Key Information Memorandum and Application Form Offer for Units of H 10/- per Unit for cash HSBC Brazil Fund (HBF) during the New Fund Offer Period and at NAV An open-ended Fund of Funds Scheme based prices upon re-opening New Fund Offer Opens on: This Key Information Memorandum (KIM) sets forth the April 15, 2011 information, which a prospective investor ought to know before investing. For further details of the Scheme/Mutual New Fund Offer Closes on: Fund, due diligence certificate by the AMC, Key Personnel, April 29, 2011 investors’ rights and services, risk factors, penalties and Scheme Re-opens for continuous pending litigations etc. investors should, before investment, sale and repurchase on: refer to the Scheme Information Document (SID) May 09, 2011 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: Trustee: Asset Management Company: HSBC Securities and Capital Markets Board of Trustees HSBC Asset Management (India) Private Limited (India) Private Limited Office: 314, D. N. Road, Corp. & Regd. Office: 314, D. N. Road, Regd. Office: 52/60, Mahatma Gandhi Road, Fort, Mumbai 400 001, India Fort, Mumbai 400 001, India Fort, Mumbai 400 001, India. Visit us at: www.assetmanagement.hsbc.com/in E mail id: firstname.lastname@example.org Investment The primary investment objective of the Scheme is to provide long term capital appreciation by investing predominantly in units/shares of Objective HSBC Global Investment Funds (HGIF) Brazil Equity Fund. The Scheme may, at the discretion of the Investment Manager, also invest in the units of other similar overseas mutual fund schemes, which may constitute a significant part of its corpus. The Scheme may also invest a certain proportion of its corpus in money market instruments and/or units of liquid mutual fund schemes, in order to meet liquidity requirements from time to time. Asset Allocation Types of Instruments Normal Allocation Pattern of the (% of Net Assets) Scheme 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 the fundamental attribute of the Scheme and all applicable provisions under the SEBI (Mutual Funds) Regulations, 1996 read with any amendments thereto, would be complied with, including giving an option to investors for a period of 30 days, to exit at the prevailing NAV of 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 equity related instruments. Investment The Scheme will invest predominantly in units / shares of HGIF Brazil Equity Fund. The Scheme may, at the discretion of the Investment Strategy of the Manager, also invest in the units of other similar overseas mutual fund schemes, which may constitute a significant part of its corpus. The Scheme Scheme may also invest a certain proportion of its corpus in money market instruments and/or units of liquid mutual fund schemes, in order to meet liquidity requirements from time to time. Risk Profile of the Mutual Fund units involve investment risks including the possible loss of principal. Please read the SID carefully for details on risk factors Scheme before 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 the Investment Manager, also invest in the units of other similar overseas mutual fund schemes, which may constitute a significant part of its corpus. Hence the Scheme’s performance may depend upon the performance of the underlying scheme. Any change in the investment 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 the offshore 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 this information is received by the AMC from underlying scheme later in the day and the Scheme has already accepted transactions, such transactions 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 principal payments. Money market instruments may also be subject to price volatility due to factors such as changes in interest rates, general level of market 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 be affected 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 of holdings 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 the income and value of the scheme. Hedging Risk: The investment manager to the underlying scheme is permitted, but not obliged, to use hedging techniques to attempt to 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 and regulatory 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 procedures may 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 in relative 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 are limited 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 such investments do not result in expenses to the Fund in excess of the ceiling on expenses prescribed by and consistent with costs and expenses attendant to international investing. Risk Mitigation Market Risk : Investment approach supported by comprehensive research. Factors 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 of repute as advisors, custodian/sub-custodians etc. for managing and administering foreign investments. Option(s) / Options: Growth & Dividend Sub-options: Dividend Payout and Dividend Reinvestment Sub-option(s) 2 HSBC Brazil Fund Temporary The AMC/Trustee reserves the right to temporarily suspend subscriptions in/switches into the Scheme or subsequent instalments of Suspension of HSBC SIP / HSBC STP will be stopped from the month in which the subscriptions exceed the maximum permissible limits prescribed by Subscription SEBI for overseas investments as mentioned under the heading on “Policy on Offshore Investments by the Scheme” of the SID (currently the limit for all the schemes of HSBC Mutual Fund put together is equivalent to US $ 300 mn). Applicable NAV For subscriptions / purchases including switch-ins and redemptions including switch-outs (after the Scheme 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 is opens for received, the closing NAV of the day of receipt of application will be applicable. repurchase and 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 is sale) received, 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 is received, the closing NAV of day on which the cheque or demand draft is credited will be applicable. Minimum Initial investment Additional investment Application Amount - Lumpsum H 10,000/- (and in multiples of H 1/- thereafter) H 1,000/- (and in multiples of H 1/- thereafter) investment Minimum Minimum Investment Amount Minimum no. of instalments Minimum Aggregate Investment Application Amount-Systematic H 1,000/- (monthly) or 12 (monthly SIP) or 4 (quarterly SIP) H 12,000/- Investment Plan H 3,000/- (quarterly) (available during Continuous Offer) Minimum H 1,000/- (and in multiples of H 1/- thereafter), or 100 units. Redemption Amount / Number of Units Despatch of Within 10 Business Days from the date of redemption or repurchase request at any of the Investor Service Centres. Under normal Repurchase circumstances, the Fund will endeavour to despatch the redemption proceeds within 7 Business Days from the date of redemption or (Redemption) repurchase request. 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 Units allotted under Dividend Reinvestment option. However, it must be distinctly understood that the actual declaration of dividends under the Scheme and the frequency thereof will, inter alia, depend upon the distributable surplus of the Scheme. The Trustees reserve the right of dividend declaration and to change the frequency, date of declaration and the decision of the Trustees in this regard shall be final. There is no assurance or guarantee to Unitholders as to the rate of dividend distribution nor that the dividend will be regularly paid. The dividend that may be 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 the notified record date. The dividend will be at such rate as may be decided by the AMC in consultation with the Trustees. Name of the Fund Gaurav Mehrotra and Niren Parekh, Dedicated Fund Managers for managing the overseas investments as permitted under the Regulations, Manager(s) guidelines and circulars issued from time to time. Sanjay Shah, Fund Manager responsible for managing investments in Indian markets. Name of the Board of Trustees (The Trustees) of HSBC Mutual Fund Trustee Company 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 HSBC Mutual Fund. Performance of This Scheme being a new Scheme, does not have any performance track record. the Scheme Expenses of the New Fund Offer Period & Continuous Offer Scheme (i) Load Structure 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 the investor. Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors assessment of 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 to change at the discretion of the AMC and such changes shall be implemented prospectively. (ii) Recurring The total expenses of the Scheme including the management fees shall consist of – Expenses (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 exceed 2.50% of the daily average net assets of the Scheme. Procedure for Pursuant to SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, no Entry Load will be charged for Mutual Fund Direct schemes. Therefore, the procedure for Waiver of Load for Direct Applications is no longer applicable. Applications Tax treatment for Investor is advised to refer to the details in the Statement of Additional Information (SAI) and also independently refer to his tax advisor. the Investors (Unitholders) Daily Net Asset 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, Value (NAV) 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 be Publication made available at all Investor Service Centres of the AMC. The AMC shall have the NAV published in two daily newspapers. The AMC shall update the NAVs on the website of the Fund, www.assetmanagement.hsbc.com/in and on the website of AMFI (Association of Mutual Funds 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 the MSCI Brazil 10/40 Index (Benchmark) prices will also be available on the website of the Fund, at all times with no additional cost, for investors to compare the performance of the Scheme vis-à-vis the Benchmark. 3 HSBC Brazil Fund Modes of In addition to Cheque and Demand Draft as payment mechanisms, an additional mode of payment viz. Applications Supported by Blocked Payment Amount (ASBA) is available to investors. ASBA refers to an application made for subscribing to an NFO, along with an authorisation to a Self Certified Syndicate Bank (SCSB) to block the application money in a bank account. Please refer to the instructions in the KIM for details. For Investor Registrar Grievances, Computer Age Management Services Private Limited (CAMS) please contact HSBC Mutual Fund Unit, Rayala Towers, 3rd Floor, 158, Anna Salai, Chennai 600 002. Mutual Fund Ms. Rheitu Bansal, HSBC Asset Management (India) Private Limited, 314, D. N. Road, Fort, Mumbai 400 001. Tel.: 66668819. Fax : 40029600 E-mail : email@example.com Unitholders' Account Statement Information An account statement will be sent by ordinary post / courier / e-mail to each Unitholder, stating the number of Units allotted, as soon as possible, but not later than 5 Business Days from the close of the New Fund Offer. During continuous offer, the AMC shall endeavour to despatch the account statement within 3 Business Days from the date of receipt of request from the unitholder. An Account Statement reflecting the net balance of the Unitholder will under normal circumstances be mailed to the Unitholder by ordinary post / courier after every purchase, redemption and switch transaction is effected, except in exceptional circumstances. For those Unitholders who have provided 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 issued within 10 working days of the initial investment/transfer/ withdrawal. Account Statement for SIP/ STP/SEP transactions will be despatched once 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 the date of generation of account statements. The Account Statement shall reflect the latest closing balance and value of the Units prior to the date of generation of the account statement. The Account Statement shall reflect the latest closing balance and value of the Units prior to the date of generation of the account statement. The account statements in such cases may be generated and issued along with the Portfolio 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 as soon 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). The abridged / Full schemewise Annual Report shall contain such details as are required under the Regulations / Circular issued thereafter. A full copy of the schemewise / abridged annual report shall be made available for inspection at the Head Office of the Fund and a copy shall be made available to the Unitholders on request, on payment of nominal fees if any. These results shall also be displayed on the website of 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 of 1 month from the close of each half year, that is as on 31 March and 30 September, publish its unaudited financial results in one English daily newspaper circulating in the whole of India and in a newspaper published in the language of the region where the Head Office of the Fund is situated and update the same on the Fund’s website at www.assetmanagement.hsbc.com/in and on AMFI’s website at www.amfiindia.com, within 1 month from the close of each half year, in the formats as prescribed by SEBI. The Fund shall before the expiry of 1 month from the close of each half year (31 March and 30 September) send to the Unitholders a complete statement of the Scheme’s portfolios or if such statement is not sent to the Unitholders, it will be published by way of an advertisement in one English daily newspaper circulating in the whole of India and in a newspaper published in the language of the region where the Head Office of the Mutual 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 numbers Scheme Feb. 28, 2011 as on (in H crores) Feb. 28, 2011 EQUITY SCHEMES HSBC To generate long-term capital The aim of the scheme is to It seeks to invest primarily into 912.51 8,63,306 Equity 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 from equity related securities. growth from an actively other schemes of the Fund. managed portfolio, mainly comprising companies registered in and/or listed on a regulated 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 22,015 Opportunities through investments across all seek aggressive growth and primarily into Indian equity stocks Fund 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 the The fund aims to be growth from an actively scheme different from other predominantly invested in equity managed portfolio, mainly schemes of the Fund. and equity related securities. comprising a judicious mix of However, it could move a small, mid and large cap stocks. significant portion of its assets towards fixed income securities if the fund manager becomes negative on equity markets. HSBC To generate long term capital The aim of the scheme is to It is a thematic equity scheme 212.52 68,511 Progressive growth from an actively deliver above benchmark returns which uses a flexi-theme Themes 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 the investing primarily in sectors, portfolio, primarily comprising of scheme different. 4 HSBC Brazil Fund Name of the Investment Objective Investment Strategy Product Differentiation AUM as on Folio numbers Scheme Feb. 28, 2011 as on (in H crores) Feb. 28, 2011 areas and themes that play an stocks of companies in areas/ important role in, and / or benefit sectors that play an important role from, India's progress, reform in India's economic development. process and economic development. HSBC Midcap To generate long term capital The aim of the scheme is to It seeks to invest primarily into 130.63 24,189 Equity 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 from related securities primarily being growth from an actively managed other schemes of the Fund. Midcap stocks. However, it could portfolio, primarily comprising of move a portion of its assets midcap stocks. towards fixed income securities if the fund manager becomes negative on the Indian equity markets. HSBC To provide long term capital The scheme has the flexibility to The scheme seeks to normally 108.68 29,696 Dynamic 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 equity instruments. It also has the mix of securities-primarily equity markets but can react quickly to a flexibility to move, entirely if and equity related instruments. negative market by moving its required, into debt instruments This allocation will be steadily assets into debt instruments, with in times that the view on equity monitored and updated as and an aim to limit any downside risk in markets 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 85,143 Tax Saver appreciation by investing in a Equity Fund is to provide an Equity Linked Savings Scheme Equity 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 of and industries, with no small, mid and large cap stocks. capitalization bias. The Fund may also invest in fixed income securities. HSBC Unique To provide long-term capital The Fund Manager will seek to This scheme seeks to invest into 92.62 24,921 Opportunities growth from a diversified invest in companies that currently stocks of companies facing "out of Fund 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 in companies facing "out-of-ordinary" distressed debt etc., Mergers & companies that have strong conditions. Acquisitions, Divestments, fundamentals and possess growth Spin-Offs, Demergers, potential but are either temporarily Out-of-favour industries/sectors, undervalued or are likely to benefit Employee/Management buyouts, from unlocking of value from the New product/business launches, culmination of these situations. Asset plays (companies selling at significant discount to intrinsic value), Unrecognised growth potential, companies likely to benefit from some change in the economy, 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 8,637 Small Cap appreciation primarily from a to invest in small cap companies scheme with automatic conversion Fund 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 the small cap companies. potential and under-pricing relative date of allotment of units. to intrinsic value. FUND OF FUNDS SCHEME HSBC To provide long term capital The scheme proposes to invest in This is the only overseas fund of 59.73 8,719 Emerging appreciation by investing in India the overseas market by investing funds scheme which takes Markets 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 GEM Units / securities issued by Equity Fund. The scheme may overseas mutual funds or undertake currency hedging to unit trusts. The fund may also protect the investors from the risk invest a limited proportion in associated with movement in debt and money market currency markets. instruments. For detailed investment strategies of each of the above schemes, please refer Combined Scheme Information Document. 5 HSBC Brazil Fund Important Instructions 1) Please refer to the SID, SAI and the KIM of the Scheme carefully before filling b) In case of payment from a joint bank account, first holder in the folio has to the Application Form. be one of the joint holders of the bank account from which the payment is made. Hence, joint holders may pre-register their bank accounts (single/multiple) 2) Please refer the section on "Who can invest?" for a list of eligible investors in the with the AMC/RTA, by completing the Multiple Bank Account Registration SID. Applications from investors resident in USA or Canada will not be accepted. Form, if they intend to make payment on behalf of other joint holder(s) in the 3) All applicants are deemed to have accepted the terms subject to which this offer folio. In such cases the application will be accepted and not treated as a third is being made and bind themselves to the terms upon signing the Application party payment. Form and tendering the payment. c) Where the payment instrument does not mention the bank account holders 4) Investors are requested to use the services of AMFI certified Distributors name/s, investor should attach bank pass book copy/bank statement/bank empanelled with the AMC. The AMC shall not be liable to an Investor, with respect letter to substantiate that the first unit holder is one of the joint holders of the to investments made through non-empanelled Distributors. bank account. Where a payment is through a pre-funded instrument, a bank If the investor wishes to invest directly, i.e. without involving the services of any certification of the bank account no. and account holders name should be agent or broker, “DIRECT” should be mentioned in the space provided for “ARN attached, in the required format. Pre-funded instrument issued against cash Number” in the Application Form/Transaction Form. Any subsequent change/ shall not be accepted for investments of Rs 50,000 or more updation/removal of broker code will be based on the written request from the For RTGS/NEFT/online bank transfer etc., a copy of the instruction to the bank Unit holder and will be on a prospective basis only from the date when the stating the account number debited must accompany the purchase application. Registrar executes such written instruction. 5) Applications under Power of Attorney / Body Corporate / Registered Society / d) The AMC reserves the right to reject the application, post acceptance of the Trust / Partnership same, if any of the requisite documents/declarations are unavailable or incomplete, in which case the AMC shall refund the subscription money. No The original Power of Attorney or a duly notarised copy of the Power of Attorney interest will be payable on the subscription money refunded. Refund orders shall be required to be submitted where applications are made under a Power of will be marked “A/c. payee only” and will be in favour of and be despatched Attorney. to the Sole / First Applicant, by courier/speed post/registered post. A company, body corporate, eligible institutions, registered society, trusts, partnership or other eligible non-individuals who apply in the scheme should 10) Subject to the SEBI (MF) Regulations, any application for Units may be accepted furnish a certified copy of resolution or authority to make the application as the or rejected in the sole and absolute discretion of the Trustee. The Trustee may case may be and a certified copy of the Memorandum and Articles of Association inter alia reject any application for the purchase of Units if the application is invalid and / or bye-laws and / or Trust Deed and / or Partnership Deed and certificate or incomplete or if the Trustee for any other reason does not believe that it would of registration or any other document as the case may be. In case of a Trust / Fund, be in the best interest of the Scheme or its Unit holders to accept such an it shall submit a certified true copy of the resolution from the Trustee(s) authorising application. such purchases. The officials should sign the application under their official 11) NRIs, Persons of Indian Origin, FIIs designation and furnish a list of authorised signatories. All communications and The Foreign Exchange Management (Transfer or Issue of Security by a Person payments shall be made to the First Applicant only. Resident Outside India) Regulations, 2000 (the "FEMA Regulations") permit a NRI / 6) PAN Details (PAN Mandatory for all investments) PIO to purchase on repatriation or non-repatriation basis, without limit, units of As per Securities and Exchange Board of India (SEBI) Circular dated 27 April, 2007 domestic mutual funds. Payment for such units must be made either by cheque and letter dated 25 June, 2007, Permanent Account Number (PAN) has been or demand draft by means of: (i) inward remittance through normal banking made the sole identification number for all participants investing in the securities channels; or (ii) out of funds held in the NRE / FCNR account, in the case of market, irrespective of the amount of investment. purchases on a repatriation basis or out of funds held in the NRE / FCNR / NRO account, in the case of purchases on a non-repatriation basis. With effect from 1 January, 2008, for all applicable transactions, investors will need to submit a photocopy of their PAN card, which shall have been either Investments by NRIs / FIIs shall be in accordance with the prevailing laws verified with the original or verified/ attested by AMFI registered distributors, bank governing such investments. managers or judicial authorities. The PAN requirements will be applicable to all Payment by the FII must be made either by inward remittance through normal joint applicants as well as the Guardian, in case of applications by a Minor. As per banking channels or out of funds held in foreign currency account or non-resident SEBI circular no. MRD/DoP/MF Cir - 08/2008 dated April 3, 2008 investors residing rupee account maintained by the FII with a designated branch of an authorised in the state of Sikkim are exempted from the mandatory requirement of PAN for dealer in terms of paragraph 2 of Schedule 2 to the FEMA Regulations. their investments in Mutual Funds. However, this would be subject to verification 12) Nomination Details of the veracity of the claim of the investors that they are residents of Sikkim, by collecting sufficient documentary evidence. Applicants applying for Units singly / jointly can also make the nomination at the time of initial investment. Investors are advised to consider availing nomination Accordingly, submission of Form 49A and/ or declaration in Form 60/61 will not facility in their own interest. be accepted. Hence, all applicable transactions not accompanied by a duly verified/ attested copy of PAN card are liable to be rejected. a) The nomination can be made only by individuals applying for / holding units on their own behalf singly or jointly. Non-individuals including society, trust, body 7) Know Your Customer (KYC) corporate, partnership firm, Karta of Hindu Undivided Family, holder of Power of KYC is mandatory under the Prevention of Money Laundering Act, 2002 for all Attorney cannot nominate. investors irrespective of the amount of investment. b) Where a folio has joint holders, all joint holders should sign the request for The KYC requirements can be completed by filling up the prescribed form and nomination/cancellation of nomination, even if the mode of holding is not "joint". submitting the same along with the other requisite details / proof (attested true Nomination form cannot be signed by Power of attorney (PoA) holders. copies of supporting documents relating to proof of identity and address or c) There can be no nomination in a folio held in the name of minor. verification with the original) to a designated Point of Service (PoS) of CDSL Ventures Limited (CVL). Any subsequent change to Address, Pin Code, Country, d) The investors/Unitholders are requested to note that a maximum of three nominees Nationality, Occupation, Income details, Date of Birth, Proof of Identity need to can be registered for a Folio. In case of multiple nominees, the 'Share / Ratio' of be communicated to CVL ONLY. For details of the process and list of PoS, please nomination has to be clearly specified in the nomination form / request letter. If visit our website http://www.assetmanagement.hsbc.com/in. In case investor has the 'Share / Ratio' of nomination is not explicitly stated, then the nomination shall completed the KYC Compliance process, without submitting a copy of PAN Card, be treated at 'Equal Share/Ratio'. he/she must forthwith provide a copy of PAN Card alongwith the copy of KYC e) A minor can be nominated and in that event, the name, address and PAN of the compliance acknowledgement to CVL. Guardian of the minor nominee (in case the minor does not have PAN) shall be In view of this, with effect from January 1, 2011, irrespective of the amount of provided by the Unitholder. investments (including switch), all investors who make any investment or switch f) The Nominee shall not be a trust, (other than a religious or charitable trust) society, request and have not completed their KYC, will be required to do so and provide body corporate, partnership firm, Karta of Hindu Undivided Family or a Power of a copy of KYC acknowledgment along with the application form. Investors who Attorney holder. A non-resident Indian can be a Nominee subject to the exchange have already completed their KYC and provided a copy of KYC to AMC/RTA need controls in force, from time to time. However, a resident of USA/Canada can not not undergo any additional KYC. be a Nominee. Nomination can also be made in favour of the Central Government, State Government, Local Authority, any person designated by virtue of his office 8) Investors are requested to note that information will be obtained from CVL or a religious or charitable trust. database and information in the AMC records will be overwritten. Any discrepancy g) Nomination in respect of the Units stands rescinded upon the transmission of in the application on account of address or residence status the application will Units. be rejected and the money will be refunded upon confirmation from CVL. h) Transmission of Units in favour of a Nominee shall be valid discharge by the AMC / 9) Third Party Payments Mutual Fund / Trustees against the legal heir. a) Third party payments (i.e where payment is made from a source other than i) The cancellation of nomination can be made only by those individuals who hold that of the first holder) will not be accepted by the Fund, except if made under Units on their own behalf singly or jointly and who made the original nomination. the following exceptional categories, namely i) as gift by parents/grandparents/ j) On cancellation of the nomination, the nomination shall stand rescinded and the related persons in favour of minor, not exceeding Rs. 50,000/-, ii) employer on AMC / Mutual Fund / Trustees shall not be under any obligation to transmit the behalf of employee as payroll deductions for SIP/ Lumpsum investments, and Units in favour of the Nominee. iii) Custodian on behalf of FII/client. In such cases, KYC acknowledgement along with additional declarations will have to be submitted along with the k) The rights in the units will rest in the Nominee(s) only upon death of all Unitholders. application form, failing which the application will be rejected. Such declaration l) Every new nomination for a folio/account will overwrite the existing nomination. to be submitted in original & in the prescribed standard format and unique m) Nomination shall be mandatory for new folios/accounts opened by individual across each lumpsum investment. (Declaration formats can be obtained from especially with sole holding and no new folios/accounts for individuals in single ISCs or downloaded from the Fund’s website.) holding should be opened without nomination. 6 HSBC Brazil Fund Instructions for filling up the Application Form 1. General Information Kindly note that post-dated cheques are not allowed. a) Investors adopting the ASBA (Applications Supported by Blocked Amount) route c) If no indication is given for the investment the default Option will be as follows : for payment, may use the ASBA Application form attached, while other investors Indication not made Default may use the normal application form to be used by non-ASBA investors. Scheme Name As indicated on the Cheque b) The Application Form should be completed in ENGLISH in BLOCK LETTERS only. Please Tick ( ) in the appropriate box ( ), where boxes have been provided. Dividend / Growth Option Growth Option c) Existing investors of HSBC Mutual Fund who have provided their PAN earlier Dividend Payout / Reinvestment Dividend Reinvestment and wanting to make an investment will need to provide KYC acknowledgment, Mode of holding (in cases where there are Joint fill up ONLY their Folio Number in Section 1 and then proceed to section 3. more than one applicant) However, new investors will be required to fill up the Applicant's Details in Status of First Applicant (Individual, HUF, Others# Section 2. Company etc.) d) Please do not overwrite. For any correction / changes (if any) made on the application form, applicants are requested to authenticate the same by canceling # Tax rates (including the tax on dividend distribution) wherever applied on ‘Others‘ and re-writing the correct details and counter-signed by the sole / all applicants. by HSBC Mutual Fund shall be the same as applicable to a Resident Indian Company d) In view of the RBI Circular - DPSS.CO.CHD.No. 1832/01.07.05/2009-10 dated 22nd February 2010, kindly note the following: No changes / corrections should be d) Bank charges for demand drafts will be borne by the AMC and will be limited to carried out on the cheques. For any change in the payee’s details, amount in figures the bank charges as per table below. The AMC will not entertain any request for or amount in words, etc., fresh cheque would be required. Cheque with alterations / refund of demand draft charges. Outstation cheques / outstation demand draft will corrections will not be honoured effective 1st July, 2010. not be accepted. Amount DD Charges 2. Applicant's Information Upto H 10,000/- At actuals, subject to a maximum of H 65/- Applicants must provide all the details under Section 2 of the Application Form. Above H 10,000/- At H 3.50/- per H 1,000/-. Minimum H 65/- a) Name and address must be given in full (P.O. Box Address alone is not sufficient). and Maximum H 12,500/- 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 a However, such Demand Draft charges would be reimbursed only when the investor Company / Body Corporate / Partnership Firm / Trust / Society / FIIs / Association is not residing in any of the locations where the AMC or CAMS have official points of Persons / Body of Individuals. of acceptance. c) If the application is on behalf a Minor, the Guardian's Name and date of birth of e) ASBA Facility the Minor should be provided. As per SEBI circular dated March 15, 2010 read with circular dated July 28, 2010, d) Investor has an option to receive communication through email. The investor investors can subscribe to the NFO through ASBA facility for NFOs launched on always has a right to demand a physical copy of any or all the documents in respect or after October 1, 2010. The ASBA facility shall co-exist with the current process, of the services provided by the Fund. wherein cheques / demand drafts are accepted by the Mutual Fund as a mode of payment for subscription. ASBA is an application containing an authorisation given 3. Bank Account Details by the investor to block the application money in his specified bank account Applicants should provide the name of the bank, branch address, account type and towards the subscription of Units offered during the NFO of the Scheme. Thus, account number of the Sole / First Applicant. As per SEBI guidelines, it is mandatory for an investor who applies though ASBA facility, the application money blocked for investors to mention their bank account details in the Application Form. towards subscription of Units shall be debited only if his/her application is selected AMC will endeavour to directly credit redemption / dividend proceeds in customer's for allotment of Units. The ASBA facility is offered by selected Self Certified bank account wherever possible. Syndicate 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 and Applications without this information will be rejected. SEBI. Investors are requested to check with their respective banks about the For NRI investors - Kindly also provide the FIRC Letter from your banker (i.e. availability of the ASBA facility. Investors adopting the ASBA route may only fill up source of funds confirmation) if your account type is NRE. the ASBA application form. Applications without this information will be rejected. 5. Declaration and Signatures 4. Investment and Payment Details a) Signature should be in black or blue ink only. a) The application amounts can be tendered by cheque / demand drafts payable b) Signatures can be in English or in any Indian language. Thumb impressions must locally at any of the ISCs and designated collection centres. Application Forms be attested by a Magistrate / Notary Public under his / her official seal. In case of accompanied with outstation cheques / stockinvests / postal orders / money HUF, the Karta will sign on behalf of the HUF. orders / cash will not be accepted. c) Applications on behalf of minors should be signed by their Guardian. b) All cheques and bank drafts must be drawn in the name of the Scheme e.g. “HSBC HSBC Mutual Fund / AMC, reserves the right to reject any application inter alia in the Brazil Fund” and crossed "Account Payee only". A separate cheque or bank draft absence of fulfilment of regulatory requirements, fulfilment of requirements of the must accompany each Application. Please note that amount in words and figures SID, SAI and furnishing necessary information to the satisfaction of the Mutual Fund on the cheque must tally and should not be in local languages. / AMC. CHECKLIST Documents Individuals NRIs Minors Companies / Trusts Societies HUF Partnership FIIs Investments Body Firms through Corporates Constituted Attorney 1. Certificate of Incorporation / Registration 2. Resolution / Authorisation to invest 3. List of Authorised Signatories with Specimen 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. 7 HSBC Brazil Fund LIST OF THE COLLECTION CENTRES 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 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 Limited Regd. Office : 314, D. N. Road, Fort, Mumbai 400 001 Tel. : 022-6666 8819 Fax : 022-4002 9600 Email : firstname.lastname@example.org Website : www.assetmanagement.hsbc.com/in. 8 HSBC Brazil Fund HSBC Brazil Fund Application Form (An open-ended Fund of Funds scheme) (to be used by non-ASBA investors) DISTRIBUTOR INFORMATION (Only empanelled Distributors / Brokers will be permitted to distribute Units) Distributor / Broker ARN Sub-Broker Code Registrar Serial No. Application No. : ARN - 29345 101541 For Office Use Only 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. 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) ‡‡ SOLE / FIRST APPLICANT'S PERSONAL DETAILS Are you a resident of USA/Canada? ( ) Yes No‡‡ Default if not ticked. Name Mr Ms M/s Date of Birth~‡ D D M M Y Y Y Y PAN** Enclosed ( ) PAN Card Copy KYC Compliance Proof* (Mandatory for Minors) (Mandatory) ~ Proof Enclosed ( ) Birth Certificate School Leaving Certificate Marksheet issued by HSC/State Board Passport Others________________ (please specify) Receive Account Statement, Annual Reports and other information instantly by e-mail^ I/We wish to receive updates via SMS on my mobile ( ) e-mail I / We 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 the I / We do not wish to receive the above by email default option, i.e., receive the account statement, annual reports and other correspondence by e-mail and receive SMS updates on Mobile. Occupation‡ ( ) Private Sector Service Public Sector / Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) _____________________________________ Guardian Name (if Sole / First applicant is a Minor) Contact Person (in case of Non-individual Investors only) Mr Ms M/s Natural Guardian+ (Father or Mother) Legal Guardian++ (court appointed Guardian) PAN** (Mandatory) + Document evidencing relationship with Guardian Enclosed ( ) PAN Card Copy KYC Compliance Proof* ++ In case of Legal Guardian, please submit attested copy of the court appointment letter, PAN/KYC not required for contact person but required for Guardian affidavit etc. to support. of Minor. Nationality‡ Country of Residence‡ 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) City Pin Code State Country Contact Details Phone O Extn. Fax R Mobile 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) City State Country Zip Code Status ( ) Resident Individual Minor Partnership Company HUF FII NRI Trust Society AOP / BOI Others 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) Mr Ms M/s PAN** (Mandatory) Enclosed ( ) PAN Card Copy KYC Compliance Proof* Name of Third Applicant (Not applicable if Sole / First Applicant is a Minor) Mr Ms M/s 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) Mr Ms M/s PAN** (Mandatory) Enclosed ( ) PAN Card Copy KYC Compliance Proof* PoA copy notorised or the original copy of PoA needs to be submitted in case of Investment through PoA. * 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. ...continued overleaf È ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Application No. : Note: This Acknowledgement Slip is for your reference only. Information provided on the form is considered final. Received from Mr Ms M/s Folio No. an application for Units of HSBC Brazil Fund Option ( ) Growth Dividend Reinvestment Dividend Payout along with Cheque / DD No. Dated Drawn on (Bank) Amount (H) ISC Stamp, Signature & date 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. 3 BANK ACCOUNT DETAILS (MANDATORY as per SEBI Guidelines) (Refer Instruction 3) Core Banking A/c No. A/c. Type ( ) Current Savings NRO* NRE* * For NRI Investors Bank Name Branch Address Bank City MICR Code RTGS F o r R u p e e s One l a k h and above NEFT F o r l e s s t h a n R u p e e s One l a k h IFSC Code IFSC Code Please also provide a cancelled cheque leaf of the same bank account as mentioned above. ® (9 digit number next to your Cheque No.) 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. 4 INVESTMENT & PAYMENT DETAILS (Refer Instruction 4) Scheme Name : HSBC Brazil Fund Option ( ) Growth (default) Dividend Reinvestment Dividend Payout Investment Amount (H) DD charges (H) Net Amount (Cheque / (H in words) DD amount) (H Figures) Mode of Payment Cheque / DD Cheque / DD No. Dated Cheque / DD Drawn on : Bank Branch City A/c No. A/c. Type ( ) Current Savings NRO* NRE* (* For NRI Investors) 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, my relationship with the bank account holder ( ) Parent Grandparent Employee Custodian Others ________________(Please specify); and the Third Party declaration form is attached (Refer important instruction No. 9 on the Third Party Payments). 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) 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. Name and Address of Nominee(s) If the nominee is a minor, Name & Address of the guardian is Mandatory First Nominee Second Nominee Third Nominee Name Guardian's Name Guardian's Address (in case of Minor) Allocation % Date of Birth (if nominee is a minor) I/We do not wish to appoint a Nominee in this Folio (default in case details above are not provided). Signature(s) Sole/First Applicant Second Applicant Third Applicant 6 DECLARATION AND SIGNATURES (In case of joint holding, signatures of all unit holders are Mandatory) The Trustees, HSBC Mutual Fund Having read and understood the contents of the SID and SAI, I / We hereby apply under Direct / AMFI Certified empanelled distributors Sole / First to the Trustees of HSBC Mutual Fund for units of the Scheme / Option as indicated above and agree to abide by the terms, conditions, Applicant rules and regulations of the Scheme. I / We have understood the details of the Scheme and I / We have not received nor been induced Guardian / PoA by any rebate or gifts, directly or indirectly, in making this investment. I / We hereby 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. Second If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I / We would not hold HSBC Asset Applicant / PoA Management (India) Pvt. Ltd. (Investment Manager to HSBC Mutual Fund), their appointed service providers or representatives responsible. 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 from abroad 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 Scheme of 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 Third other applicable laws or any Notifications, Directions issued by any governmental or statutory authority from time to time. Applicant / PoA *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 him for the different competing schemes of various Mutual Funds from amongst which the Scheme is being recommended Date to me / us. 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. CALL US AT 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 graphics alok Contact us at email@example.com Visit us at www.assetmanagement.hsbc.com/in. Applications Supported by Blocked Amount (ASBA) Application Form (to be used by investors adopting the ASBA route) DISTRIBUTOR INFORMATION (Only empanelled Distributors / Brokers will be permitted to distribute Units) Date: Application No. : Distributor / Broker ARN Sub-Broker Code Registrar Serial No. SCSB SCSB IFSC Code Syndicate Member Code Sl. No. ARN-29345 101541 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. 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.) Sole / First Applicant's Name Mr Ms M/s Guardian's (If Sole / First Applicant is a Minor) OR Contact Person's (In case of Non-Individual Investors only) Name Mr Ms M/s Second Applicant's Name Mr Ms M/s Third Applicant's Name Mr Ms M/s Sole / First Applicant Guardian / Contact Person Second Applicant Third Applicant PAN ‡‡ Are you a resident of USA/Canada? ( ) Yes No‡‡ Default if not ticked. Mode of Holding ( ) Single Joint (Default if not mentioned) Anyone or Survivor 2 INVESTMENT DETAILS Scheme Name : HSBC Brazil Fund Option ( ) Growth (default) Dividend Reinvestment Dividend Payout Total Amount to be blocked (in Figures) H (in words) 3 SCSB ACCOUNT DETAILS (please refer websites of NSE, BSE and SEBI for list of SCSBs) (MANDATORY) Account Holder Name (as in bank records) Bank Name Branch Address Bank City Bank A/c No. A/c. Type ( ) Current Savings NRO* NRE* * For NRI Investors 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 form matches with the Depository Participant. NSDL CDSL DP Name DP ID I N NA 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 (Issue of 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 extent mentioned 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 the Registrar 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 specified in 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 insufficient for 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 rejected and 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 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 induced by any rebate or gifts, directly or indirectly, in making this investment. I / We hereby 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 transaction is 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 representatives responsible. 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 from abroad 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 Scheme of 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, Directions issued 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 him for the different competing schemes of various Mutual Funds from amongst which the Scheme is being recommended to me / us. 1. 2. 3. Attn: NRI investors; Signature of the Applicant(s) Sole / First Applicant / Guardian / POA Second applicant / POA Third Applicant / POA payment must be made through NRE/ Signature of the Bank Account Holder(s) 1. / First Applicant / Guardian / POA Sole 2. Second applicant / POA 3. Third Applicant / POA FCNR Accounts) TO BE RETAINED BY THE SCSB (TO BE FILLED IN BY THE SOLE / FIRST APPLICANT) Date: Application No. : ACKNOWLEDGEMENT Received from Mr. / Ms. SCSB Account Details SLIP FOR SCSB Bank Account No. Address Branch Address Tel./Fax Mobile Total Amount to be Blocked (R) E-mail (R in words) Signature(s) of the Bank Account Holder Sole / First Applicant / Guardian / POA Second applicant / POA Third Applicant / POA TO BE GIVEN BY THE SCSB (TO BE FILLED IN BY THE SOLE / FIRST APPLICANT) Date: Application No. : ACKNOWLEDGEMENT SLIP FOR INVESTOR Scheme Name Option Received from Mr. / Ms. Address SCSB Stamp, Signature, Date & Time of Form submission Pin Code Tel. Mobile Bank A/c No. Bank Name & Branch Address Total Amount to be Blocked (Rs.) ( in words) Important Information / Instructions for ASBA Investors Background: system of the Stock Exchanges. Once the Allotment is finalised, the In its continuing endeavour to make the existing New Fund Offer R&TA shall send an appropriate request to the Controlling Branch of process more efficient, SEBI introduced a supplementary process of the SCSB for unblocking the relevant bank accounts and for transferring applying in New Fund Offer, viz: the “Applications Supported by the amount allocable to the successful ASBA Applicants to the AMC Blocked Amount (ASBA)” process. Accordingly, Securities and account designated for this purpose. In case of withdrawal/Rejection Exchange Board of India (Issue of Capital and Disclosure of the Offer, the R&TA shall notify the SCSBs to unblock the blocked Requirements) Regulations, 2009, as amended have been amended amount of the ASBA Applicants within one day from the day of for ASBA process. The salient features of circular no. SEBI/CFD/DIL/ receipt of such notification. ASBA/1/2009/30/12 dated December 30, 2009 available on SEBI 5. Obligations of the AMC: AMC shall ensure that adequate website for “Additional mode of payment through Applications arrangements are made by the R&TA to obtain information about all Supported by Blocked Amount (hereinafter referred to as “ASBA”) ASBAs and to treat these applications similar to non-ASBA applications are mentioned below for understanding the ASBA process: while allotment of Units, as per the procedure specified in the 1. Meaning of ASBA: ASBA is an application for subscribing to a New Securities and Exchange Board of India (Issue of Capital and Disclosure Fund Offer (NFO), containing an authorisation to block the application Requirements) Regulations, 2009. money in a bank account. Investors are requested to check with their respective banks about 2. Self Certified Syndicate Bank (SCSB): SCSB is a banker to an issue the availability of the ASBA facility. registered with the SEBI which offers the facility of applying through 6. Other Information for ASBA Investors: the ASBA process. The list of SCSBs will be displayed by SEBI on 1. SCSB shall not accept any ASBA after the closing time of its website at www.sebi.gov.in from time to time. ASBAs can be acceptance on the last day of the NFO period. accepted only by SCSBs, whose names appear in the list of SCSBs 2. The Applicant intending to invest in the Scheme through ASBA displayed on SEBI’s website. Investors maintaining their accounts in Process will be required to have a beneficiary account with a any of these Banks may approach one of the designated branches Depository Participant (DP) of NSDL/ CDSL and will be required of these SCSBs for availing this facility. Further it may be noted that to mention in the application form DP ID No. and Beneficiary from time to time new banks register themselves as SCSBs who Account No. with the DP at the time of purchasing Units during become eligible to provide these services and also the existing the NFO. SCSBs designate additional branches that also provide this facility. 3. Signatures as available with depository will be taken for all purpose An updated list of all the registered SCSBs, their controlling branches, after the allotment of units incase of demat holding. contact details and details of their contact persons, a list of their 4. All static details in our records would be taken from the demat designated branches which are providing such services is available account (DP ID) provided by you. on the website of SEBI at the address http://www.sebi.gov.in. Further 5. Bank account details provided in the ASBA Application form will these details are also available on the websites of the Stock Exchanges be used for refunding reject applications where DP ID is not at http://www.bseindia.com and http://www.nseindia.com. matching Alternatively, investors may also contact the AMC, R&TA for 6. Bank Mandate for redemptions/dividend will be as per your DP information about the SCSBs or the ASBA process. These SCSBs are ID incase of demat holding. deemed to have entered into an arrangement with the Issuer and 7. SCSB shall give ASBA investors an acknowledgement for the shall be required to offer the ASBA facility to all its account holders receipt of ASBAs. for all issues to which ASBA process is applicable. An SCSB shall identify its Designated Branches (DBs) at which an ASBA Applicant 8. SCSB shall not upload any ASBA in the electronic system of the shall submit ASBA and shall also identify the Controlling Branch (CB), Stock Exchange(s) unless (i) it has received the ASBA in a physical which shall act as a coordinating branch for the Registrar to the Issue, or electronic form; and (ii) it has blocked the application money Stock Exchanges and Merchant Bankers. The SCSB, its DBs and CB in the bank account specified in the ASBA or has systems to shall continue to act as such, for all issues to which ASBA process ensure that Electronic ASBAs are accepted in the system only is applicable. The SCSB may identify new DBs for the purpose of after blocking of application money in the relevant bank account ASBA process and intimate details of the same to SEBI, after which opened with it. SEBI will add the DB to the list of SCSBs maintained by it. The SCSB 9. SCSB shall ensure that complaints of ASBA investors arising out shall communicate the following details to Stock Exchanges for of errors or delay in capturing of data, blocking or unblocking of making it available on their respective websites. These details shall bank accounts, etc. are satisfactorily redressed. also be made available by the SCSB on its website: (i) Name and 10. SCSB shall be liable for all its omissions and commissions in address of the SCSB (ii) Addresses of DBs and CB and other details discharging responsibilities in the ASBA process. such as telephone number, fax number and email ids. (iii) Name and 11. R&TA shall act as a nodal agency for redressing complaints of contact details of a nodal officer at a senior level from the CB. ASBA and non-ASBA investors, including providing guidance to 3. Eligibility of Investors: An Investor shall be eligible to apply through ASBA investors regarding approaching the SCSB concerned. ASBA process, if he/she: Grounds for rejection of ASBA applications (i) is a “Resident Retail Individual Investor, Non Institutional Investor, ASBA application forms can be rejected by the AMC/Registrar/ SCSBs, QIBs, Eligible NRIs applying on non-repatriation basis, Eligible on the following technical grounds: NRIs applying on repatriation basis i.e. any investor, 1. Applications by persons not competent to contract under the Indian (ii) is applying through blocking of funds in a bank account with the Contract Act, 1872, including but not limited to minors, insane persons SCSB; Such investors are hereinafter referred as “ASBA etc. Investors”. 2. Mode of ASBA i.e. either Physical ASBA or Electronic ASBA, not 4. ASBA Facility in Brief: Investor shall submit his / her Application selected or ticked. through an ASBA Application Form, either in physical or electronic 3. ASBA Application Form without the stamp of the SCSB. mode, to the SCSB with whom the bank account of the ASBA 4. Application by any person outside India if not in compliance with Investor or bank account utilised by the ASBA Investor (“ASBA applicable Foreign and Indian laws. Account”) is maintained. The SCSB shall block an amount equal to 5. Bank account details not given/incorrect details given. the NFO application Amount in the bank account specified in the 6. Duly certified Power of Attorney, if applicable, not submitted along ASBA Application Form, physical or electronic, on the basis of an with the ASBA Application Form. authorisation to this effect given by the account holder at the time 7. No corresponding records available with the Depositories matching of submitting the Application. The Application Amount shall remain the parameters namely (a) Names of the ASBA applicants (including blocked in the aforesaid ASBA Account until the Allotment in the the order of names of joint holders) (b) DP ID (c) Beneficiary account New Fund Offer and consequent transfer of the Application Amount number or any other relevant details pertaining to the Depository against the allocated Units to the Issuer's account designated for this Account. purpose, or until withdrawal/failure of the Offer or until withdrawal / rejection of the ASBA Application, as the case may be. The ASBA 8. Insufficient funds in the investor's account. data shall thereafter be uploaded by the SCSB in the electronic IPO 9. Application accepted by SCSB and not uploaded on/with the Exchange / Registrar. 12 HSBC Brazil Fund Declaration Formats 1 THIRD PARTY PAYMENT DECLARATION (Should be enclosed with each payment/SIP Enrolment) 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. Beneﬁciary 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 conﬁrm the minor stated above is the beneﬁcial I conﬁrm that I am the legal guardian of the Minor, registered in folio owner of the investment details mentioned above and I am providing the and have no objection to receiving these funds on behalf of the Minor. funds for these investments on account of my natural love and affection or as gift from my bank account only. Signature Contact Number 2 BANKER’S CERTIFICATE (in case of Demand Draft / Pay Order / Any Other pre-funded instrument) To whomsoever it may concern, we hereby conﬁrm 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 / Favouring Payable At Details of Bank Account Debited for issuing the instrument: Bank Account No. Account Type Account 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 Regulator In the Country Country Name Registration No. Registration Number We conﬁrm having carried out necessary Customer Due Diligence with regard to the Beneﬁciary 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 clariﬁed that the Bankers Certiﬁcate suggested above is recommendatory in nature, as there may be existing Bank Letters / Certiﬁcates / Declarations, which will conﬁrm to the spirit of the requirements, if all required details are mentioned in the certiﬁcate. 3 PAYMENT BY EMPLOYER ON BEHALF OF EMPLOYEE (under Systematic Investments Plans through Payroll deductions) 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 conﬁrm that the beneﬁcial 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 Beneﬁciary(ies) 4 CUSTODIAN ON BEHALF OF AN FII OR CLIENT (Should be enclosed with each payment) To whomsoever it may concern Application and Payment Details (All details below are Mandatory): Folio No. Application Form No. Beneﬁcial 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 conﬁrm the beneﬁcial 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 Multiple Bank Accounts Registration / Deletion Form (Please read the Instructions overlef and attached necessary documents for registration of Bank Accounts. Strike off the Sections not used by you to avoid unauthorised use.) Folio No. OR Application No. (For Existing Unit Holders) (For New Unit Holders) Name of Sole / First Permanent Unit Holder Account No. (PAN) 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 of these 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 registration in 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 maximum of 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. Core Bank Account No. Account Type ( ) Current Savings NRO# NRE# FCNR# Bank Name Branch City PIN Code MICR Code^ IFSC Code^^ Attested Document attached* [Any one ( )] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate Core Bank Account No. Account Type ( ) Current Savings NRO# NRE# FCNR# Bank Name Branch City PIN Code MICR Code^ IFSC Code^^ Attested Document attached* [Any one ( )] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate Core Bank Account No. Account Type ( ) Current Savings NRO# NRE# FCNR# Bank Name Branch City PIN Code MICR Code^ IFSC Code^^ Attested Document attached* [Any one ( )] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate Core Bank Account No. Account Type ( ) Current Savings NRO# NRE# FCNR# Bank Name Branch City PIN Code MICR Code^ IFSC Code^^ Attested Document attached* [Any one ( )] Cancelled Cheque with name pre-printed Bank statement Pass book Bank Certificate ^ 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 From among the bank accounts registered with you or mentioned above, please register the following bank account as a Default Bank Account into which future redemption and/or dividend proceeds, if any, of the above mentioned folio will be paid: Core Bank Bank Account No. Name 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) 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/our request 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 C BANK ACCOUNT DELETION Permanent Folio No. Account No. (PAN) Name of Sole / First Unit Holder Please delete the following Bank accounts as registered accounts for my/our above folio: Bank Account No. Bank Name Bank Account No. Bank Name Bank Account No. Bank Name Bank Account No. Bank Name 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. 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) 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/our request 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 INSTRUCTIONS AND TERMS & CONDITIONS 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/HuF can 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 registering more 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 processed only 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 book giving 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) of any 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 instruct the 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 redemption request 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 investments are 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 advance using this facility and ensure that payments for ongoing purchase transactions are from any of the registered bank accounts only, to avoid fraudulent transactions and 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 incomplete documentation resulting in delay or rejection of the request.
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