A. Transmission of Units to the registered Nominee/s in case of death of Sole or All unitholders

1. T3 Form

2. Death Certificate of deceased Unit Holder/s in original or Photocopy duly self attested and attested by a Notary Public or a Gazetted Officer

3. KYC of the Claimant/Guardian (in case of nominee /claimant being a minor/of unsound mind)

4. Cancelled cheque leaf with name and bank account number pre-printed (OR) Copy of bank statement / Photocopy of Bank Passbook with current entries (not Older than 3 months) attested by a Notary Public or a Gazetted Officer or Bank Manager.

5. Additional proof of the deceased proof attested by the claimant: Redacted Aadhaar / PAN etc

6. Copy of Birth Certificate, in case the Nominee is a minor.

7. Copy of PAN Card of the Nominee(s)/Guardian (in case the Nominee is a minor)

8. Nomination/opt Out Form by the claimant(s).

9. FATCA & CRS Details (If not complaint)

10. Kindly check for the PAN Aadhaar linkage status of the Nominee.

11. For PAN level value up to Rs 5 Lakhs ‒ Bank Attestation of Signature of the Claimant/Guardian (in case the Claimant is a minor) by the Bank Manager as per Annexure-I(A) where Transmission value up to Rs 5,00,000.

12. For PAN level value above Rs 5 Lakhs ‒ Attestation of Signature of the Claimant/Guardian by a Notary Public or a Judicial Magistrate First Class, if the Transmission value more than Rs 5,00,000 in T3 form.

Note: New Folio will be Created.

B. Transmission of Units to the Claimant/s on death of Sole unitholder or All unitholders, where there is NO NOMINATION registered:

1. T3 Form

2. Death Certificate of deceased Unit Holder/s / Karta in original or Photocopy duly self attested and attested by a Notary Public or a Gazetted Officer

3. KYC of the Claimant / New Karta / Guardian (in case of nominee /claimant being a minor / of unsound mind).

4. Cancelled cheque leaf with name and bank account number pre-printed (OR) Copy of bank statement / Photocopy of Bank Passbook with current entries (not older than 3 months) attested by a Notary Public or a Gazetted Officer or Bank Manager.

5. Self-Attested PAN Card copy of the Claimant/Guardian (in case the Claimant is a minor)

6. Indemnity Bond duly signed and executed by all legal heir/s confirming the claimants (Annexure II) - duly notarised ‒ Stamp Paper Amount 500/-

7. Individual Affidavit by all legal heir/s (Annexure III) - duly Notarised ‒ Stamp Paper Amount 100/-

8. Copy of Birth Certificate in case the Claimant is a minor

9. Nomination/opt Out Form by the claimant(s)

10. FATCA & CRS Details (If not complaint)

11. For PAN level value up to Rs 5 Lakhs ‒

• Bank Attestation of Signature of the Claimant/ Guardian (in case the Claimant is a minor) by the Bank Manager as per Annexure-I where Transmission value up to ₹5,00,000

• Identity proof of all legal heirs signing the NOC/Affidavit other than claimants (This excludes the claimants mentioned in probate/ LOA/ Succession certificate)

• Document evidencing relationship of the claimant/s with the deceased unitholder/s / PAN Card/Redacted Aadhar card copy of the deceased attested by the claimant

• NOC from other Legal Heirs (Annexure ‒ IV): If the value at PAN Level is up to Rs 5 Lakh a notarized indemnity bond from the legal heir(s)/claimants to whom the securities are to be transmitted, in the specified format is required. However, no objection from non-claimants shall be required only when there are multiple beneficiaries as per the registered will, but all of them have renounced their claim and have no objection to the applicant (Claimant) making the claim for transmission of units. In such cases PAN/ OVD also to be obtained along with the NOC duly attested by Notary public or by a gazetted officer as per the specified format.

12. For PAN Level value is above Rs 5 Lakhs but up to Rs 10 Lakhs ‒

• Attestation of Signature of the Claimant by a Notary Public or a Judicial Magistrate First Class, if the Transmission value in more than ₹500,000

• (i) Notarised copy of the Probated or Registered Will. In case of a Registered Will, the same shall be accompanied with a notarised Indemnity Bond from the claimant (i.e. appropriate beneficiary of the will) OR

• (ii) Legal Heir certificate or its equivalent along with (i) A Notarized indemnity bond from the legal heir(s)/claimant(s) to whom the securities are transmitted, as per the format. (ii) NOC from all the non-claimants (Remaining legal heirs), duly attested by a notary public or by a gazetted officer as per the format.

13. For PAN Level value is above Rs 10 Lakhs ‒

• Any one of the below documents:

• Notarized copy of the Probated will (or)

• Succession Certificate issued by a competent court (or)

• Letter of Administration or Court decree in case of intestate succession

Note: In case if the docs specified for Rs 10 Lakhs and above is provided then an indemnity bond is not required as mentioned in the documents list above.

Note: New Folio will be Created.

C. Change of Karta upon death of the Karta of Hindu Undivided Family (HUF):

1. T4 Form

2. Death Certificate of the deceased Karta in original OR photocopy of the death certificate selfattested and attested by a notary public/gazette officer in original.

3. Cancelled cheque leaf with name and bank account number pre-printed (OR) Copy of bank statement / Photocopy of Bank Passbook with current entries (not older than 3 months) attested by a Notary Public or a Gazetted Officer or Bank Manager.

4. Banker’s letter certifying / attesting the signature and details of new Karta in the bank account of the HUF as per Annexure-1a for less than Rs 5 Lakhs and attestation of Signature by a Notary Public / Judicial Magistrate for value more than Rs 5 Lakhs.

5. Indemnity bond signed by all co-parceners including the new Karta (Annexure V)

6. KYC should be in Verified state for the HUF

7. PAN Aadhaar Linking status for New Karta

8. PAN and Investor Name validation

9. Self-Attested PAN Copy of the New Karta.

10. For PAN level value up to Rs 5 Lakhs ‒

• Any appropriate document evidencing relationship of the new Karta and the other coparceners with the deceased Karta.

11. For PAN Level value is above Rs 5 Lakhs ‒

• Notarized copy of signature of the new Karta by a Notary Public or JMFC

Note: New Folio will be Created.

D. Transmission of Units to the Claimant/s upon death of the Karta of HUF, where there is no surviving co-parcener or the HUF has been dissolved/partitioned after demise of the Karta:

1. T5 Form

2. Death certificate of the deceased Karta in original OR photocopy thereof attested by a notary public/gazette officer in original copy of birth certificate.

3. Cancelled cheque leaf with name and bank account number pre-printed (OR) Copy of bank statement / Photocopy of Bank Passbook with current entries (not older than 3 months) attested by a Notary Public or a Gazetted Officer or Bank Manager.

4. Bank’s letter certifying / attesting the signature and details of new Karta in the bank account of the HUF as per Annexure-1a

5. Indemnity bond signed by the Claimant, where there is no surviving co-parcener or the HUF has been dissolved/partitioned after demise of the Karta (Annexure VI)

6. Self-attested PAN Card of the Claimant

7. KYC Acknowledgment OR KYC Form of the Claimant(s) / Guardian (in case the Claimant is a Minor)

8. FATCA, CRS and UBO (if not complaint as per applicability)

9. For PAN level value up to Rs 5 Lakhs ‒

• Bank Attestation of Signature of the Claimant/ Guardian (in case the Claimant is a minor) by the Bank Manager as per Annexure-IA where Transmission value up to ₹5,00,000

10. For PAN Level value is above Rs 5 Lakhs ‒

• Attestation of Signature of the Claimant by a Notary Public or a Judicial Magistrate First Class, if the Transmission value in more than ₹5,00,000.

• Notarized copy of ‒ Deed of Settlement or Deed of Partition or Decree of the relevant competent Court In case of no surviving co-parceners and the transmission value is more than ₹5,00,000 OR where there is an objection from any surviving members of the HUF

Note: New Folio will be Created.