quant Mutual Fund

(Formerly known as Escorts Mutual Fund)

Corporate Office: 6th Floor, Sea Breeze Building, Appasaheb Marathe Marg, Prabhadevi, Mumbai - 400 025.
Tel: +91 9920 21 22 23 | E-mail: [email protected] | www.quant-mutual.com

TRANSACTION SLIP Please use separate transaction slip for each scheme.
This Form is for use of Existing Investors only, To be filled in capital letters and in blue / black ink only. APP No.:
1. DISTRIBUTOR / BROKER INFORMATION
Name & Broker Code / ARN Sub Broker / Sub Agent ARN Code *Employee Unique Identification Number Sub Broker / Sub Agent Code RIA Code++

ARN- (ARN stamp here) ARN-

*Please sign below in case the EUIN is left blank/not provided. I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this transaction is executed without any interaction or advice by the
employee/relationship manager/sales person of the above distributor/sub broker or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship manager/sales person of the
distributor/sub broker.
++ I/We, have invested in the Scheme(s) of your Mutual Fund under Direct Plan. I/We hereby give you my/our consent to share/provide the transactions data feed/ portfolio holdings/ NAV etc. in respect of my/our
investments under Direct Plan of all Schemes Managed by you, to the above mentioned Mutual Fund Distributor / SEBI-Registered Investment Adviser:

First / Sole Applicant / Guardian Second Applicant Third Applicant

Authorised Signatory Authorised Signatory Authorised Signatory
Upfront commission shall be paid directly by the investor to the AMFI registered distributor based on the investor's assessment of various factors including the service rendered by the distributor.
2. Investor Details (Refer Instruction No.5,6 & 13) FOLIO NO.
Name of First applicant PAN No / PEKRN. KYC

Name of Guardian (In case of Minor) PAN No / PEKRN. KYC

Name of Second Applicant PAN No / PEKRN. KYC
Name of Third Applicant PAN No / PEKRN. KYC

3. Unitholding Option - Demat Mode Physical Mode

DEMAT ACCOUNT DETAILS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the
Depository Participant. Ref. Instruction No.10) Demat Account details are compulsory if demat mode is opted above.
National Depository Central Depository
Securities Participant Name Depository Participant Name
Depository DP ID No. I N Securities
Beneficiary Account No. Target ID No.
Limited Limited
Enclosures (Please tick any one box) : Client Master List (CML) Transaction cum Holding Statement Cancelled Delivery Instruction Slip (DIS)

4. Additional Purchase (Refer Instruction No.4.2 & 8) (If the investor wishes to invest in Direct Plan please mention Direct Plan against the scheme name)
Payment Mode: OTBM Facility (One Time Bank Mandate) Cheque DD Funds Transfer RTGS / NEFT Cash$ (Refer Instruction No. 14)

Cheque/DD/RTGS/NEFT/Cash Deposit Slip No. Payment Date/Instrument Date/Cash Deposition Date / /

Net Amount ` DD Charge ` Bank Name: Branch: City:

Scheme Plan Option

Note : $ Investors are requested to collect the cash deposit slip from the DISC

5. Redemption (Refer Instruction No.4.3 & 4.4)

Reason for Redemption: Emergency Marriage Buy House Child’s education Others

Partial Redemption Full Redemption

OR
Amount: ` or Units:

Scheme Plan Option

*Bank Account No:____________________________________ Bank Name: ____________________________________________________________________
ote that this bank account should be one of the registered bank account in the folio else by default the redemption proceeds will be credited into the default bank account. Also this cannot be treated as
change of bank mandate.)

6. Switch (Refer Instruction No. 8) (If the investor wishes to invest in Direct Plan please mention Direct Plan against the scheme name)
Partial Switch OR Full Switch
Amount: ` or Units:

From Scheme Plan Option

To Scheme Plan Option
Switch over application needs to be submitted only at Designated Investor Service Centre (DISC) of
QMF7. Contact Number (The contact details are required for Reference purpose only. Kindly
Mobile No / Tel No.
note that the same will not be updated in your folio.)
DECLARATION
I/We would like to invest in quant_____________________________ subject to terms of the Statement of Additional Information (SAI), Scheme Information Document (SID), Key Information Memorandum (KIM)
and subsequent amendments thereto. I/We have read, understood (before filling application form) and is/are bound by the details of the SAI, SID & KIM including details relating to various services including
but not limited to quant Any Time Money Card. I/We have not received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. I / We declare that the amount invested in the
Scheme is through legitimate sources only and is not designed for the purpose of contravention or evasion of any Act / Regulations / Rules / Notifications / Directions or any other Applicable Laws enacted by
the Government of India or any Statutory Authority. I accept and agree to be bound by the said Terms and Conditions including those excluding/ limiting the quant Money Managers Limited (qMML) liability. I
understand that the qMML may, at its absolute discretion, discontinue any of the services completely or partially without any prior notice to me. I agree qMML can debit from my folio for the service charges as
applicable from time to time. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various
Mutual Funds from amongst which the Scheme is being recommended to me/us. I hereby declare that the above information is given by the undersigned and particulars given by me/us are correct and
complete. Applicable for NRI Investors: I confirm that I am reside nt of India. I/We confirm that I am/We are Non-Resident of Indian Nationality/Origin and I/We hereby confirm that the funds for
subscription have been remitted from abroad through normal banking channels or from funds in my / our Non-Resident External / Ordinary Account / FCNR Account. I/We undertake that all additional
purchases mad ved banking channels or from funds in my/ our NRE/FCNR Account.

First / Sole Applicant / Guardian Second Applicant Third Applicant

Authorised Signatory Authorised Signatory Authorised Signatory

ACKNOWLEDGEMENT SLIP (To be filled by the investor) APP No.:

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

Additional Purchase Redemption Switch Note: For NAV applicability, please refer scheme Information Document (SID) of the respective scheme in which you are investing.
 INSTRUCTIONS
1. Please read the Scheme Information Document (SID) and Statement of Additional “KRA”) Regulations 2011 and the guidelines in pursuance of the said Regulations and
Information (SAI) carefully before investing / switching to other schemes for risk for In-Person Verification (“IPV”).
factors & terms applicable to Schemes / Plans. All investors (individual and non- individual) are required for KYC compliance.
2. For additional purchase, the cheque / Demand Draft should be drawn in favour of the However, applications should note that minors cannot apply for KYC compliance and
name of the scheme (e.g. quant Equity Fund) and crossed A/c Payee and payable any investment in the name of minors should be through a Guardian, who should be
locally at the place of the ISC, where the application is being submitted. Outstation KYC compliant for the purpose of investing with a Mutual Fund. Also applicants/ unit
cheque / DD will not be accepted. holders intending, to apply for units currently holding units and operating their
If the Scheme name on the application form and on the cheque is different, then the Mutual Fund folios through a Power of Attorney (POA) must ensure that the issue of
units will be alloted as per the Scheme name mentioned in the application form. POA and the holder of the PoA must mention their KYC compliance status at the time
3. In case of multiple holders, the dividend (where applicable) & redemption amount, of investment. POA holders are not permitted to apply for KYC compliance on behalf
will be paid to the first unit holder. of the issuer of the POA, Separate procedures are prescribed for change in name,
address, and other KYC related details, should the applicant desire to change such
4. BANK DETAILS: information, POS will extend the services of effecting such changes.
1) As per the SEBI guidelines, it is mandatory for investors to mention their bank account In line with the SEBI circular No. MIRSD/Cir-5/2012 dated April 13, 2012 and various
details in the application form. In the absence of the bank details the application form other guidelines issued by SEBI on the procedural matters for KYC Compliances, the
will be rejected. Investors are requested to note the following additional provisions shall be
2) Purchase Application through Cheque / DD / RTGS / NEFT / Funds transfer requests applicable for “KYC Compliances” with effect from December 1, 2012:
should necessarily mention the pay-in bank account details i.e bank name, bank 1) In case of an existing investor of qMF and who is already KYC Compliant under
account number, bank branch used for issuing the payments to the fund. The first the erstwhile centralized KYC with CVL (CVLMF) then there will be no effect on
unit holder has to ensure that the subscription payment has to be made through his subsequent Purchase/Additional Purchase (or ongoing SIPs/STPs, etc) in the
own bank account or through any of the bank account wherein he is one of the joint existing folios/accounts which are KYC compliant. Existing Folio holder can also
bank account holder. If this is not evidenced on the payment cheque / funds transfer open a new folio with quant Mutual Fund with the erstwhile centralized KYC
/ RTGS / NEFT request, demand draft etc given by the investor at the time of
subscription then unit holder should attach necessary supporting documents as 2) In case of an existing investor of quant Mutual Fund and who is not KYC
required by the fund like bank certificate, bank passbook copy, bank statement etc to Compliant as per our records, the investor will have to submit the standard KYC
prove that the funds are from a bank account held by the first unit holder only. If the Application forms available in the website www.cvlkra.com along with supporting
documents are not submitted with the application the fund reserves the right to reject documents at any of the SEBI registered intermediaries at the time of purchase /
the application or call for additional details. additional purchase / new registration of SIP/STP etc. In Person Verification (IPV)
will be mandatory at the time of KYC Submission. This uniform KYC submission
One time Bank mandate (OTBM) facilitates the investor to register a debit Mandate would a onetime submission of documentation.
with his banker which will contain a pre defined upper limit for the amount to be
debited from his bank account for every Purchase Transaction done. If the investor is 3) Investors who have complied with KYC process before December 31, 2011 (KYC
making payment through OTBM facility registered in the folio, then he has to tick the status with CVL-KRA as “MF-VERIFIED BY CVLMF”) and not invested in the schemes
relevant box and not attach any cheque along with the purchase request. The of quant Mutual Fund i.e not opened a folio earlier, and wishes to invest on or
subscription amount will be debited from the bank account details as mentioned in after December 01, 2012, such investors will be required to submit ‘missing/not
the OTBM facility opted by the investor. available’ KYC information and complete the IPV requirements.

In specific exceptional situations where Third Party payment is permitted like i.e Updation of ‘missing / not available’ KYC information along with IPV is currently a
(i) Payment by parents/ grandparents/ related persons on behalf of the minor one-time requirement and needs to be completed with any one of the mutual funds
(other than the registered guardian) in consideration of natural love and affection or i.e. need not be done with all the mutual funds where investors have existing
as gift for value not exceeding ` 50000 for each purchase (ii) Payment by employer investments. Once the same is done then the KYC status at CVL-KRA will change to
on behalf of employee under Systematic Investment Plan (SIP) facility, or lump sum / ‘Verified by CVL KRA’ after due verification. In such a scenario, where the KYC status
one time subscription, through payroll deductions or deductions of expense changes to ‘Verified by CVL KRA’, investors need not submit the ‘missing/not
reimbursements (iii) Payment by Corporate to its Agent / Distributor/Dealer (similar available’ KYC information to mutual funds again.
arrangement with principal agent relationship), on account of commission/incentive Individual Investors are required to submit ‘KYC Details Change Form’ issued by CVL-
payable for sale of its goods/services, in the form of the Mutual Fund Units through KRA available on their website www.cvlkra.com.
Systematic Investment Plans or lump sum / one-time subscription (iv) Custodian on In case of Non Individual investors, complied with KYC process before December 31,
behalf of an FII or a client. For the above mentioned cases KYC of the investor and the 2011, KYC needs to be done afresh due to significant and major changes in KYC
KYC of the person making the payment is mandatory irrespective of the amount. requirements.
Additionally declaration by the person making the payment giving details of the bank
Investors to provide the complete details in the KYC application form along with the
account from which the payment is being made and the relationship with the
required documents (for individual investors or non-individual investors as
beneficiary is also required to be submitted.
appropriate). The said form is available on qMF’s website i.e. www.quant-
3. Direct Credit of Redemption / Dividend Proceeds / Refund if any qMF will endeavor mutual.com or on the website of Association of Mutual Funds In India i.e.
to provide direct / electronic credit for dividend / redemption payments into the www.amfiindia.com or on the website of any authorised KRA’s.
investors bank account directly. In case the direct credit is not affected by the
7. For Direct Investment Please Mention “Direct in the Column “Name & Broker
unitholder’s banker for any reason then qMF reserves the right to make the
Code/ARN”
payment to the investor by a cheque / DD. If the electronic credit is delayed or not
affected or credited to a wrong account, on account of incomplete or incorrect 8. Investors are required to clearly indicate the plans/options in the application form of
information, qMF will not be held responsible. Please provide the MICR Code/IFSC the scheme.
code on the right bottom of your Cheque for us to help you in future for ECS/NEFT Investor may note that following shall be applicable for default plan
credit of dividend and redemption payout.
Broker Code mentioned Plan mentioned by Default Plan to
4. qMF offers facility to register multiple bank accounts in the folio and designate one Scenario
by the investor
the investor be captured
of the bank account as “Default Bank account”. Default bank account will be used 1 Not mentioned Not mentioned Direct Plan
for all dividend and redemption payouts unless investor specifies one of the 2 Not mentioned Direct Plan Direct Plan
existing registered bank account in the redemption request for receiving 3 Not mentioned Regular Plan Direct Plan
redemption proceeds. A new non – registered bank account specified in the 4 Mentioned Direct Plan Direct Plan
redemption request for receiving redemption proceeds will not be considered and 5 Direct Not mentioned Direct Plan
the redemption proceeds will by default be credited into the default Bank account. 6 Direct Regular Plan Direct Plan
The investor will have to initially get the non registered bank account registered in 7 Mentioned Regular Plan Regular Plan
8 Mentioned Not mentioned Regular Plan
the folio and then apply for the redemption request. Also if no registered bank
account is mentioned at the time of redemption then by default the redemption In cases of wrong/ invalid/ incomplete ARN codes mentioned on the application
proceeds will be credited into the default Bank account. form, the application shall be processed under Regular Plan. The AMC shall contact
and obtain the correct ARN code within 30 calendar days of the receipt of the
5. Permanent Account Number (PAN)
application form from the investor/distributor. In case, the correct code is not
SEBI has made it mandatory for all applicants (in the case of application in joint received within 30 calendar days, the AMC shall reprocess the transaction under
names, each of the applicants) to mention his/her permanent account number (PAN) Direct Plan from the date of application without any exit load. Similarly, in the
irrespective of the amount of purchase. Where the applicant is a minor, and does not absence of clear indication as to the choice of option (Growth or Dividend Payout), by
possess his / her own PAN, he / she shall quote the PAN of his/ her father or mother default, the units will be allotted under the Growth Option of the default /selected
or the guardian, signing on behalf of the minor, as the case may be. For Further plan of the scheme.
details investors are requested to refer SAI.
9. TRANSACTION CHARGES
6. Prevention of Money Laundering and Know Your Client (KYC)
1) In accordance with SEBI Circular No. IMD/ DF/13/ 2011 dated August 22, 2011, with
In order to reduce hardship and help investors dealing with SEBI intermediaries, SEBI effect from November 1, 2011, quant Money Managers Limited (qMML)/ qMF shall
issued three circulars - MIRSD/SE/Cir-21/2011 dated October 05, 2011, MIRSD/Cir- deduct a Transaction Charge on per purchase / subscription of ` 10,000/- and
23/2011 dated December 02, 2011 and MIRSD/Cir-26/2011 dated December 23, 2011 above, as may be received from new investors (an investor who invests for the
informing SEBI registered intermediaries as mentioned therein to follow, with effect first time in any mutual fund schemes) and existing investors. The distributors shall
from January 01, 2012, a uniform KYC compliance procedure for all the investors have an option to either “Opt-in / Opt-out” from levying transaction charge based
dealing with them on or after that date. SEBI also issued KYC Registration Agency ( on the type of product. Therefore, the “Opt-in / Opt-out” status shall be

quant Mutual Fund

(Formerly known as Escorts Mutual Fund)
Corporate Office: 6th Floor, Sea Breeze Building, Appasaheb Marathe Marg, Prabhadevi, Mumbai - 400 025.
Tel: +91 9920 21 22 23 | E-mail: [email protected] | www.quant-mutual.com
 INSTRUCTIONS
at distributor level, basis the product selected by the distributor at the Mutual Fund Procedure for Subscription through Cash: Investors willing to subscribe through
industry level. Such charges shall be deducted if the investments are being made cash as a payment mode will have to follow the below procedure:
through the distributor/agent and that distributor / agent has opted to receive the
transaction charges as mentioned below: 1. Collect the application form and Cash Deposit Slip (available in triplicate) from the
Designated Investor Service Centre (DISC) of qMF.
• For the new investor a transaction charge of ` 150/- shall be levied for per purchase /
subscription of ` 10,000 and above; and 2. Investor must first submit the duly filled in application form, KYC / KRA
acknowledgment and duly filled Cash Deposit Slip at the DISC (copy for
• For the existing investor a transaction charge of ` 100/- shall be levied for per submission to qMF / qMML).
purchase / subscription of ` 10,000 and above.
3. Branch executive shall time stamp the application form, qMF copy of Cash
The transaction charge shall be deducted from the subscription amount and paid to deposit slip and acknowledgment portion available in the application form.
the distributor/agent, as the case may be and the balance shall be invested. The Acknowledgment portion shall be returned to the investor as a confirmation of
statement of account shall clearly state that the net investment as gross subscription receipt of application.
less transaction charge and give the number of units allotted against the net
investment. 4. Investor will have to visit the nearest branch of Axis Bank Limited and deposit cash
by using the Cash Deposit Slip collected from DISC, on the same day or latest by
In case of investments through Systematic Investment Plan (SIP) the transaction next business day. Else the application shall be liable for rejection.
charges shall be deducted only if the total commitment through SIP (i.e. amount per
SIP installment x No. of installments) amounts to `. 10,000/- and above. In such 5. Axis Bank Limited shall retain bank copy of the Cash Deposit slip and provide
cases, the transaction charges shall be deducted in 3-4 installments. customer copy to the investor along with the acknowledgment of cash deposition.

Transaction charges shall not be deducted if: NAV Applicability:

(a) The amount per purchases /subscriptions is less than ` 10,000/-; For Liquid scheme(s): Applicability of NAV shall be based on receipt of application and also
the realization of funds in the Bank account of respective liquid scheme (and NOT the time
(b) The transaction pertains to other than purchases/ subscriptions relating to new
of deposit of Cash in the Bank) within the applicable cut-off timing. However, if the credit is
inflows such as Switch/ STP/ /DTP/, etc.
received in the Bank account of liquid scheme but investor has not yet submitted the
(c ) Purchases/Subscriptions made directly with the Fund through any mode (i.e. not application form, units will be allotted as per receipt of application (time-stamping)
through any distributor/agent).
For all scheme(s) other than liquid scheme(s): Applicability of NAV shall be based on
(d) Subscription made through Exchange Platform irrespective of investment amount. receipt of application (as per time-stamping).
2) qMML will endeavor to check if the investor is an existing or a new investor to Rejection of application: Application shall be rejected if: a) Subscription Limit is
Mutual Fund. In case the investor is found to be an existing investor then Exhausted: The amount of subscription through cash (including the subscriptions made
transaction charges of ` 100 will be applicable else the investor declaration will be through cash during the financial year) exceeds ` 50,000/-. b) Application is
considered and transaction charges will be levied accordingly. incomplete: Unit allotment for transactions accepted as DISCs of qMF is subject to
3) If the investor has not ticked / not signed the declaration then by default investor will verification at the time of final processing. Application shall be liable for rejection if the
be treated as an existing investor and transaction charges of ` 100 will be deducted same is found to be incomplete in any aspect.
for investment of ` 10000 and above. Payment of Proceeds: Payment in the form of refunds, redemptions, dividend, etc. with
10. Units held in the dematerialized form respect to Cash investments shall be paid only through banking channel i.e. in the bank
With effect from October 1, 2011, in accordance with SEBI Circular No. IMD/DF/9/2011 account registered in the folio.
dated May 19, 2011, an option to subscribe/hold the units of the Scheme(s)/Plan(s) Other important points: a) In case of mismatch in the amount mentioned in application
of qMF in dematerialized (demat) form is being provided to the investors in terms form and cash deposited in bank, units shall be allotted as per credit received from bank.
of the guidelines/ procedural requirements as laid by the Depositories (NSDL/ b) Cash deposited but application not submitted: If cash is deposited directly at branch
CDSL) / Stock Exchanges (NSE / BSE) from time to time. For Further details investors of Axis Bank Limited and application is not submitted at DISC of qMF amount shall be
are requested to refer SAI. refunded to investor based on receipt of following documents:
11. As per of SEBI circular CIR/IMD/DF/21/2012 dated September 13, 2012, a unique I) Existing Investor: Request letter, Bank acknowledged deposit slip copy.
identity number of the employee / relationship manager/ sales person of the
ii) New Investor: Request letter containing the bank details in which the refund
distributors interacting with the investor for the sale of mutual fund products, in
needs to be issued, bank acknowledged deposit slip copy and PAN card copy or any
addition to the AMFI Registration Number (ARN) of the distributor is required to be
other valid id proof.
mentioned in the application form.
Investors are requested to note that subscription through this mode shall be accepted
12. Employee Unique Identification Number (EUIN) would assist in tackling the problem
subject to compliance with Prevention of Money Laundering Act, 2002 and Rules framed
of mis-selling even if the employee/relationship manager/sales person leave the
thereunder, SEBI Guidelines for the same and such other AML rules, regulations and
employment of the distributor.
guidelines as may be applicable from time to time.
13. In line with SEBI letter no. OW/16541/2012 dated July 24, 2012 addressed to AMFI,
15. In case there is any change in your KYC information please update the same by using
Investments in the mutual fund schemes {including investments through Systematic
the prescribed 'KYC Change Request form' and submit the same at the Point of Service
Investment Plans (SIPs)} up to ` 50,000/- per investor per year shall be exempted
of any KYC Registration Agency.
from the requirement of PAN. Investor seeking exemption of PAN will need to submit
the PAN Exempt KYC Reference No (PEKRN) acknowledgment issued by KRA along
with the application Form. This exemption is applicable only for individuals including
NRIs, minors acting through guardian, Sole proprietorship firms and joint holders. In
case of joint holders, first holder must not possess a PAN. Other categories of
investors e.g. PIOs, HUFs, QFIs, non - individuals, etc. are not eligible for such
exemption.
14. Acceptance of Cash investments in schemes of quant Mutual Fund.
The Details / Process and conditions for acceptance of such investments are as
follows:
Eligible investors: The facility is available only for below mentioned category of
investors who are KRA-KYC compliant and have a bank account:
i) Resident Individuals.
ii) Minors (investing through Guardian)
iii) Sole Proprietorships.
Subscription Limit: In line with the SEBI guidelines, currently subscription through
cash can be accepted only upto ` 50,000/- per investor, per financial year. Limit
would be tracked on the basis PAN or PEKRN issued by KRA.
Mode of Acceptance of Application: Applications for Subscription through Cash
shall be accepted only in the physical form at any of the Designated Investor
Service Centers (DISC) of qMF.
Cash Collection Facility: qMF has made arrangement with Axis Bank Limited to
accept cash (along with the duly filled in Cash Deposit Slip) on behalf of qMF. The
Bank shall act only as an aggregator for receipt of cash at the various Bank
branches towards subscriptions under various schemes of qMF. The Bank would
be remitting the cash collected to the Fund’s schemes usually by the next business
day

quant Mutual Fund

(Formerly known as Escorts Mutual Fund)
Corporate Office: 6th Floor, Sea Breeze Building, Appasaheb Marathe Marg, Prabhadevi, Mumbai - 400 025.
Tel: +91 9920 21 22 23 | E-mail: [email protected] | www.quant-mutual.com