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FAQs

We understand that you would have queries during the regular course of interactions. We have created a list of FAQ's to serve you better. If you have a specific query that is not addressed here we would be happy to help you. Please call 1800-222-999 for MTNL/BSNL users or 1800-200-6666 for others or write to us at enquiry@icicipruamc.com.

  • Account Opening
    • Opening a Folio/Account in Single Name
        1. What are the documents required for opening an account in the name of a single Individual?
          Documents required for opening an account in single name are as follows.
          • Duly filled in Common Application Form. (Click Here to see the common application form)
          • Cheque from his bank account /DD for the purchase amount (*).
          • KYC Acknowledgement (Verified by KRA) (Click Here to see the sample acknowledgement form)
          • Third Party Declaration(Click Here to see third party declaration form)
          (*) (For investments done through prefunded instruments, investors need to submit Third party Declaration form)
        2. Can an Individual open more than one Investment Account or folio? Individual investors can open more than one investment account or folios.
    • Opening an Account in Joint Names
        1. Should the joint account holders be related to each other?
          There is no restriction on joint holders being related to each other or sharing any blood relationship.
        2. Is there any limit on the number of persons who can jointly open an account?
          Yes, Maximum of three unit holders can jointly open an account/folio.
        3. What are the different types of “Operating Instructions” that can be given in a joint account?
          Folios having more than one Investor can opt for “Joint” or “Anyone or Survivor” mode for operating the Account/folio.
        4. What are the implications of various instructions in a joint account?
          1. For accounts with operating instruction as “Joint”, transactions requests both of financial and non financial nature will be processed only if the request is signed by “All” the holders.
          2. Accounts with operating instruction as “Anyone or Survivor”, transactions in the folio will be processed if the request is signed by any one or all the holders.
        5. What are the documents required for opening a joint account?
          For opening a joint account with the mode of holding as “Joint” or “Anyone or Survivor”, Investors will have to submit the following documents.
          • Duly filled in Common Application Form Click Here
          • Cheque from the bank account where first holder is one of the account holder/DD for the purchase amount. (*)
          • Self Attested copy of PAN Card for all the Joint Holders
          • KYC Acknowledgement (Verified by KRA) for all the Joint Holders (Click Here to see the sample acknowledgement form)
          • Third Party Declaration(Click Here to see third party declaration form)
          • (*) (For investments done through prefunded instruments investors will have to submit Third party Declaration form)
    • Opening an account for Minors
        1. Who is a minor investor?
          Any investor below the age of 18 years will be termed as Minor investor.
        2. Can minors maintain and operate accounts?
          Minors cannot maintain and operate accounts on their own.
        3. Can minors open joint accounts with their parents or brothers or sisters?
          Accounts in the minor cannot have joint holders but the same can be opened as “On behalf of account” with Natural Parents or Court appointed Guardian as the persons operating the account.
        4. What are the documents required for opening the account of a minor?
          • For opening the account in name of the minor, Investors will have to submit the following documents. Click Here Duly filled in common application form
          • Subscription cheque favoring the scheme in which the investments needs to be done.
          • KYC-KRA acknowledgement of the Guardian (Click Here to see the sample acknowledgement form)
          • Date of Birth proof of Minor i.e Birth Certificate, Passport, School leaving certificate/Mark sheet issued by Higher Secondary Board of respective state etc
          • Relationship Proof of Minor with Guardian, if the same is not available as part of the documents submitted for proof of DOB.
          • Court Order in case of court appointed Guardian
          • Third Party Declaration for payment received from anyone else other than natural guardian Click Here to see third party declaration form
        5. Is there any limit on the amount that can be invested on behalf of the minor?
          There is no limit for the amount to be invested in the name of minor if the subscription cheque bank account is in the name of minor, however Payment by Parents/Grand-Parents/related persons in consideration of natural love and affection or as gift, the amount limit will be Rs 50,000/-.
        6. Can the minor operate the account after becoming major?
          Yes, Minor will be able to operate the account individually after attaining majority and completing the necessary documentation.
        7. Are there any procedural requirements to be completed on a minor becoming a major?
          On attaining majority, investor (Minor who has now become Major) will have to submit below documents for updating his/her details in the folio
          • Written request from the investor requesting from changing the status from Minor to Major with details like name of major, folio numbers, scheme name.
          • Bank mandate with original cancelled cheque with name printed on the cheque or bank attested copy of the Passbook with name and bank account number printed.
          • Investor signature attested by bank manager or Bankers Certificate
          • KYC acknowledgement of the major.
        8. What are the consequences of the delay in completing the procedural requirements (if any) on a minor attaining the age of major?
          In case the investor is not updating the records after attaining majority, future transactions (Financial/Non Financial) received in the folio from investor/guardian will be rejected.
  • Account Statement
    • What is the frequency for dispatching the account statement?
      • Consolidated Account Statement (CAS) / Account statement will be dispatched monthly, on or before 10 calendar days of the following month for folios which have been transacted in the previous month.


        Incase valid email id is available, the account statement will be emailed to the investor within T+3 business days (T being date of Transaction accepted before cut off time)


        Note: Account statement will be sent only for financial transaction like purchase including NFOs, redemption including maturity, switches, systematic transactions like SIP, SWP, STP etc, dividend payouts or reinvestments, merger, etc.

    • What is a Consolidated Account Statement CAS?
      • Consolidated Account Statement CAS is an account statement where the Registrar and Transfer agents shall identify common investor across fund houses by their permanent account number for the purposes of sending consolidated account statement. The following parameter will be considered


        a) Financial transactions in a month

        b) Identical holders

        c) All unit holders are KYC compliant

    • I have not received my statement of account?
      • Consolidated Account Statement (CAS) / Account statement is dispatched monthly, on or before 10 calendar days of the following month for folios which have been transacted in, in the previous month. if the valid email id is available, the account statements are emailed to the investor within T + 3 business days (T being date of Transaction accepted before cut off time). If the investor has not received the account statement beyond the days mentioned above, the investor is requested to contact customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) from 9 am to 7pm, Monday to Saturday

    • What are the different modes through which an investor can request for a Statement of Account (SOA)?
      • Investors can request for an account statement from the following modes:

        1) Website : - Investor will have to log on to our website : www.icicipruamc.com and refer the home page “Request for eStatement option”. If the email id is available, the account statement will be emailed within _30 minutes and if email id is not registered, the physical account statement will be dispatched within 3 days from the date of request


        2) Contact Centre: The investor can call on our customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) and request for an account statement through Interactive Voice Response (IVR). If the email id is available, the account statement will be emailed within 30 minutes and if email id is not registered, the physical account statement will be dispatched within 1 day from the date of request. Alternatively the investor can also talk to our call center agent and request for an email or physical account statement


        3) Email : The investor can also write an email to enquiry@icicipruamc.com with the subject “Account Statement”. If the email id is available, the account statement will be emailed within 1 business day and if email id is not registered, the physical account statement will be dispatched within 1 business day from the date of request.


        4) ICICI Prudential AMC b ranches : The investor can walk in to any of our Official Point of Acceptance Transaction (OPAT) branch Office and request for an Account statement.

    • What happens if there are no financial transactions in a particular folio for the month?
      • CAS includes only those folios where there are financial transactions across mutual funds and hence these folios will not reflect in the statement.

    • What if there are no transactions in a folio for a long period?
      • Incase, there is no financial transactions ie. Purchase, redemption, switch etc in a Folio for more than 6 months then the Registrar and Transfer Agent will dispatch/email Half yearly holding statements for the period ending September or March in the following month.

    • If the email id is updated, will an investor get a physical Account Statement?
      • Account statement will be sent only via email using any of the email id registered in any of the folios. Hence, we strongly advise investors to verify their email ids (registered in each folio and also printed in CAS against each folio) and update a single email id across all folios

    • In case of any discrepancy in folios related details in CAS, what should the investor do?
      • Investor should approach respective mutual fund or the registrar in case of any discrepancy in

        Financial transactions, folio details printed in CAS or for any other queries.

        For ICICI Prudential Mutual fund related issue, the investor can contact customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) from 9 am to 7pm, Monday to Saturday

    • What is Portfolio account statement ?
      • Portfolio Statement provides details of live s Scheme along with ‘Current Unit Balance', 'Current Valuation', 'Cost Value', & 'Embedded Gain/ Loss. It also provides 'Annualized Returns' in terms of 'percentage' of the scheme wise holdings of the folio.

    • What do you mean by Family Account Statement and Family portfolio statement?
      • Family Account Statement is a facility which will help the investor to see the consolidated account statement and Portfolio statement of the entire family at a glance.


        Advantages of Family Account Statement

        1. Investors will not have to refer multiple account / portfolio statements for investments of various family members
        2. Investor can add up to 10 folios.
        3. Request for statement / portfolio will be processed instantly across the counter, post registration
        4. Simple one-time registration

        (Click Here to see Family Account and Portfolio Statement Request Form)
    • What is the procedure to download the account statement from CAMS website?
      • Investor can request for a Consolidated Account Statement across his entire holdings in CAMS, Karvy and FTAMIL serviced Mutual Funds. Since there exist other Funds that are not serviced by CAMS, Karvy and FTAMIL, this will not be an industry consolidation, but it will certainly be a massive step forward for investors. If you have registered an email address in your folios across Funds serviced by CAMS, Karvy and FTAMIL, you can use this to obtain a consolidated PDF Account Statement at your registered email address.www.camsonline.com .


        Process for requesting the Statement .

        On the home page investors need to select the option Online Service for investors – Then select option

        Mail back Service and Select option consolidated account statement i.e.

        CAMS+KARVY+FTAMIL

        Further investor can select the account statement type and same will be sent to the registered email id of the investor.


        Kindly click the below link

        https://www.camsonline.com

  • Centralised KYC
  • Demat FAQ
  • Dividend
    • Within how many days will an Investor receive the dividend amount?
      • SEBI allows 30 calendar days for making the dividend payment; however the fund endeavors to release the payment within 10 business days from the record date.
    • What are the different types of dividend payout modes?
      • The dividend amount is paid to the investors in 4 different types of payout modes as mentioned below, depending upon the bank mandate registered:

        1. Direct credit (DC).
          Dividend proceeds are directly credited to the investors bank account through direct credit facility, if the investors primary bank mandate is in any one of the below mentioned bank:
          • ICICI Bank
          • HDFC Bank
          • HSBC Bank
          • Citibank

        2. Real Time Gross Settlement (RTGS) / National Electronic Fund Transfer (NEFT).
          Dividend proceeds are directly transferred to the investor bank account, if the investor provides his complete bank account along with the IFSC code.

          In case the amount is less than Rs. 2 lacs, the payment is routed through NEFT and if the amount is more than 2 lacs, the payment is routed through RTGS.


        3. NECS (National Electronic Clearing System).
          Dividend proceeds are directly transferred to the investors bank account through NECS, if the correct bank account number and MICR code is available but the IFSC codes is not available.

        4. Demand Draft.
          Dividend payment is made through demand drafts wherever the bank mandate registered is not a DC bank and the MICR and IFSC codes are not available or incomplete.
    • What should an investor do if he has not received his dividend amount?
      • The fund endeavors to release the payment within 10 business days from the record date. If it is beyond 10 days, the investor is requested to check his Account statement for the mode of payment and the registered primary bank account in the investor folio. If the mode of Payout is”Electronic payment” (i.e. Direct Credit/RTGS/NEFT/NECS) and the dividend payment credit is not reflecting in the investors registered bank account or If the mode of Payout is “Cheque Payment” and the dividend cheque isn’t received by the investor, then kindly contact customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) from 9 am to 7pm, Monday to Saturday. Alternately, the investor can also email us at enquiry@icicipruamc.com
    • What’s the process for revalidation of dividend cheque/pay order?
      • In case the cheque/Pay order needs to be revalidated, investor needs to submit a letter giving details of the folio no, cheque details along with the Original cheque/pay order at the nearest AMC / CAMS branch.

        Click here for locating your branch

    • What is the process for correction on dividend cheque/pay order?
      • In case the cheque/Pay order needs to be corrected i.e change in bank details etc.investor needs to submit a letter giving details of the folio no, cheque details, new bank details, cancelled cheque of the new bank etc along with the Original cheque/pay order at the nearest AMC/CAMS branch.

        Click here for locating your branch

    • What should an Investor do, in case the dividend cheque/ pay order is misplaced/ lost by him?
      • In case the original pay order/cheque is lost/misplaced. The investor will have to sign an indemnity bond alongwith a covering letter giving details of the folio number, scheme name, dividend date, dividend amount etc and submit the same at the nearest AMC/CAMS branch.

        Click here for locating your branch


        If the amount is below (< = 15000) kindly submit indemnity (Annexure 1) on plain paper with bank manager’s attestation or notarization.
        If the amount is above Rs 15000 kindly submit indemnity bond as per Annexure 1 on stamp paper of Rs 500.00 along with Notarization.

        Annexure

  • Empanelment
  • Nomination
    • Nomination
        1. What is meant by nomination?
          Nomination is the facility through which investors can nominate persons to receive the benefits in case of sad demise of the investor (in case of single holding folios).
          Investors in the category of “Individuals” are permitted to make nomination for their mutual fund units. Non-Individuals including society, trust, body corporate, partnership firm, Karta of HUF and a Power of Attorney Holder are not allowed to nominate.
        2. What are the benefits of nomination?
          Nomination ensures all rights and /or amount(s) payable in respect of the holdings of Schemes of ICICI Prudential Mutual Fund in the event of death of the investor would vest in and be transferred to the nominee upon the Unit holder. The nominee receives the units only as agent and trustee for the legal heirs or legatees as the case may be. Investors should opt for the nomination facility to avoid hassles and inconveniences in case of unforeseen events in future.
        3. Can the nomination be made in a joint account?
          Yes, Investments made in joint Account can also have nomination. The only thing to take care is that all the holders in the folio will have to sign the nomination form in order to register the nominee.
        4. Can there be more than one nominee in an account?
          Investors can nominate maximum three nominees in the folio and accordingly need to provide the percentage of nomination for each nominee.
        5. What are the documents required for making a nomination?
          To update a nominee in the folio, the investor is required to fill in Nomination Form (Click here for the same) and submit the same duly signed to the Customer Service Center. Nomination can be maintained at the folio or account level and should be applicable for investments in all schemes in the folio or account.
        6. Can the nomination be cancelled or changed or modified?
          Yes, Nomination can be cancelled/Changed/Modified as per investor request by filling up the nominee modification form.
        Nominee modification FormHere
  • Operations
    • Systematic Withdrawal Plan (SWP)
        1. What is meant by SWP?
          SWP is a smart way to plan for your future needs by withdrawing amounts systematically from your existing portfolio either to reinvest in another portfolio or to meet your expenses.
        2. How can SWP be set-up?
          Investors can register for SWP in select schemes by submitting the Smart Features Form.(Click Here to download the same). As per the given request, SWP will be registered in the respective scheme and on every X date, the agreed amount will be redeemed and transferred in the investors bank account e.g.. if investor submits a request for SWP of ` 1000 in ICICI Prudential Dynamic Plan at a monthly frequency. SWP will be processed on 1st working day of the next month.Units equivalent to ` 1000 will be redeemed from the scheme and the amount will credited to the investors registered bank account.
        3. How can SWP be cancelled?
          Investors can cancel the SWP registered in the scheme by submitting a written request confirming the same to any of the investor service centre. (List of investor service center) Request for SWP cancellation needs to be submitted 7 working days prior to SWP process date.
        (Click Here to see the SWP form)
    • Switch
        1. What is meant by Switch?
          Switch is a onetime instruction to transfer units from existing scheme to different scheme or different plan of the existing scheme (Eg =Switch from ICICI Prudential Dynamic Plan to ICICI Prudential Discovery Fund, Switch from ICICI Prudential Dynamic Plan Growth to ICICI Prudential Dynamic Plan Dividend)
        2. What needs to be done to activate a switch?
          Investors need to submit a written request mentioning the Switch out and Switch in Scheme or duly filled in transaction slip with switch details.Switch request will be processed as per cut off time. (Click Here to download the cut off time)
        (Click Here to see the Common Transaction Slip form)
    • Systematic Transfer Plan
        1. What is meant by Systematic Transfer Plan (STP)?
          STP is a plan that allows the investor to give a mandate to the fund to periodically and systematically transfer a pre defined amount from existing scheme to another scheme.
        2. How to register for STP
          Investors can register for STP in select scheme(s) by submitting the Smart Features Form(Click Here to download the same)
        3. How to cancel STP registered in the scheme?
          Investor needs to submit written request mentioning the scheme details from which the STP needs to be cancelled. Request for STP cancellation needs to be submitted 7 working days prior to STP process date.
        (Click Here to see the STP form)
    • Zero Balance Accounts
        1. If the entire investment in an account is redeemed will the account get closed?
          No, even if the investor had redeemed all the units from the folio/account it remains active.
        2. Can the account which is ZERO Balance be revived?
          Folios with zero balance can be revived by making fresh purchase in the same/existing folio.
        3. Is there a time limit within which the account should be revived?
          No, there is no time limit for the revival of an account.
    • Closure of Account
        1. What should be done to close the account / folio?
          For closing the folio, all units in the folio needs to be redeemed. Investor needs to submit the redemption request form duly filled in all respect at our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT. (Branch address and OPAT address link to be provided). The transaction will be processed as per the Net Asset Value (NAV) based on applicable cut-off timings depending on the date and time of receipt of the request. In case the mode of holding (MOH) opted by the investor is “Jointly”, then all the holders need to sign the redemption request. In case MOH is “either or survivor” than any one of the investor can sign the request.
  • Power of Attorney
    • Power of Attorney
        1. How can an investor authorise another person to operate his accounts?
          Investors can submit notarised copy of registered POA (Power of Attorney) document to authorise another person to operate his folio/account.
        2. What is meant by Power of Attorney (POA)?
          A power of attorney is an instrument that is used by people to confer authority on somebody else to legally act on their behalf. They can be of two types - Special Power of Attorney (SPA) and General Power of Attorney (GPA). While an SPA is used for transfer of a specific right to the person on whom it is conferred, the GPA authorizes the holder to do whatever is necessary.
        3. Should the POA (power of attorney be registered? If so then with whom?
          It is not compulsory to register a power of attorney unless it creates an interest in any immovable property i.e. charge in favour of donee. Registration of power of attorney is optional in India, where the ‘Registration Act, 1908’, is in force. The Power of Attorney can be authenticated by a Sub-Registrar or any person authorised by him.
        4. Can an investor disown a transaction authorised by POA?
          As the investor had authorised the POA to carry out transactions on his behalf, investors can’t disown transaction authorised by POA.
        5. Can a POA be cancelled or revoked?
          POA registered in the folio/account can be cancelled or revoked any time.
        6. What are the steps that need to be taken to cancel or revoke the POA?
          Investor or POA holder will have to submit a written confirmation to cancel or revoke the POA.
  • Procedure for Unclaimed Amount
  • Purchase
    • How can an Investor purchase units of your Mutual Fund
      • Investors can subscribe to various schemes of our Mutual fund by any of the below modes:


        • Physical Mode
        • Online Mode through:
          • Invest Online / Prutracker facility on our website
          • Exchange Platforms

        Physical Mode:
        Physical Mode: In a physical mode, the investor will have to submit a completely filled physical subscription application form along with the cheque and necessary documents (Refer Q No. 5 & 6) at any of our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT branches before 3.00 pm. (Branch address link to be provided)


        Online Mode :
        • Through Invest Online (Refer Q No. 2) / Prutracker Facility (Ref Q No. 3) available on our website www.icicipruamc.com
        • Through Stock Exchange Platform- i.e. NSE-MFSS & BSE- BSE Star mutual fund platform (Refer Q No 4)
        Duly filled in Common Application Form. (Click Here to see the common application form)

        Third Party Declaration(Click Here to see third party declaration form)

        KYC Acknowledgement (Verified by KRA) (Click Here to see the sample acknowledgement form)
    • What documents needs to be submitted by investors (other than resident individual) to buy units from the mutual fund?
      • Investors need to submit following documents along with an Application Form for first purchase. All documents should be orginal/true copies attested by the director/trustee/company secretary/authorized signatory (where applicable).


        Below is the list of documents to be submitted:


        Sr. No Documents Companies Societies Partnership Firms Investments through POA; Trusts NRI FIIs(*)
        1. Resolution/Authorization to invest yes yes yes no yes no yes
        2. List of Authorized Signatories with Specimen Signature(s) yes yes yes yes yes no yes
        3. Memorandum & Articles of Association yes no no no no no no
        4. Trust Deed no no no no yes no no
        5. Bye-laws no yes no no no no no
        6. Partnership Deed no no yes no no no no
        7. Overseas Auditor's Certificate no no no no no no yes
        8. Notarized Power of Attorney no no no yes no no no
        9. Foreign Inward Remittance Certificate in case of payment is made by DD from NRE/FCNR A/c where applicable no no no no no yes no
        10. Know Your customer (KYC-KRA) yes yes yes yes yes yes yes

        (*) For FIIs copy of the SEBI registration certificate should be provided. In case the Corporate or Non Individual investors, all the necessary documents are to be submitted alongwith the application.

    • What are the documents required for investment in the name of Minor
    • What will be the applicable cut off time for purchase transaction of scheme other than liquid schemes?
      • Please find the grid with details of cut off time and applicable NAV for all valid purchase application received


            Purchases
        Scheme Type Amount Application received Time Credit in Mutual funds Bank A/c (Same day) NAV Applicability
        All Debt Fund /All Equity Fund >= 2 lacs Before 3.00 p.m. Before 3.00 p.m. Day on which the funds are credited to bank a/c
            Before 3.00 p.m. After 3.00 p.m. Next Business day
            After 3.00 p.m Before 3.00 p.m. Next Business day
            After 3.00 p.m After 3.00 p.m. Next Business day
          < 2 lacs Before 3.00 p.m.   Day of receipt of application
            After 3.00 p.m   Next Business day
    • What will be the applicable cut off time for purchase transaction of liquid and Money Market funds?
      • Please find the grid with details of cut off time and applicable NAV for all valid purchase application received in Liquid and Money Market fund


            Purchases
        Scheme Type Amount Application received Time Credit in Mutual funds Bank A/c (Same day) NAV Applicability
        Liquid Fund & Money Market Fund Any Amount Before 2.00 p.m. Before 2.00 p.m. Day preceding the day of application
          Any Amount Before 2.00 p.m. After 2.00 p.m Day preceding the next business day
          Any Amount After 2.00 p.m Before 2.00 p.m. Day preceding the next business day
          Any Amount After 2.00 p.m After 2.00 p.m Day preceding the next business day
    • What does Transaction charges imply?
      • In accordance with the SEBI Circular No. IMD/DF/13/2011 dated August 22, 2011, effective from November 1, 2011, the Fund shall deduct a Transaction Charge on purchase/subscription of Rs.10,000/- and above, wherein such purchase/ subscription is through distributors/agents who have "opted in" (Distributor has an option of “Opt In/Out” at a product category level ) to receive the transaction charge as under:


        • For a new Mutual Fund investor, a transaction charge of Rs. 150/- shall be levied per purchase/subscription of Rs. 10,000/- and above; and
        • For existing Mutual Fund investor, a transaction charge of Rs. 100/- shall be levied per purchase/subscription of Rs. 10,000 and above.

        The transaction charges shall be deducted from the purchase/subscription amount and paid to the distributor/agent of the investor, as the case may be and the balance amount shall be invested in the relevant scheme opted by the investor.


        In case of investment through Systematic Investment Plan (SIP), transaction charges shall be deducted only if the total commitment through SIP (i.e. amount per SIP installment x No. of installments) amounts to Rs. 10,000/- and above. The transaction charges in such cases shall be deducted in 4 equal installments.


        Transaction Charges shall not be deducted if:

        • The amount of purchase/subscription is less than Rs. 10,000/-;
        • The transaction pertains to other than purchase/subscription relating to fresh inflows such as Switch/Systematic Transfer Plan/ Dividend Transfer Plan etc.
        • Purchase/Subscription made directly with the fund through any mode (i.e. not through any distributor/agent).
        • Purchase/ subscription made through stock Exchange, irrespective of investment amount.
    • How can an investor invest through Invest Online Facility?
      • ICICI Prudential Mutual Fund through its website www.icicipruamc.com offers Invest Online facility which enables the existing investor(s) to manage their account and transactions online at a click of a button. Investor can use their Internet banking account/VISA or MAESTRO Debit Card/NEFT/RTGS/Cheque/DD to make an investment in any of our schemes.
    • How can an investor invest through Prutracker Facility?
      • ICICI Prudential Mutual Fund through its website www.icicipruamc.com offers Pru tracker facility for all the existing investor(s). The investors can manage their account and transactions online at a click of button. Registration for Prutracker facility can be done online through website www.icicipruamc.com or offline by filling the Prutracker application form. The Prutracker application form can be submitted at any of our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT branch.

        Click here for locating your branch


        For more details of Prutracker Facility click on the link for Demo 

    • How can an investor invest through Stock Exchange Platform?
      • Investor(s) can invest in ICICI Prudential Mutual Fund schemes on the stock exchange platforms i.e BSE –STAR MF and NSE - MFSS for transactions (purchase/redeem) of units. The investor can approach a trading member of BSE or NSE registered with stock exchange as a participant (& who is also registered with AMFI as Mutual Fund Advisor and with ICICI Prudential MF) to avail transaction facility through stock exchange platforms.
    • What documents needs to be submitted by a resident individual if he need to buy units of the mutual fund ?
      • Investor needs to submit a completely filled application form along with the cheque/transfer letter/RTGS/NEFT and copy of the KYC-KRA acknowledgement at our Official Point of Transaction Acceptance (OPAT) branches office or CAMS OPAT branches before 3.00 pm.

        Click here for locating your branch



        Duly filled in Common Application Form. (Click Here to see the common application form)

        Third Party Declaration(Click Here to see third party declaration form)

        KYC Acknowledgement (Verified by KRA) (Click here to see the sample acknowledgement form)
    • What is the minimum amount for new purchase and additional purchase
      • The minimum subscription amount under all the schemes shall be Rs.5,000 and in multiples of Re. 1/-), except in the case of ICICI Prudential Corporate Bond Fund and ICICI Prudential Floating Rate Plan, where it will be Rs.15,000 (plus multiples of Re. 1/-) and ICICI Prudential Tax Plan it will be for Rs 500 (plus in multiples of Re.1).
  • Redemption
    • How can an investor redeem (withdraw) his units?
      • Investor needs to submit the redemption request form duly filled in all respect at our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT before 3pm. (Branch address and OPAT address link to be provided). The transaction will be processed as per the Net Asset Value (NAV) as of the date and time of receipt of the request. In case the mode of holding (MOH) opted by the investor is “Jointly”, then all the holders need to sign the redemption request. In case MOH is “either or survivor” than any one of the investor can sign the request.

        (Click Here to see Common Transaction Slip form)
    • Within how many days will the investor receive his redemption proceeds?
      • As per SEBI, all redemption payment needs to be released within a maximum of 10 business days from the date of acceptance of redemption request. However the AMC endeavors to make the payment as per schedule listed below:
        • Money Market Fund – (Liquid and Sweep) - T+1 business day ( T being the date of Transaction acceptance before cut off time)
        • Debt oriented scheme (including close ended and open ended schemes) – T+1 business day
        • Equity oriented scheme (including close and open ended schemes) – T+3 business days.
        • ICICI Prudential US Blue Chip Fund – T+5 business days. 
    • What are the different types of Redemption payout modes?
      • The redemption proceeds are paid to the investors in either of the 3 different types of payout modes mentioned below, depending upon the bank mandate registered:
        1. Direct credit (DC). Redemption proceeds are directly credited to the investors bank account through direct credit facility, if the investors primary bank mandate is in any one of the below mentioned bank:
        • ICICI Bank
        • HDFC Bank
        • Citibank
        • HSBC Bank
        2. Real Time Gross Settlement (RTGS) / National Electronic Fund Transfer (NEFT).
        Redemption proceeds are directly transferred to the investors bank account, if the investor provides his complete bank account along with the IFSC code.
        In case the redemption amount is less than Rs. 2 lacs, the payment is routed through NEFT and if the redemption amount is more than 2 lacs, the payment is routed through RTGS.
        3. Demand Draft.
        Redemption payment is made through demand drafts/Cheque, wherever the bank mandate registered is not a DC bank and the MICR and IFSC codes are not available or incomplete.
    • What should an investor do if he has not received his redemption proceeds within the specified timeperiod?
      • The AMC endeavors to release the payment for all Equity scheme (except ICICI Prudential US Blue Chip Fund – T+5 business days) within T + 3 business days and Money Market fund and Debt scheme within T+1 business day ( T being the date of transaction acceptance before cut off time). If it is beyond 5 days, the investor is requested to check his account statement for the mode of payout and the registered primary bank account in the investor folio. If the mode of Payout is ”Electronic payment ” (i.e Direct Credit/RTGS/NEFT) and the Redemption payment credit is not reflecting in the investors registered bank account
        or
        If the mode of Payout is “Cheque Payment” and the redemption cheque isn’t received by the investor, then the investor should contact customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) from 9 am to 7pm, Monday to Saturday. Alternately, the investor can also email at enquiry@icicipruamc.com
    • If the redemption payout mode is “Cheque”, can an investor come and collect the cheque personally or his representative can collect the cheque?
      • Yes. The investor can personally come and collect the cheque. He needs to ensure that the original redemption acknowledgement is available with him. In case he needs to authorize his representative to collect the cheque than he needs to give an authority letter along with the original copy of the redemption acknowledgement
    • What is the process for revalidation of redemption cheque/pay order?
      • In case the cheque/Pay order needs to be revalidated, investor needs to submit a letter giving details of the folio number,. cheque details etc along with the Original cheque/pay order at the nearest AMC/CAMS branch.

         

         

    • What’s the process for correction on redemption cheque/pay order?
      • In case the cheque/Pay order needs to be corrected i.e change in bank details etc., Investor needs to submit a letter giving details of the folio number, cheque details, new bank details etc along with the original cheque/pay order at the nearest AMC/CAMS branch. 

         Click here for locating your branch

    • What’s should an Investor do, In case the Redemption cheque/payorder is misplaced/lost?
      • In case the original pay order is lost/misplaced, the Investor will have to sign an indemnity bond along with a covering letter giving details of the folio number, scheme name, redemption date, redemption amount etc and submit the same at the nearest AMC/CAMS branch.

        Click here for locating your branch


        If the amount is below (< = 15000), kindly submit indemnity (Annexure 1) on plain paper with bank manager’s attestation or notarization.
        If the amount is above Rs 15000 kindly submit indemnity bond as per Annexure 1 on stamp paper of Rs 500.00 along with Notarization.

         Annexure

  • Special Requests
    • Corrections/Changes
        1. Can a name in joint account be deleted or a new name added?
          You can neither delete nor add new name in regular process. Only in the unfortunate event of death, the name can be deleted in form of transmission of units.
    • Mobile Alerts
        1. What are the transaction s for which mobile alerts will be received?
          Mobile Alerts are sent for all Financial and Non Financial Transactions processed in the folio/account. E.g.: Purchase, Redemption, Change of Bank, and Change of Address etc.
    • Lien Marking
        1. What is meant by Lien Marking and what is its implication?
          Lien Marking is an arrangement through which investors can pledge or keep the units of mutual fund as collateral for raising funds from banks or financial institutions.
  • Systematic Investement Plan
    • What are the dates available for registering an SIP ?
      • The dates available for SIP registration are 1st, 7th , 10th, 15th, 20th and 25th of the month.
    • What are the various modes of investment through SIP?
      • Investors have the following 3 modes through which they can apply for SIP. The details are mentioned below


        • Standing Instructions (SI)/NACH : Investors can invest in our schemes by using the Standing Instruction /NACH facility. For SI facility AMC has tied up with ICICI Bank, HDFC Bank, Axis Bank &SBI Bank. For other banks Mandate shall be routed through NACH mode.

        • Direct Debit Facilty:Investors can invest in our schemes by using the Direct Debit facility. AMC has tied up with a service provider for facilitating this mode of SIP payment. This facility can be availed only by those investors who have bank accounts in Union Bank of Indiaand only if investor’s bank branch is offering CBS(Core Banking Service) facility.

        • Post Dated Cheques (PDC): Investors can invest in our schemes using the PDC facility only in case bank is not participating under SI ,Direct Debit & NACH. In this facility the investor will have to give us an SIP form along with post dated cheque, which will be banked on the respective SIP dates.

    • What are the documents to be submitted by a New investor for starting an SIP?
      • Investor needs to submit the following documents


          If the mode of SIP is through Post Dated Cheques (PDC)

          Monthly frequency –


          • Common application form ( for Systematic Investment)
          • One current dated cheque
          • Minimum 5 post dated cheques
          • KYC-KRA Acknowledgement

        • Quarterly -


          • Common application form ( for Systematic Investment)
          • One current dated cheque
          • Minimum 4 post dated cheques
          • KYC- KRA Acknowledgement

        • If the mode of SIP is through NACH/SI


          • Common application form.(for Systematic Investments)
          • Sip Registration cum NACH Mandate Form
          • Original cancelled cheque from the bank account for which the debit mandate is provided.
          • KYC-KRA Acknowledgement if the same is not updated in the folio

        The completely filled documents needs to be submitted at any of our Official Point of Transaction acceptance (OPAT) branch.

    • Can an Investor change the bank account details of the existing SIP which is through Standing instructions(SI)/ECS/DirectDebit/NACH ?
      • Yes, the investor can change the existing bank account in an SIP. The investor needs to submit the following documents 30 days prior to the next SIP debit date:


        • A) COB_SIP mandate form available on the website under application formsSystematic Transaction Forms.
        • B) New bank account Documents:

        Original of any one of the following documents or originals should be produced for verification or copy should be attested by the banker.
        • Cancelled original cheque of the new bank mandate with first unit holder name and bank account Number printed on the face of the cheque.
        Or
        • Self attested copy of bank account statement issued by the concerned bank. (not older than 3 months).
        Or
        • Bank passbook with current entries not older than 3 months.
        Or
        • Bank letter, on the letterhead of the bank duly signed by branch manager/authorized personnel stating theinvestor’s bank account number, name of investor, account type, bank branch, MICR and IFSC code ofthe bank branch. (the letter should be not older than 3 months).

        click here to download the for form directly

    • Can an Investor change the SIP amount for his existing investments?
      • Yes, the Investor can change the SIP amount in his existing SIP. The investor needs to submit the following documents 30 calendar days prior to the next SIP debit date.


        • Letter to discontinue the existing SIP.
        • New 'SIP' Form with revised SIP amount details.

        The completely filled documents need to be submitted at any of our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT branch. (Branch address link to be provided.

    • What are the documents to be submitted by existing investors for starting SIP in existing folio?
      • Investor needs to submit the following documents


          If the mode of SIP is through Post Dated Cheques (PDC)

          Monthly frequency –


          • Common application form ( for Systematic Investment)
          • One current dated cheque
          • Five post dated cheques
          • KYC-KRA Acknowledgement if the same is not updated in the folio

        • Quarterly -


          • Common application form ( for Systematic Investment)
          • One current dated cheque
          • Four post dated cheques
          • KYC- KRA Acknowledgement if the same is not updated in the folio

        • If the mode of SIP is through ECS (Debit Clearing) / Direct Debit Facility/Standing Instruction/NACH


          • Common application form.(for Systematic Investments)
          • Sip Registration cum Mandate form
          • Original cancelled cheque from the bank account for which the debit mandate is provided.
          • KYC-KRA Acknowledgement if the same is not updated in the folio

        The completely filled documents needs to be submitted at any of our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT branch.

    • What are the frequencies offered for registering Systematic Investment Plan (SIP) ?
      • Investors can opt for Monthly or Quarterly frequency for Systematic investments (SIP).
    • What is the minimum Investment option available in SIP?
      • Minimum investment option available for investors under monthly and Quarterly frequency of SIP is as below:
        • Monthly SIP – Minimum investment amount of Rs.1000/- and in multiple of Rs. 1[All open ended schemes wheresubscription is allowed] for minimum of 6 installments..
        • Minimum investment amount of Rs.500 /- and in multiple of Rs. 1[ICICI Prudential Liquid Plan,ICICI Prudential Flexible IncomePlan, ICICI Prudential MoneyMarket Fund, ICICI Prudential ValueDiscovery Fund, ICICI PrudentialFocused Bluechip Equity Fund andICICI Prudential Long Term EquityFund (Tax Saving)]for minimum of 6 installments.
        • Quarterly SIP – Minimum investment amount of Rs. 5000 [All open ended schemes wheresubscription is allowed]&Rs.500 /- and in multiple of Rs. 1 [ICICI Prudential Long Term Equity Fund (Tax Saving)] for a minimum of 4 installments.
    • When will SIP debit start after submission of the SIP application form ?
      • SIP debit will start from the next applicable month, subject to completion of 30 days lead time from the receipt of SIP request.
    • What is the procedure for canceling the SIP ?
      • Investor will to tick the "Cancellation option” column in the SIP Registration Cum Mandate Form. Fill in all the required details i.e. Name, Folio Number, Scheme Name, SIP amount, SIP date etc and submit the same 30 days prior to the next SIP debit date. The completely filled form needs to be submitted at any of our Official Point of Transaction acceptance (OPAT) branch office or CAMS OPAT branch.

        Click here for the locating your branch

    • Can an investor register for multiple SIPs in the same scheme?
      • Yes, the investor can register for multiple SIPs in the same scheme, same plan in the same month, however on different SIP dates i.e 1st,7th, 10th, 15th,20th and 25th of a month.
    • What do you mean by SIP Top Up?
      • SIP Top Up is facility where an investor can increase the sip amount on regular basis without submitting any fresh request for the same every time. SIP Top Up is available for half yearly and Yearly frequency and the Top Up amount has to be in multiples of Rs 500.
        • There are two type of SIP TOP-UP:(1) Fixed TOP-UP. (2) Variable TOP-UP.
        1) Fixed TOP-UP: With this option, investor can increase SIP amount at regular interval with fixedamount. Minimum TOP-UP amount has to be Rs.500 and in multiples of Rs.500 thereof. For saidoption SIP TOP-UP frequency is at Half Yearly and Yearly basis. In case of Quarterly SIP, only theYearly frequency is available under SIP TOP UP.<br/>

        2)Variable TOP-UP: With this option, investor can increase SIP amount at regular interval, TOP- UPamount will be based on the percentage (%) opted by investor of SIP amount. For said optionSIP TOP-UP frequency will be on Yearly basis. The minimum TOP-UP percentage (%) should be10% and in multiple of 5% thereof. Also the TOP-UP amount will be rounded off to the nearesthighest multiple of Rs.10.

        Investor can either opt for Fixed Top-up facility or Variable Top-up facility under SIP Top-up. In case, Investor opts for both the option, than Variable top-up feature shall be triggered. In case the TOP UP facility is not opted by ticking the appropriate box and/or frequency is not selected, the TOP UP facility may not be registered.

    • What do you mean by SIP Pause?
      • SIP Pause is a facility which facilitates the investor to pause his/her existing SIP for a temporary period.SIP can be paused for a minimum period of 1 month to a maximum period of 3 months



        (Click Here to see the SIP Pause form)
    • Which are the valid PDC locations for SIP.
    • SIP Renewal
      • What should an investor do if he wants to renew his existing SIP ? In case investor wants to renew the sip investment in the same scheme or register fresh sip in a new scheme, the following documents needs to be submitted to the AMC 30 days prior to the last SIP instalment date:
        • Sip Registration cum Mandate form.(Click Here to download the same)
        • Original cancelled cheque with name and account number printed on it
        • Attested Pan Card Copy
        • KYC KRA Acknowledgement 
    • Can investor register TOP on existing ongoing regular SIP
    • List of bank participating in NACH clearing?
  • Updation/Change/Transfer
    • How to add/cancel/modify nominee ?
      • Nomination Registration

        The SEBI (Mutual Fund) Regulations, 1996, notifies that the mutual fund shall provide for

        nomination facility to the unit holders to nominate a person in whose favor the units shall

        be transmitted in the event of death of the unit holder. In accordance, with the same, the

        AMC provides for the nomination facility as permitted under the Regulations.

        Nomination facility:

        1. Nomination is mandatory for single mode of holding along with complete details of full address of the nominee.

        2. All holders in the folio need to sign the nomination form, irrespective of the mode of holding.

        3. Nomination shall not be allowed in a folio held on behalf of a minor.

        4. Non-individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family, holder of Power of Attorney cannot nominate.

        5. The Nominee shall not be a trust (other than a religious or charitable trust), society, body corporate, partnership firm,Karta of Hindu Undivided Family or a Power of Attorney holder.

        6. Nomination form cannot be signed by Power of Attorney (PoA) holders.

        7. Investors who do not wish to nominate must sign separately confirming their non-intention to nominate.

        8. A non-resident Indian can be a Nominee subject to the exchange controls in force, from time to time.

        9. Nomination in respect of the units stands withdrawn upon the transfer of units.

        10. Investors who want to make multiple nominations need to fill the separate Multiple Nomination Form available on www.icicipruamc.com and submit it to the AMC.

        Nomination Modification/Cancellation

        • To modify/cancel an existing nomination, the investor is required to fill in the Modification/Cancellation form and submit the same duly signed to the Customer Service Center.
        • The cancellation of nomination can be made only by those individuals who hold units on their own behalf, single or jointly and who made the original nomination and the request has to signed by all the holders.
        • On cancellation of the nomination, the nomination shall stand withdrawn and the AMC shall not be under any obligation to transfer the units in favor of the Nominee.
        Nominee modification Form Here
    • What is the process of changing address in the folio ?
        • Change of Address:


          1. KYC Complied Folios/Investors :
          • In case of change of address for KYC complied (verified)folios, the investors shall be required to submit the below stated documents to the designated intermediaries of the KYC Registration Agency:
          • Proof of new address (POA) and,
          • Any other document the KYC Registration Agency may specify from time to time.
          1. KYC not Complied Folios/Investors :

          In case of change of address for KYC not complied(not verified) folios, the investors shall be required to submit the below stated documents:

          • Proof of new address and,
          • Proof of Identity (POI): Only PAN card copy, if PAN is updated in the folio.
          • In case where PAN is not updated, copy of PAN card or the other POI as may be prescribed.

          However, it is advisable to these investors to complete the KYC process.

          1. Units in Demat Mode:

          For investors holding units in demat mode, the procedure for change in address would be as determined by the depository participant.

          Note:

          • List of admissible documents for POA and POI as mentioned in the SEBI circular no. MIRSD/SE/Cir-21/2011dated October 5, 2011 shall be considered or any other or additional documents as may be required by SEBI,AMFI or SEBI authorized KYC Registration Agency from time to time.
          • In case, the original of any of the aforesaid documents are not produced for verification, then the copies should be properly attested/verified by the authorities who are authorized to attest as per SEBI circular no. MIRSD/SE/Cir-21/2011 dated October 5, 2011. 
    • What is the process of changing bank details?
            • In case of change of bank request, the investors shall be required to submit the below stated supporting documents to effect the change:

              • Change of Bank Mandate Form
              • Original cancelled cheque of the new bank with the investor name mentioned on the cheque.

                or

              • Copy of the bank statement/pass book duly attested by the new Bank, evidencing the name and bank account details of the investor (The bank statement shall not be later than 3 months old

              In case the request for change in bank account information and redemption request are in the same transaction slip or letter, such change of bank mandate shall not be processed.

              However, the valid redemption transaction will be processed and the payout would be released as per the specified service standards and the last registered bank account shall be used for all the purposes.



              Cooling Period:

              If the investor submits redemption request accompanied with a standalone request for change of Bank mandate or submits a redemption request within seven days from the date submission of a request for change of Bank mandate details, the AMC will process the redemption but the release of redemption proceeds shall be deferred on account of additional verification, but will be within the regulatory limits as specified by SEBI from time to time

              Change of Bank Mandate for Systematic Investment Plan (SIP)

              In order to change the existing bank account for SIP, investors need to submit following documents 30 days before the next SIP debit date:

              • A new SIP Form with change of bank details and cancelled cheque of new bank evidencing the name and bank account details of the investor.
              • Letter to discontinue the existing SIP.

              Download Change of Bank mandate formClick here

    • What is the procedure for updation of change in Status from Minor to Major?
      • The registered minor investor, on attaining major status (18 years and above), is required to submit a letter for change of status letter in the folio along with the below stated documents.


        • KYC acknowledgement of the major.
        • Signature attestation of the major by a manager of a scheduled bank / Bank Certificate
        • New Bank mandate where account changed from minor to major, with original cancelled cheque.
    • What are the requirement /parameter for consolidating two or more folios?
      • Consolidation of two or more folios can be done for more than one folio if the below stated parameters are same across all the folios being consolidated.


        • Holding pattern,
        • Mode of holding,
        • Address,
        • Tax status and nominee details.


        For any further assistance, kindly contact us on our customer care helpline at 1800 222 999 (BSNL/MTNL lines) or 1800 200 6666(non MTNL/BSNL lines) from 9 am to 7pm, Monday to Saturday. Alternately, you can also email us at enquiry@icicipruamc.com.

    • What is the process for applying to consolidation of folios?
      • The investor is required to submit a letter duly mentioning all the folio’s numbers to be consolidated in to the Primary Folio. The consolidation request letter needs to be signed by all investors as per the Mode of Holding in the folio’s. The request needs to be submitted at our Official point of Transaction acceptance (OPAT) or CAMS OPAT branch office. (Branch address link to be provided)


        Please note that consolidation of two or more folios can be done only if the below stated parameters are same across all the folios being consolidated.


        • Holding pattern,
        • Permanent Account Number (PAN)
        • Mode of holding,
        • Address,
        • Tax status and nominee details
        • Folio Consolidation Form (Click Click Here)
    • What is the procedure for updating new signature in the records?
      • The investor is requested to submit a letter for updating new signature in the records. The request needs to be signed by the unit holder(s) with the New Signature alongwith self attested copy of any one of the document listed below towards proof of identity (self attested)


        • Photo PAN card
        • Voter’s Identity Card
        • Valid Driving License
        • Valid Photo Debit Card issued by a bank in India
        • Passport

        Further note that the new signature(s) need to be attested by the registered bank

    • What is the process for registration for Mobile Alerts

        • To register an Mobile Alerts, the investor is required to submit a request mentioning his Folio number and the mobile number duly signed by the investor/s as per his mode of holding. The request needs to be submitted at our Official point of Transaction acceptance (OPAT) or CAMS OPAT branch office. (Branch address link to be provided).
        • Alternatively, the investor can also register his mobile numberonline through our web site www.icicipruamc.com on the section Mobile & Email Subscription Services, select – Pru Alerts (in the drop down box).


    • What is the procedure for registration of Power of Attorney (POA) in a folio?

      • The POA holder needs to submit the following documents


        • Letter for registering the POA mentioned the name of the Investor(s) and the Folio Number
        • Notarized copy of the POA document
        • KYC of the Power of Attorney (PoA) holder(s),

        The above mentioned documents needs to be submitted at our Official point of Transaction acceptance (OPAT) or CAMS OPAT branch office. (Branch address link to be provided).

    • How do I have my name corrected in the folio?
      • Name Change

        Documents required for effecting Name change Name change request can be accepted from an investor, in the below mentioned scenario(s)
        1. Data Entry Correction
        2. Investor has changed his/her name
        3. Name change consequent to marriage
        4. Name change consequent to Divorce
        5. Minor Correction in the name filled in the application
        6. Major Correction in the name filled in the application
        7. Name change of a Minor
        1. Data Entry Correction
        • If there is an error in updating of the name in our records as compared to the name filled in the application form same can be corrected by contacting the customer service or by providing a written request for the same.
        2. Investor has actually changed his/her name:
        • Request letter from the investor.
        • Notarized copy of Notification in Official Gazette of India
        • Attestation from the bank manager of the Bank whose mandate has been provided at the time of original investment, confirming the Investors Name, Bank branch, Account number and Signature.
        • Any official/legal document reflecting the name change viz.:
        • Bank statement from the same bank of which bank mandate is on our record Passport.
        • Attestation from School Principal confirming the name change and registered accordingly in the school records – This is for applications made by minor investors
        3. Change of name consequent to marriage:
        • Investors request Letter
        • Notarized copy of the marriage certificate OR
        • Certified true copy of the state Gazette OR the original copy of the state gazette in which a declaration has been made to that effect.
        4. Change of name consequent to divorce:
        • Investors request Letter
        • Notarized copy of the divorce certificate
        • Certified true copy of the state Gazette OR the original copy of the
        • State gazette in which a declaration has been made to that effect.
        5. MINOR Error in the name: There could be a minor spelling in the name like spelling mistake and when it appears to be a genuine case should be considered for name change after doing a KYC and subject to submission of the following documents:
        • Investor request letter
        • Request letter from the investor.
        • Self attested PAN card copy.
        • Any Document with new /revised name having registered address. eg. KYC acknowledgement letter with address, Passport copy, Election card copy, Aadhar card copy , Utility bills copy, Driving licence copy, Registered bank statement copy (All documents to attested in original) Note E.g. of minor name error: Correct Name – Ananta Behara, Name written in the application – Annanta Behara. Correct Name – Kewal A Shah, Name written in the application – Kewal S Shah In these cases, name change should be processed upon submission of all the above-said documents by the investor.
            6. Name change of a Minor
            • In case of minor or major name correction and the investor being a minor, the documents will remain the same. The Indemnity bond will be submitted by the Parent/guardian.

            Annexures

      • Whats the process of lien marking/cancellation ?
          • Lien registration procedure.



            Lien registration- Following documents are required
            • Request letter from Investor clearly specifying the folio number, scheme, units and the person/ institution in whose favor the lien has to be marked.
            • Consent letter from the person/institution in whose favor the lien has to be marked/
            • The letters should clearly mention whether the future dividend (if any) will be in paid to the investor (normal lien) or will be paid to the person/bank/institution in whose favour the lien is marked (dynamic lien)
            • constitution (in whose favor the lien is marked)
            • Bank name and its account details from the financier on their lien marking request for Lien invocation process.


            Lien cancellation procedure.
            • Consent letter from the person/institution in whose favor the lien has to be removed.
            • Request letter from Investor clearly specifying the folio number, scheme, units and the person/ institution in whose favor the lien has to be removed (Not Mandatory)
            • ASL of the constitution. (Required if the authorized signatory has changed ) 
      • How to transfer units for investment with ICICI Prudential Mutual Fund (Transmission Process) ?
          • 1. Transmission

            For transmission of units the Applicants/Claimants shall be required to submit the prescribed documents under various situations as stipulated below. The transmission process is specific to mode of holding.

            Kindly note :

            • As per addendum dated May 29, 2009, the redemption request given with transmission will not be processed and will have to submit a redemption request after the transmission is completed.
            • New folios for transmission cases (Communication Reference No. 1013 dt. 18.11.2010) There has been a process change in transmissions and we are creating new folios for all transmissions. New folio will be created even in case of transmissions to Nominee or legal heir.
            • For Death Certificate (DC) issued outside India :The DC should be attested by Indian Embassy located in the country issuing the DC or embassy of the country issuing DC located in India.


            Transmission process for tax status – Individual

            1.1 Transmission to surviving unit holders in case of death of one or more unit holders For mode of holding as Anyone/Survivor incase of death of any of the joint holders the Units shall stand transferred to the survivor in case. Accordingly below documents to be submitted by the surviving holder:

            • Letter from surviving unit holders to the Fund / AMC / RTA requesting for transmission of units,
            • Death Certificate in original or photocopy duly notarized or attested by gazette officer or a bank manager,
            • Bank Account Details of the new first unit holder as per Annexure 1 along with attestation by a bank branch manager or cancelled cheque bearing the account details and account holders name.
            • KYC of the surviving unit holders, if not already available.
            • FATCA Form


            1.2 Transmission to registered nominee/s in case of death of Sole or All unit holders

            • Letter from claimant nominee/s to the Fund / AMC / RTA requesting for transmission of units,
            • Death Certificate/s in original or photocopy duly notarized or attested by gazette officer or a bank manager,
            • Bank Account Details of the new first unit holder as per AnnexureI along with attestation by a bank branch manager and original cancelled cheque bearing the account details and account holders name.
            • KYC of the nominee(s).
            • FATCA Form

            1.3 Transmission to claimant/s, where nominee is not registered, in case of death of Sole or All unit holders:

            For mode of holding as Single or Anyone/Survivor in case of death of single or all the joint holders howhere no nominee is not registered below documents to be submitted by the claimant:

            1. Letter from claimant/s to the Fund / AMC / RTA requesting for transmission of units.
            2. Death Certificate/s in original or photocopy duly notarized or attested by gazette officer or a bank manager.
            3. Bank Account Details of the new first unit holder along with attestation by a bank branch manager and original cancelled cheque earing the account details and account holders me.
            4. Attestation by a bank branch manager or cancelled cheque bearing the account details and account holders name.
            5. KYC / FATCA/CRS of the claimant/s.
            6. Indemnity Bond from legal heir/s.
            7. Individual affidavits from legal heir/s.
            8. If the transmission amount is below ` 1,000,000*(Ten Lacs) - any appropriate document evidencing relationship of the claimant/s with the deceased unitholder/s.
            9. If the transmission amount is ` 1,000,000* (Ten lacs) or more - Any one of the documents mentioned below:
              a) Notarised copy of Probated Will, or
              b) Legal Heir Certificate or Succession Certificate or Claimant's Certificate issued by a competent court, or
              c) Letter of Administration, in case of Intestate Succession.
              In case the claimant submits any one of 3 documents mentioned under a to c, then the Indemnity Bond(s) and Individual affidavit(s) from legal heir(s) as mentioned above would not be required, irrespective of the value of the investment*.

              Where the units are to be transmitted to a claimant who is a minor, requisite documents mentioned under 1 to 6, should be submitted and signed by the guardian of the minor.
              **The value of investment of the deceased unitholder/s in all folios across all the schemes of the Fund.

            1.4 Transmission in case of HUF, due to death of Karta: HUF, being a Hindu Undivided Family, :

            • Letter Requesting for change of Karta,
            • Death Certificate in original or photocopy duly notarized or attested by gazette officer or a bank manager,
            • Duly certified Bank certificate stating that the signature and details of new Karta have been appended in the bank account of the HUF -Annexure I.
            • KYC of the new Karta and KYC of HUF, if not already available.
            • Indemnity bond signed by all the surviving coparceners and new Karta on Rs.500 stamp paper- AnnexureV
            • In case of no surviving co-parceners and the transmission amount is Rs 5 Lakh or more OR where there is an objection from any surviving members of the HUF, transmission should be effected only on the basis of any of the following mandatory documents:

              a. Notarized copy of Settlement Deed, or

              b. Notarized copy of Deed of Partition, or

              c. Notarized copy of Decree of the relevant competent Court
            • FATCA Form




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