHOLDER [Please fill in your Folio No. below. Please furnish only KYC and PAN details in Section 2 (if not provided earlier) and proceed to Section 3]
Please note that applicant details and mode of holding will be as per existing Folio Number. Folio No.
2 APPLICANT'S INFORMATION (Please fill in Block Letters; use one box for one alphabet leaving one box blank between two words)
Overseas Address (Mandatory in case of NRI / FII applicant in addition to mailing address) (Should be same as in CVL records, please refer to point 11 under Important Instructions)
Address for Correspondence‡ [P.O. Box Address is NOT sufficient] (Should be same as in CVL records, please refer to point 8 under Important Instructions)
Contact Details
Mode of Holding (�) Single Joint (Default if not mentioned) Anyone or Survivor
Name of Second Applicant (Not applicable if Sole / First Applicant is a Minor)
* W.e.f. January 1, 2011, all the applicants need to be KYC Compliant irrespective of the amount invested (including switch) (for details refer point 7 under Important Instructions).** Please note that w.e.f. January 1, 2008, copy of PAN Card is Mandatory for all investors (including Joint Holders, Guardian in case of Minor and NRIs). Please submit photocopy of PAN Card (along
with the original) for verification, which will be return across the counter. Please see point 6 under Important Instructions.‡ Please note that information sought here will be obtained from CVL also. In case of any differences, the CVL input will apply.
Occupation‡ (�) Private Sector Service Public Sector / Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) _____________________________________
Name
SOLE / FIRST APPLICANT'S PERSONAL DETAILS
Nationality‡ Country of Residence‡
Guardian Name (if Sole / First applicant is a Minor) Contact Person (in case of Non-individual Investors only)
PAN/KYC not required for contact person but required for Guardianof Minor.
City Pin CodeState Country
Date of Birth~‡
(Mandatory for Minors)
Status ( �) Resident Individual Minor Partnership Company HUF FII NRI Trust Society AOP / BOI Others
PAN**(Mandatory)
Enclosed (�) PAN Card Copy KYC Compliance Proof*
Enclosed (�) PAN Card Copy KYC Compliance Proof*
PAN** (Mandatory) Enclosed (�) PAN Card Copy KYC Compliance Proof*
Application Form
Application No. :
Mr Ms M/s
Mr Ms M/s
Name of Third Applicant (Not applicable if Sole / First Applicant is a Minor)
PAN** (Mandatory) Enclosed (�) PAN Card Copy KYC Compliance Proof*
PoA Holder Details* (If the investment is being made by a Constituted Attorney please furnish Name and PAN of PoA holder)
PAN** (Mandatory) Enclosed (�) PAN Card Copy KYC Compliance Proof*
Phone OR
Extn. FaxMobile
State Country Zip Code
City
Mr Ms M/s
Mr Ms M/s
...continued overleaf
For Office Use Only
Mr Ms M/s
�
PoA copy notorised or the original copy of PoA needs to be submitted in case of Investment through PoA.
Are you a resident of USA/Canada? (�) Yes No‡‡ ‡‡ Default if not ticked.
Receive Account Statement, Annual Reports and other information instantly by e-mail^ I/We wish to receive updates via SMS on my mobile (�)
I / We wish to receive the above by email I / We do not wish to receive the above by email
^ Note : Where the investor has not opted for any option or has opted for both options, the application will be processed as per thedefault option, i.e., receive the account statement, annual reports and other correspondence by e-mail and receive SMS updates on Mobile.
ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Application No. :
Option (�) Growth Dividend Reinvestment Dividend Payout along with Cheque / DD No.
Dated Drawn on (Bank) Amount (H) ISC Stamp, Signature & date
Note: This Acknowledgement Slip is for your reference only. Information provided on the form is considered final.
Received from Mr Ms M/s
an application for Units of HSBC Brazil Fund
Date D D / M M / Y Y Y Y Please Note : All purchase are subject to realisation of instruments. All transaction processing is subject to final verification.
HSBC Brazil Fund
�
�Folio No.
(An open-ended Fund of Funds scheme)
+ Document evidencing relationship with Guardian++ In case of Legal Guardian, please submit attested copy of the court appointment letter,affidavit etc. to support.
Natural Guardian+ (Father or Mother) Legal Guardian++ (court appointed Guardian) PAN** (Mandatory)
Distributor / Broker ARN
ARN -
Registrar Serial No.
Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investor's assessment ofvarious factors including the service rendered by the distributor. Any correction of Broker Code requires investor's authentication.
Sub-Broker CodeDISTRIBUTOR INFORMATION (Only empanelled Distributors / Brokers will be permitted to distribute Units)
D D M M Y Y Y Y
~ Proof Enclosed (�) Birth Certificate School Leaving Certificate Marksheet issued by HSC/State Board Passport Others________________ (please specify)
(to be used by non-ASBA investors)
3 BANK ACCOUNT DETAILS (MANDATORY as per SEBI Guidelines) (Refer Instruction 3)
Core Banking A/c No.
MICR Code
Bank Name
NEFTIFSC Code
Please also provide a cancelled cheque leaf of the same bank account as mentioned above.
RTGSIFSC Code
Mentioning your 11 digit RTGS IFSC Code or NEFT IFSC Code, as applicable, will help us transfer the amount to your bank account quicker, electronically.
F o r R u p e e s One l a k h and above
Branch Address
F o r l e s s t h a n R u p e e s One l a k h
(9 digit number next to your Cheque No.)�
Bank City
alok
graphics
4
Scheme Name : HSBC Brazil Fund
INVESTMENT & PAYMENT DETAILS (Refer Instruction 4)
Option (�) Growth (default) Dividend Reinvestment Dividend Payout
Applications from investors resident in USA or Canada shall be rejected.Default options will be applied in cases where the information provided is either ambiguous or has any discrepancy.
6 DECLARATION AND SIGNATURES (In case of joint holding, signatures of all unit holders are Mandatory)
I/We
and and (strike out which is not applicable) do hereby nominate the undermentioned nominee(s) to receive the units allotted to my / our credit in my Folio in the event of my / our death.
5 NOMINATION DETAILS (MANDATORY) (To be filled in by Individual(s) applying singly or jointly) - Where Units are held in non-Demat mode/form (Refer imp. instruction 12)
Name and Address of Nominee(s) If the nominee is a minor, Name & Address of the guardian is Mandatory
The Trustees, HSBC Mutual FundHaving read and understood the contents of the SID and SAI, I / We hereby apply under Direct / AMFI Certified empanelled distributorsto the Trustees of HSBC Mutual Fund for units of the Scheme / Option as indicated above and agree to abide by the terms, conditions,rules and regulations of the Scheme. I / We have understood the details of the Scheme and I / We have not received nor been inducedby any rebate or gifts, directly or indirectly, in making this investment. I / We hereby authorise HSBC Mutual Fund, its InvestmentManager and its Agents to disclose details of my / our investment to my / our bank(s) / HSBC Mutual Fund's Bank(s) and / or Distributor /Broker / Investment Advisor and to verify my / our bank details provided by me / us. I / We hereby declare that the particulars givenabove are correct and express my / our willingness to make payments referred above through participation in ECS / Direct Debit Facility.If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I / We would not hold HSBC AssetManagement (India) Pvt. Ltd. (Investment Manager to HSBC Mutual Fund), their appointed service providers or representativesresponsible. I / We will also inform HSBC Asset Management (India) Pvt. Ltd., about any changes in my / our bank account. *I / Weconfirm that I am / We are Non-Residents of Indian Nationality / Origin and that the funds are remitted from abroad through approvedbanking channels or from my / our NRE / NRO / FCNR Account. I / We confirm that the details provided by me / us are true and correct.I / We hereby declare that the amount being invested by me / us in the Scheme of HSBC Mutual Fund is derived through legitimatesources and is not held or designed for the purpose of contravention of any Act, Rules, Regulations or any statute or legislation or anyother applicable laws or any Notifications, Directions issued by any governmental or statutory authority from time to time.*Applicable to NRII / We confirm that the ARN holder has disclosed to me / us all the commissions (in the form of trail commission or any other mode),payable to him for the different competing schemes of various Mutual Funds from amongst which the Scheme is being recommendedto me / us.
Second Nominee Third NomineeFirst Nominee
Allocation %
Name
Guardian's Name
Guardian's Address(in case of Minor)
Date of Birth(if nominee is a minor)
Documents attached to avoid Third Party Payment Rejection (where applicable) : Third Party Declarations Bank Certificate for Pre-funded Instruments
MANDATORY DECLARATION : The details of the bank account provided above pertain to my/our own bank account in my /our name Yes No. If no, myrelationship with the bank account holder (�) Parent Grandparent Employee Custodian Others ________________(Please specify); and the ThirdParty declaration form is attached (Refer important instruction No. 9 on the Third Party Payments).
Cheque / DD Drawn on :
A/c No. A/c. Type (�) Current Savings NRO* NRE* (* For NRI Investors)
Bank
Branch
City
Net Amount (Cheque /DD amount) (H Figures)
Investment Amount (H) DD charges (H)
(H in words)
A/c. Type (�) Current Savings NRO* NRE* * For NRI Investors
HSBC MUTUAL FUND INVESTOR SERVICE CENTRES :
� Ahmedabad : Tel : 98983 77319 � Bengaluru : Tel : 080 4118 6519 � Chennai : Tel : 044 4200 8719 � Coimbatore : Tel : 98944 77319 � Hyderabad : Tel : 040 6667 4719� Indore : Tel : 98934 77319 � Kochi : Tel : 98954 77319 � Kolkata : Tel : 033 2213 9919 � Lucknow : Tel : 99367 97319 � Mumbai : Tel : 022 6666 8819� New Delhi : Tel : 011 4149 0719 � Pune : Tel : 020 2600 1119 � Vadodara : Tel : 98983 77319
CAMS CENTRES: Tel.: 1-800-200-2267
CALL US AT
Contact us at [email protected] Visit us at www.assetmanagement.hsbc.com/in.
Date
Sole / FirstApplicantGuardian / PoA
SecondApplicant / PoA
ThirdApplicant / PoA
Signature(s)
I/We do not wish to appoint a Nominee in this Folio (default in case details above are not provided).
Mode of Payment Cheque / DD Cheque / DD No. Dated
Second Applicant Third ApplicantSole/First Applicant
3 SCSB ACCOUNT DETAILS (please refer websites of NSE, BSE and SEBI for list of SCSBs) (MANDATORY)
2
Scheme Name : HSBC Brazil Fund
INVESTMENT DETAILS
Option (�) Growth (default) Dividend Reinvestment Dividend Payout
Total Amount to be blocked (in Figures) (in words)
DISTRIBUTOR INFORMATION (Only empanelled Distributors / Brokers will be permitted to distribute Units)
1 INVESTOR'S DETAILS (Names should be in the same sequence as appearing in your Demat Account. In case of discrepancies, the Application is liable to get rejected.)
Syndicate Member Code
Applications Supported by Blocked Amount (ASBA)Application Form (to be used by investors adopting the ASBA route)
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. Any correction of Broker Code requires investor's authentication.
SCSB IFSC Code Sl. No.SCSBDistributor / Broker ARN Registrar Serial No.Sub-Broker Code
Sole / First Applicant's Name
Mode of Holding (�) Single Joint (Default if not mentioned) Anyone or Survivor
Bank A/c No.
Bank Name
Branch Address
Bank City
A/c. Type (�) Current Savings NRO* NRE* * For NRI Investors
Account Holder Name(as in bank records)
4 DEMAT ACCOUNT DETAILS (MANDATORY)Please ensure that unit holders are given an option to hold the units in demat form in addition to account statement as per current practice and the sequence of names as mentioned in the application formmatches with the Depository Participant.
NSDL CDSL
DP Name
DP ID
Beneficiary Account No.
5 UNDERTAKING BY ASBA INVESTOR / ACCOUNT HOLDER
1) I/We hereby undertake that I/We am/are an ASBA investor(s) as per the applicable provisions of the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009. 2) In accordance with ASBA process provided in the SEBI (Issueof Capital and Disclosure Requirements) Regulations, 2009, I/We authorize (a) the Self Certified Syndicate Bank (SCSB) to do all acts as are necessary to make an application for purchase of units in the NFO blocking the amount to the extentmentioned above in the “SCSB details” or unblocking of funds in the bank account maintained with the SCSB specified in the ASBA Form, transfer of funds to the Issuer's account designated for this purpose on receipt of instruction from theRegistrar after finalisation of the basis of allotment entitling me/us to receive Units on such transfer of funds, etc. (b) Registrar to HSBC Mutual Fund to issue instructions to the SCSB to remove the block on the funds in the bank account specifiedin the ASBA Form, upon finalisation of the basis of allotment and to transfer the requisite money to the Issuer's account designed for this purpose. 3) In case the amount available in the bank account specified in the ASBA Form is insufficientfor blocking the amount equivalent to the application money, the SCSB shall reject the application. 4) If the DP ID, Client ID or PAN furnished by me/us in the ASBA Form is incorrect or incomplete, the ASBA Application shall be rejectedand the AMC, R&TA and SCSB shall not be liable for losses, if any. 5) I/We hereby authorise the SCSB to make relevant revisions as may be required to be done during the NFO, in the event of price revision.Having read and understood the contents of the SID and SAI, I / We hereby apply under Direct / AMFI Certified empanelled distributors to the Trustees of HSBC Mutual Fund for units of the Scheme / Option as indicated above and agree toabide by the terms, conditions, rules and regulations of the Scheme. I / We have understood the details of the Scheme and I / We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. I / Wehereby authorise HSBC Mutual Fund, its Investment Manager and its Agents to disclose details of my / our investment to my / our bank(s) / HSBC Mutual Fund's Bank(s) and / or Distributor / Broker / Investment Advisor and to verify my/ our bank details provided by me / us. I / We hereby declare that the particulars given above are correct and express my / our willingness to make payments referred above through participation in ECS / Direct Debit Facility. If the transactionis delayed or not effected at all for reasons of incomplete or incorrect information, I / We would not hold HSBC Asset Management (India) Pvt. Ltd. (Investment Manager to HSBC Mutual Fund), their appointed service providers or representativesresponsible. I / We will also inform HSBC Asset Management (India) Pvt. Ltd., about any changes in my / our bank account. *I / We confirm that I am / We are Non-Residents of Indian Nationality / Origin and that the funds are remitted fromabroad through approved banking channels or from my / our NRE / NRO / FCNR Account. I / We confirm that the details provided by me / us are true and correct. I / We hereby declare that the amount being invested by me / us in the Schemeof HSBC Mutual Fund is derived through legitimate sources and is not held or designed for the purpose of contravention of any Act, Rules, Regulations or any statute or legislation or any other applicable laws or any Notifications, Directionsissued by any governmental or statutory authority from time to time. *Applicable to NRI I / We confirm that the ARN holder has disclosed to me / us all the commissions (in the form of trail commission or any other mode), payable to himfor the different competing schemes of various Mutual Funds from amongst which the Scheme is being recommended to me / us.
Are you a resident of USA/Canada? (�) Yes No‡‡ ‡‡ Default if not ticked.
Guardian's (If Sole / First Applicant is a Minor) OR Contact Person's (In case of Non-Individual Investors only)
H
Signature of the Applicant(s) 1. 2. 3.
Signature of the Bank Account Holder(s) 1. 2. 3.
Date:
Second Applicant's Name
Third Applicant's Name
Name
Sole / First Applicant Guardian / Contact Person Second Applicant Third ApplicantPAN
AC
KN
OW
LED
GEM
EN
T
SLIP
FO
R SC
SB
TO BE RETAINED BY THE SCSB (TO BE FILLED IN BY THE SOLE / FIRST APPLICANT)
Received from Mr. / Ms.
Address
Tel./Fax Mobile
Application No. :
TO BE GIVEN BY THE SCSB (TO BE FILLED IN BY THE SOLE / FIRST APPLICANT) Date: Scheme Name Option
Received from Mr. / Ms.
Address Pin Code
Tel. Mobile Bank A/c No.Bank Name & Branch Address
Total Amount to be Blocked (Rs.)( in words)
SCSB Stamp, Signature, Date & Time of Form submission
Date:
Application No. :
SCSB Account Details
Bank Account No.
Branch Address
Total Amount to be Blocked (R)(R in words)
Signature(s) ofthe BankAccount Holder
AC
KN
OW
LED
GEM
EN
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SLIP
FO
R IN
VESTO
R
Mr Ms M/s
Mr Ms M/s
Mr Ms M/s
Mr Ms M/s
Sole / First Applicant / Guardian / POA Second applicant / POA Third Applicant / POA
�
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Attn: NRI investors;payment must bemade through NRE/FCNR Accounts)
Sole / First Applicant / Guardian / POA Second applicant / POA Third Applicant / POA
N AI N
Sole / First Applicant / Guardian / POA Second applicant / POA Third Applicant / POA
Background:
In its continuing endeavour to make the existing New Fund Offer
process more efficient, SEBI introduced a supplementary process of
applying in New Fund Offer, viz: the “Applications Supported by
Blocked Amount (ASBA)” process. Accordingly, Securities and
Exchange Board of India (Issue of Capital and Disclosure
Requirements) Regulations, 2009, as amended have been amended
for ASBA process. The salient features of circular no. SEBI/CFD/DIL/
ASBA/1/2009/30/12 dated December 30, 2009 available on SEBI
website for “Additional mode of payment through Applications
Supported by Blocked Amount (hereinafter referred to as “ASBA”)
are mentioned below for understanding the ASBA process:
1. Meaning of ASBA: ASBA is an application for subscribing to a New
Fund Offer (NFO), containing an authorisation to block the application
money in a bank account.
2. Self Certified Syndicate Bank (SCSB): SCSB is a banker to an issue
registered with the SEBI which offers the facility of applying through
the ASBA process. The list of SCSBs will be displayed by SEBI on
its website at www.sebi.gov.in from time to time. ASBAs can be
accepted only by SCSBs, whose names appear in the list of SCSBs
displayed on SEBI’s website. Investors maintaining their accounts in
any of these Banks may approach one of the designated branches
of these SCSBs for availing this facility. Further it may be noted that
from time to time new banks register themselves as SCSBs who
become eligible to provide these services and also the existing
SCSBs designate additional branches that also provide this facility.
An updated list of all the registered SCSBs, their controlling branches,
contact details and details of their contact persons, a list of their
designated branches which are providing such services is available
on the website of SEBI at the address http://www.sebi.gov.in. Further
these details are also available on the websites of the Stock Exchanges
at http://www.bseindia.com and http://www.nseindia.com.
Alternatively, investors may also contact the AMC, R&TA for
information about the SCSBs or the ASBA process. These SCSBs are
deemed to have entered into an arrangement with the Issuer and
shall be required to offer the ASBA facility to all its account holders
for all issues to which ASBA process is applicable. An SCSB shall
identify its Designated Branches (DBs) at which an ASBA Applicant
shall submit ASBA and shall also identify the Controlling Branch (CB),
which shall act as a coordinating branch for the Registrar to the Issue,
Stock Exchanges and Merchant Bankers. The SCSB, its DBs and CB
shall continue to act as such, for all issues to which ASBA process
is applicable. The SCSB may identify new DBs for the purpose of
ASBA process and intimate details of the same to SEBI, after which
SEBI will add the DB to the list of SCSBs maintained by it. The SCSB
shall communicate the following details to Stock Exchanges for
making it available on their respective websites. These details shall
also be made available by the SCSB on its website: (i) Name and
address of the SCSB (ii) Addresses of DBs and CB and other details
such as telephone number, fax number and email ids. (iii) Name and
contact details of a nodal officer at a senior level from the CB.
3. Eligibility of Investors: An Investor shall be eligible to apply through
ASBA process, if he/she:
(i) is a “Resident Retail Individual Investor, Non Institutional Investor,
QIBs, Eligible NRIs applying on non-repatriation basis, Eligible
NRIs applying on repatriation basis i.e. any investor,
(ii) is applying through blocking of funds in a bank account with the
SCSB; Such investors are hereinafter referred as “ASBA
Investors”.
4. ASBA Facility in Brief: Investor shall submit his / her Application
through an ASBA Application Form, either in physical or electronic
mode, to the SCSB with whom the bank account of the ASBA
Investor or bank account utilised by the ASBA Investor (“ASBA
Account”) is maintained. The SCSB shall block an amount equal to
the NFO application Amount in the bank account specified in the
ASBA Application Form, physical or electronic, on the basis of an
authorisation to this effect given by the account holder at the time
of submitting the Application. The Application Amount shall remain
blocked in the aforesaid ASBA Account until the Allotment in the
New Fund Offer and consequent transfer of the Application Amount
against the allocated Units to the Issuer's account designated for this
purpose, or until withdrawal/failure of the Offer or until withdrawal
/ rejection of the ASBA Application, as the case may be. The ASBA
data shall thereafter be uploaded by the SCSB in the electronic IPO
system of the Stock Exchanges. Once the Allotment is finalised, the
R&TA shall send an appropriate request to the Controlling Branch of
the SCSB for unblocking the relevant bank accounts and for transferring
the amount allocable to the successful ASBA Applicants to the AMC
account designated for this purpose. In case of withdrawal/Rejection
of the Offer, the R&TA shall notify the SCSBs to unblock the blocked
amount of the ASBA Applicants within one day from the day of
receipt of such notification.
5. Obligations of the AMC: AMC shall ensure that adequate
arrangements are made by the R&TA to obtain information about all
ASBAs and to treat these applications similar to non-ASBA applications
while allotment of Units, as per the procedure specified in the
Securities and Exchange Board of India (Issue of Capital and Disclosure
Requirements) Regulations, 2009.
Investors are requested to check with their respective banks about
the availability of the ASBA facility.
6. Other Information for ASBA Investors:
1. SCSB shall not accept any ASBA after the closing time of
acceptance on the last day of the NFO period.
2. The Applicant intending to invest in the Scheme through ASBA
Process will be required to have a beneficiary account with a
Depository Participant (DP) of NSDL/ CDSL and will be required
to mention in the application form DP ID No. and Beneficiary
Account No. with the DP at the time of purchasing Units during
the NFO.
3. Signatures as available with depository will be taken for all purpose
after the allotment of units incase of demat holding.
4. All static details in our records would be taken from the demat
account (DP ID) provided by you.
5. Bank account details provided in the ASBA Application form will
be used for refunding reject applications where DP ID is not
matching
6. Bank Mandate for redemptions/dividend will be as per your DP
ID incase of demat holding.
7. SCSB shall give ASBA investors an acknowledgement for the
receipt of ASBAs.
8. SCSB shall not upload any ASBA in the electronic system of the
Stock Exchange(s) unless (i) it has received the ASBA in a physical
or electronic form; and (ii) it has blocked the application money
in the bank account specified in the ASBA or has systems to
ensure that Electronic ASBAs are accepted in the system only
after blocking of application money in the relevant bank account
opened with it.
9. SCSB shall ensure that complaints of ASBA investors arising out
of errors or delay in capturing of data, blocking or unblocking of
bank accounts, etc. are satisfactorily redressed.
10.SCSB shall be liable for all its omissions and commissions in
discharging responsibilities in the ASBA process.
11.R&TA shall act as a nodal agency for redressing complaints of
ASBA and non-ASBA investors, including providing guidance to
ASBA investors regarding approaching the SCSB concerned.
Grounds for rejection of ASBA applications
ASBA application forms can be rejected by the AMC/Registrar/ SCSBs,
on the following technical grounds:
1. Applications by persons not competent to contract under the Indian
Contract Act, 1872, including but not limited to minors, insane persons
etc.
2. Mode of ASBA i.e. either Physical ASBA or Electronic ASBA, not
selected or ticked.
3. ASBA Application Form without the stamp of the SCSB.
4. Application by any person outside India if not in compliance with
applicable Foreign and Indian laws.
5. Bank account details not given/incorrect details given.
6. Duly certified Power of Attorney, if applicable, not submitted along
with the ASBA Application Form.
7. No corresponding records available with the Depositories matching
the parameters namely (a) Names of the ASBA applicants (including
the order of names of joint holders) (b) DP ID (c) Beneficiary account
number or any other relevant details pertaining to the Depository
Account.
8. Insufficient funds in the investor's account.
9. Application accepted by SCSB and not uploaded on/with the
Exchange / Registrar.
Important Information / Instructions for ASBA Investors
12 HSBC Brazil Fund
BANKER’S CERTIFICATE (in case of Demand Draft / Pay Order / Any Other pre-funded instrument)2
To whomsoever it may concern, we hereby confi rm the following details regarding the instrument issued by us: Instrument Details:
Instrument Type Demand Draft Pay Order / Banker’s Cheque Debit to Account Against Cash (< Rs. 50,000 only)
Instrument Number Date D D M M Y Y Y Y
Investment Amount in Rs.In Favour of / FavouringPayable At
Details of Bank Account Debited for issuing the instrument:Bank Account No. Account TypeAccount Holder Details Name Income Tax PAN
1.2.3.
If the issuing Bank branch is outside India:We further declare that we are registered as a Bank/branch as mentioned below:
Under the Regulator Name of the RegulatorIn the Country Country NameRegistration No. Registration NumberWe confi rm having carried out necessary Customer Due Diligence with regard to the Benefi ciary and to the source of the funds received from him, as per the standards of Anti-Money Laundering laws and other applicable relevant laws in our country
Branch Manager/Declarant(s)
Signature
Name Bank & Branch Seal
Address
City State Postal code
Country Contact Number Important Note: It is clarifi ed that the Bankers Certifi cate suggested above is recommendatory in nature, as there may be existing Bank Letters / Certifi cates / Declarations, which will confi rm to thespirit of the requirements, if all required details are mentioned in the certifi cate.
THIRD PARTY PAYMENT DECLARATION (Should be enclosed with each payment/SIP Enrolment)1
Payments by : Parent/Grand-Parents/Related Persons Other than the Registered Guardian Payments to : Minor Folio only; In consideration of: Natural love and affection or as gift only Maximum Value : Not Exceeding Rs 50,000/- (each regular purchase or per SIP instalment)Application and Payment Details (All details below are Mandatory, including relationship, PAN & KYC):
Folio No. Application Form No.
Benefi ciary Name
Investment Amount in Rs. Lump sum SIP with post-dated Cheques SIP Auto Debit
Bank Details A/c No.
Bank Name Branch
DD / Cheque No. (Lump sum) Dated D D M M Y Y Y Y
Cheque Nos. (for SIP via PDC) From To
Cheque Drawn on A/c No.
Declaration and Signatures: Parent/Grand-Parents/Related Persons Other than the Registered Guardian Guardian of Minor, as registered in the Folio
Name
Relationship with Minor
Income Tax PAN
KYC Acknowledgement Attached (Mandatory for any amount) Attached (Mandatory for any amount)Declaration I hereby declare and confi rm the minor stated above is the benefi cial
owner of the investment details mentioned above and I am providing the funds for these investments on account of my natural love and affection or as gift from my bank account only.
I confi rm that I am the legal guardian of the Minor, registered in folio and have no objection to receiving these funds on behalf of the Minor.
Signature
Contact Number
Declaration Formats
PAYMENT BY EMPLOYER ON BEHALF OF EMPLOYEE (under Systematic Investments Plans through Payroll deductions)3
To whomsoever it may concern
We hereby declare that the Application Form No/s. for subscription of units in
(Name of the Scheme / Plan / Option) is accompanied by
Cheque No. Dated Drawn on (Name of the Bank / Branch).
We confi rm that the benefi cial owner(s) of the investment in these units is/are
(Name of the Employee/s, with employee number/s),
who is / are my / our employee/s and am providing the funds for these investments through the payroll deduction.
Signature of Declarant(s)
Name of Declarant(s)
Income Tax PAN KYC Acknowledgement attached (Mandatory for any amount)
Address of Declarant(s)
City Postal code
State Country
Signature of Benefi ciary(ies)
CUSTODIAN ON BEHALF OF AN FII OR CLIENT (Should be enclosed with each payment)4
To whomsoever it may concern
Application and Payment Details (All details below are Mandatory):
Folio No. Application Form No.
Benefi cial Applicant/ Investor Name
Investment Amount in Rs.
Payment Mode Cheque Fund Transfer RTGS NEFT
Payment Cheque / UTR No. Dated D D M M Y Y Y Y
Payment from Bank
Payment from A/c No.
We further declare that we are registered as a Custodian with SEBI under Registration No:
We confi rm the benefi cial owner as stated above and that this payment is issued by us in our capacity as Custodian to the Applicant/Investor. The source of this payment is from funds provided to us by the Applicant/Investor.
Signature of Declarant(s)
Name of Declarant(s)
Income Tax PAN KYC Acknowledgement attached (Mandatory for any amount)
Address of Declarant(s)
City Postal code
State Country
Folio No.(For Existing Unit Holders)
Multiple Bank Accounts Registration / Deletion Form
OR
(Please read the Instructions overlef and attached necessary documents for registrationof Bank Accounts. Strike off the Sections not used by you to avoid unauthorised use.)
A ADDITION OF BANK ACCOUNTS
Please register my/our following bank accounts for all investments in my/our folio. I/We understand that I/We can choose to receive payment proceeds in any ofthese accounts, by making a specific request in my/our redemption request. I/We understand that the bank accounts listed below shall be taken up for registrationin my/our Folio in the order given below and the same shall be registered only if there is a scope to register additional bank accounts in the Folio subject to a maximumof five in the case of individuals and ten in the case of non individuals.
� For each bank account, Investors should produce original for verification or submit originals of the documents mentioned below.
^ 9 digit code on your cheque next to the cheque number. ^^ 11 digit code printed on your cheque.* The documents submitted need to be attested by authorised bank personnel. # For NRI Investors.
B DEFAULT BANK ACCOUNT
I/We have read and understood the Instructions and the Terms and Conditions for Multiple Bank Accounts Registration and agree to abide by the same. I/We acknowledge that my/ourrequest will be processed only if all details are properly filled and valid documents are attached, failing which the request maybe rejected/delayed as the case may be in which case I/Wewill not hold HSBC Mutual Fund, the AMC and the Registrar liable for any loss due to delayed execution or rejection of the request.
Core BankAccount No.
BankName
Sole / First Applicant / Unit holder Second Applicant / Unit holder Third Applicant / Unit holder
DECLARATION & SIGNATURES(To be signed as per mode of holding in the Folio. In case of non Individual Unit holders, to be signed by AUTHORISED SIGNATORIES)
MICR Code^ IFSC Code^^
City
Bank Name
PIN Code
Branch
Account Type (�) Current Savings NRO# NRE# FCNR# Core Bank Account No.
Attested Document attached* [Any one (�)] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate
MICR Code^ IFSC Code^^
City
Bank Name
PIN Code
Branch
Account Type (�) Current Savings NRO# NRE# FCNR# Core Bank Account No.
Attested Document attached* [Any one (�)] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate
MICR Code^ IFSC Code^^
City
Bank Name
PIN Code
Branch
Account Type (�) Current Savings NRO# NRE# FCNR# Core Bank Account No.
Attested Document attached* [Any one (�)] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate
MICR Code^ IFSC Code^^
City
Bank Name
PIN Code
Branch
Account Type (�) Current Savings NRO# NRE# FCNR# Core Bank Account No.
Attested Document attached* [Any one (�)] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate
From among the bank accounts registered with you or mentioned above, please register the following bank account as a Default Bank Account into which futureredemption and/or dividend proceeds, if any, of the above mentioned folio will be paid:
PermanentAccount No. (PAN)
Name of Sole / FirstUnit Holder
Application No.(For New Unit Holders)
�
�
Folio No. PermanentAccount No. (PAN)
Name of Sole / First Unit Holder
C BANK ACCOUNT DELETION
Please delete the following Bank accounts as registered accounts for my/our above folio:
Bank Account No.
Bank Account No.
Bank Account No.
Bank Account No.
Deletion of a default bank account will not be affective in the Folio unless the investor mentions another valid registered Bank Account as a default
account in Part B of this Form.
1. This facility allows a unit holder to register multiple bank account details for all investments held in the specified folio (existing or new). Individuals/HuFcan register upto 5 different bank accounts for a folio by using this form. Non individuals can register upto 10 different bank accounts for a folio. For registeringmore than 5 accounts, please use extra copies of this form.
2. Supporting Documents as mentioned in Part A will help in verification of the account details and register them accurately. The application will be processedonly for such accounts for which valid documents are provided. Accounts not matching with such documents will not be registered.
3. If the bank account number on the cheque leaf is handwritten or investor name is not printed on the face of the cheque, bank account statement or pass bookgiving the name, address and the account number should be enclosed. If photocopies are submitted, investors must produce original for verification.
4. Bank account registration/deletion request will be accepted and processed only if all the details are correctly filled and the necessary documents are submitted.The request is liable to be rejected if any information is missing or incorrectly filled or if there is deficiency in the documents submitted.
5. The first/sole unit holder in the folio should be one of the holders of the bank account being registered. Unitholder(s) cannot provide the bank account(s) ofany other person or where the First/Sole Unitholder is not an account holder in the bank account provided.
6. The investors can change the default bank account only by submitting this form. In case multiple bank accounts are opted for registration as default Bank Account,the mutual fund retains the right to register any one of them as the default bank account.
7. A written confirmation of registration of the additional bank account details will be dispatched to you within 10 calendar days of receipt of such request.Unitholder(s) must preserve this written confirmation as the account statement will only reflect the default bank mandate.
8. If any of the registered bank accounts are closed/altered, please intimate the AMC in writing of such change with an instruction to delete/alter it from our records.
9. The Bank Account chosen as the primary/default bank account will be used for all Redemption payouts/Dividend payouts. At anytime, investor can instructthe AMC to change the default bank account by choosing one of the additional accounts already registered with the AMC.
10. If request for redemption is received prior to/together with a change of bank account or before verification and validation of the new bank account, the redemptionrequest would be processed to the currently registered default (old) bank account.
11. If in a folio, purchase investments are vide SB or NRO bank account, the bank account types for redemption can be SB or NRO only. If the purchase investmentsare made vide NRE account(s), the bank account types for redemption can be SB/NRO/NRE.
12. The registered bank accounts will also be used to identify the pay-in proceeds. Hence, unit holder(s) are advised to register their bank accounts in advanceusing this facility and ensure that payments for ongoing purchase transactions are from any of the registered bank accounts only, to avoid fraudulent transactionsand potential rejections due to mismatch of pay-in bank details with the accounts registered in the folio.
13. HSBC Mutual Fund, the AMC and its registrar shall not be held liable for any loss arising to the Unitholder(s) on account of inadequate or incompletedocumentation resulting in delay or rejection of the request.
INSTRUCTIONS AND TERMS & CONDITIONS
Bank Name
Bank Name
Bank Name
Bank Name
I/We have read and understood the Instructions and the Terms and Conditions for Multiple Bank Accounts Registration and agree to abide by the same. I/We acknowledge that my/ourrequest will be processed only if all details are properly filled and valid documents are attached, failing which the request maybe rejected/delayed as the case may be in which case I/We will not hold HSBC Mutual Fund, the AMC and the Registrar liable for any loss due to delayed execution or rejection of the request.
Sole / First Applicant / Unit holder Second Applicant / Unit holder Third Applicant / Unit holder
DECLARATION & SIGNATURES(To be signed as per mode of holding in the Folio. In case of non Individual Unit holders, to be signed by AUTHORISED SIGNATORIES)
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