India Investment
Services Booklet
October 2013 to December 2013
Transaction Fee
Grid
TRANSACTION
FEE
GRID
Equity Funds (incl. STP into equity funds)/Balance funds
Standard Pricing
Purchase Amount(INR)
<=1,000,000
1,000,001‐5,000,000
5,000,001‐10,000,000
> than 10,000,001
2.00%
1.75%
1.50%
1.25%
For STP, the charge will be upfront for all installments into the equity fund. For example
for a STP of 100,000 pm for 6 months from a lumpsum investment of 600,000 the upfront
charge would be 2%*(600,000)=12,000
Debt Funds/ Market Neutral Funds/ Gold Funds/ FMP - Waiver Grid with
approval authorities*
Standard Pricing
Purchase Amount(INR)
<=1,000,000
0.50%
> than 1,000,001
0.25%
Note: If Standard Pricing changes, corresponding Waiver% also needs to change across the
job families
Systematic Investment Plans - Waiver Grid with approval authorities*
Purchase Amount(INR)
Standard Pricing
Any Amount in Equity/Balance Funds
Any amount in Debt/Market
Neutral/Gold funds
1% of each installment amount into the equity
fund for the entire tenure is charged monthly
0.25% of each installment amount into the Debt
/Gold /market neutral fund for the entire tenure
is charged monthly
*Any waiver above this has to be recommended by Business/segment head/head advisory
IS/product head/head research and proposition and approved by Head WM/HOCB/Head
CB‐Finance ‐ Jointly (any two)
** Service tax will be over and above these charges
****The waiver authority is per instance
Page 1
AMC Name
Scheme_code
Scheme Name
ASK
ASKIEP
ASKLP
BA
BAG
B48N
B43N
B44N
B153DD
B153G
B153WD
B204RD
B204RD
B204RG
B261D
B261G
B321G
B321MD
B321QD
B52
B51
B152IG
B152IWD
B151ID
B151IG
B151IW
B91
B92
B916D
B916G
B291D
B291G
B935D
B935G
B293D
B293G
B297D
B297G
B298D
B298G
B251D
B251G
B312G
B312MD
B312MP
B311G
B311MD
B311MP
B15
B16
B31AP
B32
B37
B02
B02G
B85NIF
B85NIG
B85NIM
B85NDD
B221D
B221G
B301G
B301QD
M60G
M60D
M59
M58
M57
M55
M45
M44WD
M44
M43
M29
M28
M23
M22
M21
M20
M17WD
M17MD
M17G
M17DD
M04G
M04D
M02
M01
CB73
CB72
CB100
CB101
CB102
ASK Indian Enterpreneur Portfolio
ASK LIFE Portfolio
Birla Sun Life 95 Fund - Dividend
Birla Sun Life 95 Fund - Growth
Birla Sun Life Cash Manager - Daily Dividend
Birla Sun Life Cash Manager - Growth
Birla Sun Life Cash Manager - Weekly Dividend
Birla Sun Life Cash Plus - Daily Dividend
Birla Sun Life Cash Plus - Growth
Birla Sun Life Cash Plus - Weekly Dividend
Birla Sun Life Commodity Equity Fund - Global Multi Commodity Plan - Retail Dividend
Birla Sun Life Commodity Equity Fund - Global Multi Commodity Plan - Retail Dividend
Birla Sun Life Commodity Equity Fund - Global Multi Commodity Plan - Retail Growth
Birla Sun Life Dividend Yield Plus - Dividend
Birla Sun Life Dividend Yield Plus - Growth
Birla Sun Life Dynamic Bond Fund - Growth
Birla Sun Life Dynamic Bond Fund - Monthly Dividend
Birla Sun Life Dynamic Bond Fund - Quarterly Dividend
Birla Sun Life Equity Fund - Dividend
Birla Sun Life Equity Fund - Growth
Birla Sun Life Floating Rate Fund - Long Term Plan - Growth
Birla Sun Life Floating Rate Fund - Long Term Plan - Weekly Dividend
Birla Sun Life Floating Rate Fund - Short Term Plan - Daily Dividend
Birla Sun Life Floating Rate Fund - Short Term Plan - Growth
Birla Sun Life Floating Rate Fund - Short Term Plan - Weekly Dividend
Birla Sun Life Frontline Equity Fund - Dividend
Birla Sun Life Frontline Equity Fund - Growth
Birla Sun Life Gold Fund - Dividend
Birla Sun Life Gold Fund - Growth
Birla Sun Life India GenNext Fund - Dividend
Birla Sun Life India GenNext Fund - Growth
Birla Sun Life India Reforms Fund - Dividend
Birla Sun Life India Reforms Fund - Growth
Birla Sun Life Infrastructure Fund - Dividend
Birla Sun Life Infrastructure Fund - Growth
Birla Sun Life International Equity Fund - Plan A - Dividend
Birla Sun Life International Equity Fund - Plan A - Growth
Birla Sun Life International Equity Fund - Plan B - Dividend
Birla Sun Life International Equity Fund - Plan B - Growth
Birla Sun Life Midcap Fund - Dividend
Birla Sun Life Midcap Fund - Growth
Birla Sun Life MIP II - Savings 5 Plan - Growth
Birla Sun Life MIP II - Savings 5 Plan - Monthly Dividend
Birla Sun Life MIP II - Savings 5 Plan - Monthly Payment
Birla Sun Life MIP - Growth
Birla Sun Life MIP - Monthly Dividend
Birla Sun Life MIP - Monthly Payment
Birla Sun Life New Millennium Fund - Dividend
Birla Sun Life New Millennium Fund - Growth
Birla Sun Life Short Term Fund - Discipline Advantage Plan - Growth
Birla Sun Life Short Term Fund - Growth
Birla Sun Life Short Term Fund - Monthly Dividend
Birla Sun Life Tax Relief 96 Fund - ELSS - Dividend
Birla Sun Life Tax Relief'96 Fund - ELSS - Growth
Birla Sun Life Ultra Short Term Fund - Fortnightly Dividend
Birla Sun Life Ultra Short Term Fund - Growth
Birla Sun Life Ultra Short Term Fund - Weekly Dividend
Birla Sun Life Ultra Short Term Fund - Daily Dividend
Birla Sun Life MNC Fund - Dividend
Birla Sun Life MNC Fund - Growth
Birla Sun Life Income Plus - Growth
Birla Sun Life Income Plus - Quarterly Dividend
BNP Paribas Income and Gold Fund - Growth
BNP Paribas Income and Gold Fund - Dividend
BNP Paribas Bond Fund - Annual Dividend
BNP Paribas Bond Fund - Quarterly Dividend
BNP Paribas Bond Fund - Monthly Dividend
BNP Paribas Bond Fund - Growth
BNP Paribas Overnight Fund - Monthly Dividend
BNP Paribas Overnight Fund - Weekly Dividend
BNP Paribas Overnight Fund - Daily Dividend
BNP Paribas Overnight Fund - Growth
BNP Paribas Flexi Debt Fund - Weekly Dividend
BNP Paribas Flexi Debt Fund - Daily Dividend
BNP Paribas Flexi Debt Fund - Half Yearly Dividend
BNP Paribas Flexi Debt Fund - Quarterly Dividend
BNP Paribas Flexi Debt Fund - Growth
BNP Paribas Flexi Debt Fund - Monthly Dividend
BNP Paribas Money Plus - Weekly Dividend
BNP Paribas Money Plus - Monthly Dividend
BNP Paribas Money Plus - Growth
BNP Paribas Money Plus - Daily Dividend
BNP Paribas Dividend Yield Fund - Growth
BNP Paribas Dividend Yield Fund - Dividend
BNP Paribas Equity Fund - Dividend
BNP Paribas Equity Fund - Growth
Canara Robeco F.O.R.C.E Fund - Regular - Dividend
Canara Robeco F.O.R.C.E Fund - Regular - Growth
Canara Robeco Income - Bonus Plan
Canara Robeco Income - Dividend
Canara Robeco Income - Growth
Birla Sun Life MF
BNP Paribas MF
Canara Robeco MF
Product Risk Rating
5
5
5
5
2
2
2
2
2
2
4
4
4
5
5
2
2
2
5
5
2
2
2
2
2
5
5
5
5
5
5
5
5
5
5
4
4
5
5
5
5
2
2
2
2
2
2
5
5
3
3
3
5
5
2
2
2
2
5
5
3
3
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
5
5
5
5
5
5
2
2
2
Page 2
AMC Name
Scheme_code
CB104
CB105
DWS MF
DB379
DB04
DB03
DB402
DB403
DB404
DB171
DB172
DB437
DB39
DB40
DB189
DB190
DB357
DB365
DB179
DB181
DB367
DB369
DB521
DB514
DB07
DB05
DB522
DB525
DB45
DB41
DB43
DB44
DSP Blackrock MF
D04
D01
D10
D167
D350
D349
D87
D79
D78
D513
D515
D80
D14
D13
D54
D52
D53
D357
D157
D100
D526
D98
D509
D99
D84
D85
D86
D233
D232
D67
D66
D71
D70
D73
D72
D105
D104
D111
D110
D16
D15
D507
D506
D334
D333
D180
D179
D342
D341
Franklin Templeton MF FAEFDP
FAEFGP
FBIFDP
FBIFGP
FFUSOFDP
FFUSOFGP
FIBCFDP
FIBCFGP
FIFCAPDP
FIFCAPGP
FIFDP
Scheme Name
Canara Robeco InDiGo Fund - Growth
Canara Robeco InDiGo Fund - Quarterly Dividend
DWS Alpha Equity Fund Regular Plan - Bonus Growth
DWS Alpha Equity Fund Regular Plan - Dividend
DWS Alpha Equity Fund Regular Plan - Growth
DWS Global Agribusiness Offshore Fund Regular Plan - Bonus Growth
DWS Global Agribusiness Offshore Fund Regular Plan - Dividend
DWS Global Agribusiness Offshore Fund Regular Plan - Growth
DWS Global Thematic Offshore Fund Regular Plan - Dividend
DWS Global Thematic Offshore Fund Regular Plan - Growth
DWS Investment Opportunity Fund Regular Plan - Bonus Growth
DWS Investment Opportunity Fund Regular Plan - Dividend
DWS Investment Opportunity Fund Regular Plan - Growth
DWS Money Plus Advantage Fund Regular Plan - Monthly Dividend
DWS Money Plus Advantage Fund Regular Plan - Growth
DWS Insta Cash Plus Fund Super Institutional Plan - Daily Dividend
DWS Insta Cash Plus Fund Super Institutional - Annual Dividend
DWS Insta Cash Plus Fund Super Institutional Plan - Monthly Dividend
DWS Insta Cash Plus Fund Super Institutional Plan - Growth
DWS Insta Cash Plus Fund Super Institutional Plan - Quarterly Dividend
DWS Insta Cash Plus Fund Super Institutional Plan - Weekly Dividend
DWS Short Maturity Fund Regular Plan - Annual Dividend
DWS Short Maturity Fund Regular Plan - Bonus Growth
DWS Short Maturity Fund Regular Plan - Monthly Dividend
DWS Short Maturity Fund Regular Plan - Growth
DWS Short Maturity Fund Regular Plan - Quarterly Dividend
DWS Short Maturity Fund Regular Plan - Weekly Dividend
DWS Twin Advantage Fund Regular Plan - Annual Dividend
DWS Twin Advantage Fund Regular Plan - Growth
DWS Twin Advantage Fund Regular Plan - Monthly Dividend
DWS Twin Advantage Fund Regular Plan - Quarterly Dividend
DSP BlackRock Balanced Fund - Dividend
DSP BlackRock Balanced Fund - Growth
DSP BlackRock Equity Fund - Regular Plan - Dividend
DSP BlackRock Equity Fund - Regular Plan - Growth
DSP BlackRock Focus 25 Fund - Dividend
DSP BlackRock Focus 25 Fund - Growth
DSP BlackRock Income Opportunities Fund - Regular Plan - Daily Dividend
DSP BlackRock Income Opportunities Fund - Regular Plan - Dividend
DSP BlackRock Income Opportunities Fund - Regular Plan - Growth
DSP BlackRock Income Opportunities Fund - Regular Plan - Monthly Dividend
DSP BlackRock Income Opportunities Fund - Regular Plan - Quarterly Dividend
DSP BlackRock Income Opportunities Fund - Regular Plan - Weekly Dividend
DSP BlackRock India T.I.G.E.R. Fund - Regular Plan - Dividend
DSP BlackRock India T.I.G.E.R. Fund - Regular Plan - Growth
DSP BlackRock Liquidity Fund - Institutional Plan - Daily Dividend
DSP BlackRock Liquidity Fund - Institutional Plan - Growth
DSP BlackRock Liquidity Fund - Institutional Plan - Weekly Dividend
DSP BlackRock Micro Cap Fund - Regular Plan - Dividend
DSP BlackRock Micro Cap Fund - Regular Plan - Growth
DSP BlackRock Money Manager Fund - Regular - Daily Dividend
DSP BlackRock Money Manager Fund - Regular Plan - Dividend
DSP BlackRock Money Manager Fund - Regular Plan - Growth
DSP BlackRock Money Manager Fund - Regular Plan - Monthly Dividend
DSP BlackRock Money Manager Fund - Regular Plan - Weekly Dividend
DSP BlackRock Monthly Income Plan Fund - Growth
DSP BlackRock Monthly Income Plan Fund - Monthly Dividend
DSP BlackRock Monthly Income Plan Fund - Quarterly Dividend
DSP BlackRock Natural Resources and New Energy Fund - Regular Plan - Dividend
DSP BlackRock Natural Resources and New Energy Fund - Regular Plan - Growth
DSP BlackRock Opportunities Fund - Regular Plan - Dividend
DSP BlackRock Opportunities Fund - Regular Plan - Growth
DSP BlackRock Short Term Fund - Dividend
DSP BlackRock Short Term Fund - Growth
DSP BlackRock Short Term Fund - Monthly Dividend
DSP BlackRock Short Term Fund - Weekly Dividend
DSP BlackRock Small and Mid Cap Fund - Regular Plan - Dividend
DSP BlackRock Small and Mid Cap Fund - Regular Plan - Growth
DSP BlackRock Tax Saver Fund - Dividend
DSP BlackRock Tax Saver Fund - Growth
DSP BlackRock Top 100 Equity Fund - Regular Plan - Dividend
DSP BlackRock Top 100 Equity Fund - Regular Plan - Growth
DSP BlackRock World Agriculture Fund - Regular Plan - Dividend
DSP BlackRock World Agriculture Fund - Regular Plan - Growth
DSP BlackRock World Energy Fund - Regular Plan - Dividend
DSP BlackRock World Energy Fund - Regular Plan - Growth
DSP BlackRock World Gold Fund - Regular Plan - Dividend
DSP BlackRock World Gold Fund - Regular Plan - Growth
DSP BlackRock World Mining Fund - Regular Plan - Dividend
DSP BlackRock World Mining Fund - Regular Plan - Growth
Franklin Asian Equity Fund - Dividend
Franklin Asian Equity Fund - Growth
Franklin Build India Fund - Dividend
Franklin Build India Fund - Growth
FT India Feeder - Franklin US Opportunities Fund - Dividend
FT India Feeder - Franklin US Opportunities Fund - Growth
Franklin India Bluechip Fund-Dividend
Franklin India Bluechip Fund-Growth
Franklin India Flexi Cap Fund - Dividend
Franklin India Flexi Cap Fund - Growth
Franklin Infotech Fund-Dividend
Product Risk Rating
2
2
5
5
5
5
5
5
4
4
5
5
5
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
5
5
5
5
5
5
2
2
2
2
2
2
5
5
2
2
2
5
5
2
2
2
2
2
2
2
2
5
5
5
5
2
2
2
2
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
Page 3
AMC Name
HDFC MF
Scheme_code
FIFGP
FIHGCFDP
FIHGCFGP
FIIF-BSEDP
FIIF-BSEGP
FIIF-NSEDP
FIIF-NSEGP
FIOFDP
FIOFGP
FIPFDP
FIPFGP
FIPPDP
FIPPGP
FITDP
FITGP
FLDP
FLGP
F-NSEDP
FTDPEFDP
FTDPEFGP
FTIBFDP
FTIBFGP
FTIF-BSEDP
FTIIF-NSEGP
FTIMIPABP-1
FTIMIPA-GP
FTIMIPA-MP
FTIMIPA-QP
FTIMIPA-GP
FTIMIPA-QP
FTLSF20DP
FTLSF20GP
FTLSF30DP
FTLSF30GP
FTLSF40DP
FTLSF40GP
FTLSF50DP
FTLSF50FDP
FTLSF50FGP
FTLSF50GP
GFDP
GFGP
MIMP
MIQP
TILDFGP
SFDP
SFGP
SFLBP-1
SFLDP
SFLGP
SPDP
SPGP
TICBOFDP
TICBOFGP
TIEIFDP
TIEIFGP
TIIBAA-BP1
TIIBAA-DP
TIIBAA-GP
TIIBAA-HDP
TIIBAA-MDP
TIIBAA-QDP
TIIBAB-ADP
TIIOFDP
TIIOFGP
TIPPDP
TIPPGP
TISTIPBP-1
TISTIPGP
TISTIPMDP
TISTIPQDP
TISTIPWDP
TITMASIPDD
TITMASIPGP
TITMASIPWDP
HAFRG
HAFRDQ
H61
H62
H59
H54
H60
H58
HCORD
HCORG
H01
H02
HILG
HILD
HISWDD
HISWG
Scheme Name
Franklin Infotech Fund-Growth
Franklin India High Growth Companies Fund - Dividend
Franklin India High Growth Companies Fund - Growth
Franklin India Index Fund - BSE Sensex Plan - Dividend
Franklin India Index Fund - BSE Sensex Plan - Growth
Franklin India Index Fund - NSE Nifty Plan - Dividend
Franklin India Index Fund - NSE Nifty Plan - Growth
Franklin India Opportunities Fund-Dividend
Franklin India Opportunities Fund-Growth
Franklin India Prima Fund-Dividend
Franklin India Prima Fund-Growth
Franklin India Prima Plus-Dividend
Franklin India Prima Plus-Growth
Franklin India Taxshield - Dividend
Franklin India Taxshield - Growth
Templeton Floating Rate Income Fund - Retail - Dividend
Templeton Floating Rate Income Fund - Retail - Growth
FT India Index Fund - NSE Nifty Plan - Dividend Reinvestment
FT India Dynamic PE Ratio Fund of Funds - Dividend
FT India Dynamic PE Ratio Fund of Funds - Growth
FT India Balanced Fund - Dividend
FT India Balanced Fund - Growth
FT INDIA INDEX FUND BSE SENSEX-DIVIDEND
FT INDIA INDEX FUND NIFTY PLAN-GROWTH
FT India Monthly Income Plan A - Bonus
FT India Monthly Income Plan A - Growth
FT India Monthly Income Plan A - Monthly Dividend
FT India Monthly Income Plan A - Quarterly Dividend
FT India Monthly Income - Growth
FT India Monthly Income - Quarterly Dividend
FT India Life Stage Fund of Funds The 20s Plan - Dividend
FT India Life Stage Fund of Funds The 20s Plan - Growth
FT India Life Stage Fund of Funds The 30s Plan - Dividend
FT India Life Stage Fund of Funds The 30s Plan - Growth
FT India Life Stage Fund of Funds The 40s Plan - Dividend
FT India Life Stage Fund of Funds The 40s Plan - Growth
FT India Life Stage Fund of Funds The 50s Plus Plan - Dividend
FT India Life Stage Fund of Funds - 50s Plus Floating Rate Plan - Dividend
FT India Life Stage Fund of Funds - 50s Plus Floating Rate Plan - Growth
FT India Life Stage Fund of Funds The 50s Plus Plan - Growth
Templeton India Growth Fund - Dividend
Templeton India Growth Fund - Growth
Templeton India Low Duration Fund - Monthly Dividend
Templeton India Low Duration Fund - Quarterly Dividend
Templeton India Low Duration Fund - Growth
Templeton India Govt.Sec.Fund - Composite Plan - Dividend
Templeton India Govt.Sec.Fund - Composite Plan - Growth
Templeton India Govt.Sec.Fund - Long Term Plan - Bonus
Templeton India Govt.Sec.Fund - Long Term Plan - Quarterly Dividend
Templeton India Govt.Sec.Fund - Long Term Plan - Growth
Templeton India Govt.Sec.Fund - P F Plan - Dividend
Templeton India Govt.Sec.Fund - P F Plan - Growth
Templeton India Corporate Bond Opportunities Fund - Dividend
Templeton India Corporate Bond Opportunities Fund - Growth
Templeton India Equity Income Fund - Dividend
Templeton India Equity Income Fund - Growth
Templeton India Income Builder Account - Plan A - Bonus
Templeton India Income Builder Account - Plan A - Annual Dividend
Templeton India Income Builder Account - Plan A - Growth
Templeton India Income Builder Account - Plan A - Half Yearly Dividend
Templeton India Income Builder Account - Plan A - Monthly Dividend
Templeton India Income Builder Account - Plan A - Quarterly Dividend
Templeton India Income Builder Account - Plan A - Annual Dividend
Templeton India Income Opportunities Fund - Dividend
Templeton India Income Opportunities Fund - Growth
Templeton India Pension Plan - Dividend
Templeton India Pension Plan - Growth
Templeton India Short Term Income Plan - Bonus
Templeton India Short Term Income Plan - Growth
Templeton India Short Term Income Plan - Monthly Dividend
Templeton India Short Term Income Plan - Quarterly Dividend
Templeton India Short Term Income Plan - Weekly Dividend
Templeton India Treasury Management Account - Super Institutional Plan - Daily Dividend
Templeton India Treasury Management Account - Super Institutional Plan - Growth
Templeton India Treasury Management Account - Super Institutional Plan - Weekly Dividend
HDFC Arbitrage Fund - Retail - Growth
HDFC Arbitrage Fund - Retail - Quarterly Dividend
HDFC Capital Builder Fund - Dividend
HDFC Capital Builder Fund - Growth
HDFC Cash Management Fund - Treasury Advantage Plan - Retail - Daily Dividend
HDFC Cash Management Fund - Treasury Advantage Plan - Retail - Growth
HDFC Cash Management Fund - Treasury Advantage Plan - Retail - Monthly Dividend
HDFC Cash Management Fund - Treasury Advantage Plan - Retail - Weekly Dividend
HDFC Core and Satellite Fund - Dividend
HDFC Core and Satellite Fund - Growth
HDFC Equity Fund - Dividend
HDFC Equity Fund - Growth
HDFC Floating Rate Income Fund - Long Term Plan - Growth
HDFC Floating Rate Income Fund - Long Term Plan - Dividend
HDFC Floating Rate Income Fund - Short Term Plan - Wholesale - Daily Dividend
HDFC Floating Rate Income Fund - Short Term Plan - Wholesale - Growth
Product Risk Rating
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
2
2
5
4
4
4
4
5
5
2
2
2
2
2
2
5
5
5
5
5
5
5
2
2
5
5
5
2
2
2
2
2
2
2
2
2
2
2
2
5
5
2
2
2
2
2
2
2
3
3
3
3
2
2
2
2
2
2
2
2
5
5
5
5
2
2
2
2
5
5
5
5
2
2
2
2
Page 4
AMC Name
HSBC MF
ICICI Prudential MF
Scheme_code
Scheme Name
HISWDM
HISWD
HGFD
HGFG
H29
H30
HIFD
HIFG
HLFDD
HLFD
HLFG
HLFDM
HMILTG
HMILTM
HMILTQ
HMISTG
HMISTM
HMISTQ
HMCOD
HMCOG
HMYD05
HMYG05
H21
H22
HSTD
HSTG
H31
H32
H41
H44
ODFD
ODFG
OEFD
OEFG
OEOID
OEOIG
OMED
OMEG
OMIPRG
OMIPRM
OMIPRQ
OMIPSG
OMIPSM
OMIPSQ
HSBCLCP
OPPS342
OTSED
OTSEG
P62
P61
P1234
P1233
PDFG
PDFD
P15
P16
PEDIRD
PEDIRG
PEDWRD
PEDWRP
PEDWRG
P1524
P1525
P1526
P1542
P1543
P1192
P1191
P54
P53
P52
P51
P53PF
P51PF
P1263
P1280
P1262
P21
P22
P21Q
P1637
P1638
P1639
P1024
P1023
PIFD
PIFG
P1564
P1565
P1566
P1567
HDFC Floating Rate Income Fund - Short Term Plan - Wholesale - Monthly Dividend
HDFC Floating Rate Income Fund - Short Term Plan - Wholesale - Weekly Dividend
HDFC Growth Fund - Dividend
HDFC Growth Fund - Growth
HDFC High Interest Fund - Short Term Plan - Dividend
HDFC High Interest Fund - Short Term Plan - Growth
HDFC Income Fund - Dividend
HDFC Income Fund - Growth
HDFC Liquid Fund - Daily Dividend
HDFC Liquid Fund - Dividend
HDFC Liquid Fund - Growth
HDFC Liquid Fund - Monthly Dividend
HDFC Monthly Income Plan - Long Term Plan - Growth
HDFC Monthly Income Plan - Long Term Plan - Monthly Dividend
HDFC Monthly Income Plan - Long Term Plan - Quarterly Dividend
HDFC Monthly Income Plan - Short Term Plan - Growth
HDFC Monthly Income Plan - Short Term Plan - Monthly Dividend
HDFC Monthly Income Plan - Short Term Plan - Quarterly Dividend
HDFC Mid-Cap Opportunities Fund - Dividend
HDFC Mid-Cap Opportunities Fund - Growth
HDFC Multiple Yield Fund - Plan 2005 - Dividend
HDFC Multiple Yield Fund - Plan 2005 - Growth
HDFC Prudence Fund - Dividend
HDFC Prudence Fund - Growth
HDFC Short Term Plan - Dividend
HDFC Short Term Plan - Growth
HDFC Tax Saver - Dividend
HDFC Tax Saver - Growth
HDFC Top 200 Fund - Dividend
HDFC Top 200 Fund - Growth
HSBC Dynamic Fund - Dividend
HSBC Dynamic Fund - Growth
HSBC Equity Fund - Dividend
HSBC Equity Fund - Growth
HSBC India Opportunities Fund - Dividend
HSBC India Opportunities Fund - Growth
HSBC Midcap Equity Fund - Dividend
HSBC Midcap Equity Fund - Growth
HSBC Monthly Income Plan - Regular - Growth
HSBC Monthly Income Plan - Regular - Monthly Dividend
HSBC Monthly Income Plan - Regular - Quarterly Dividend
HSBC Monthly Income Plan - Savings - Growth
HSBC Monthly Income Plan - Savings - Monthly Dividend
HSBC Monthly Income Plan - Savings - Quarterly Dividend
HSBC PMS - Large Cap Portfolio
HSBC PMS - Signature Portfolio
HSBC Tax Saver Equity Fund - Dividend
HSBC Tax Saver Equity Fund - Growth
ICICI Prudential Balanced Fund - Regular Plan - Dividend
ICICI Prudential Balanced Fund - Regular Plan - Growth
ICICI Prudential Banking and Financial Services Fund - Regular Plan - Dividend
ICICI Prudential Banking and Financial Services Fund - Regular Plan - Growth
ICICI Prudential Discovery Fund - Regular Plan - Growth
ICICI Prudential Discovery Fund - Regular Plan - Dividend
ICICI Prudential Dynamic - Regular Plan - Growth
ICICI Prudential Dynamic - Regular Plan - Dividend
ICICI Prudential Equity Arbitrage Fund - Regular Plan - Dividend
ICICI Prudential Equity Arbitrage Fund - Regular Plan - Growth
ICICI Prudential Equity Volatility Advantage Fund - Regular Plan - Dividend
ICICI Prudential Equity Volatility Advantage Fund - Regular Plan - Dividend Payout
ICICI Prudential Equity Volatility Advantage Fund - Regular Plan - Growth
ICICI Prudential Flexible Income - Regular Plan - Daily Dividend
ICICI Prudential Flexible Income - Regular Plan - Growth
ICICI Prudential Flexible Income - Regular Plan - Weekly Dividend
ICICI Prudential Floating Rate - Regular Plan - Daily Dividend
ICICI Prudential Floating Rate - Regular Plan - Growth
ICICI Prudential Focused Bluechip Equity Fund - Regular Plan - Dividend
ICICI Prudential Focused Bluechip Equity Fund - Regular Plan - Growth
ICICI Prudential Gilt Fund Investment - Regular Plan - Dividend
ICICI Prudential Gilt Fund Investment - Regular Plan - Growth
ICICI Prudential Gilt Fund Treasury - Regular Plan - Dividend
ICICI Prudential Gilt Fund Treasury - Regular Plan - Growth
ICICI Prudential Gilt Fund Investment Plan PF Option - Regular Plan
ICICI Prudential Gilt Fund Treasury Plan PF Option - Regular Plan
ICICI Prudential Income Opportunities Fund - Regular Plan - Dividend Monthly
ICICI Prudential Income Opportunities Fund - Regular Plan - Dividend Quarterly
ICICI Prudential Income Opportunities Fund - Regular Plan - Growth
ICICI Prudential Income - Regular Plan - Half Yearly Dividend
ICICI Prudential Income - Regular Plan - Growth
ICICI Prudential Income - Regular Plan - Quarterly Dividend
ICICI Prudential Regular Savings Fund - Regular Plan - Growth
ICICI Prudential Regular Savings Fund - Regular Plan - Quarterly Dividend
ICICI Prudential Regular Savings Fund - Regular Plan - Half Yearly Dividend
ICICI Prudential Indo Asia Equity Fund - Regular Plan - Dividend
ICICI Prudential Indo Asia Equity Fund - Regular Plan - Growth
ICICI Prudential Infrastructure Fund - Regular Plan - Dividend
ICICI Prudential Infrastructure Fund - Regular Plan - Growth
ICICI Prudential Liquid - Regular Plan - Daily Dividend
ICICI Prudential Liquid - Regular Plan - Growth
ICICI Prudential Liquid Plan - Regular Plan - Monthly Dividend
ICICI Prudential Liquid - Regular Plan - Weekly Dividend
Product Risk Rating
2
2
5
5
2
2
2
2
2
2
2
2
3
3
3
2
2
2
5
5
3
3
5
5
2
2
5
5
5
5
5
5
5
5
5
5
5
5
2
2
2
2
2
2
5
5
5
5
5
5
5
5
5
5
5
5
2
2
4
4
4
2
2
2
2
2
5
5
3
3
2
2
3
3
2
2
2
3
3
3
2
2
2
5
5
5
5
2
2
2
2
Page 5
AMC Name
IDFC MF
JP Morgan MF
Scheme_code
Scheme Name
P25PPA
P26PP
P25PP
P1617
P1456
P1489
P1457
P1457P
P1458
P1458P
PESD
PESDP
PESG
P84
P83
P81
P82
PIMPG
PIMPD
OPPS4703
OPPS4698
PSID
PSIG
P1452
P1451
P02
P01
P12
P12P
P11
P1950
P1951
P122
P121
G210
G209
G218
G217
G242
G241
G238
G237
G240
G239
GFCCD
GFCCG
GFCCM
GF271
GFCCW
G202
G201
GDAB
G83
G82
GDQB
G206
G205
G266
G265
G50
G44
G47
G45
G276
G46
G49
GFRD
GFRG
GFRM
GFRW
G204
G203
G216
G215
G222
G221
GSSA
GSSG
GSSH
GSSD
GMTD
GMND
GMTF
GMTG
GMTM
G259
GSTF
GSTG
GSTD
JJARDI
JJARGR
ICICI Prudential Long Term - Regular Plan - Annual Dividend
ICICI Prudential Long Term - Regular Plan - Growth
ICICI Prudential Long Term - Regular Plan - Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Daily Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Growth
ICICI Prudential Dynamic Bond Fund - Regular Plan - Half Yearly Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Monthly Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Monthly Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Quarterly Dividend
ICICI Prudential Dynamic Bond Fund - Regular Plan - Quarterly Dividend
ICICI Prudential MidCap Fund - Regular Plan - Dividend
ICICI Prudential MidCap Fund - Regular Plan - Dividend
ICICI Prudential MidCap Fund - Regular Plan - Growth
ICICI Prudential MIP - Regular Plan - Growth
ICICI Prudential MIP - Regular Plan - Dividend Half Yearly
ICICI Prudential MIP - Regular Plan - Dividend Monthly
ICICI Prudential MIP - Regular Plan - Dividend Quarterly
ICICI Prudential MIP - 25 - Regular Plan - Growth
ICICI Prudential MIP - 25 - Regular Plan - Monthly Dividend
ICICI Prudential PMS India Recovery Portfolio - Plan W
ICICI Prudential PMS India Recovery Portfolio - Plan X
ICICI Prudential Services Industries Fund - Regular Plan - Dividend
ICICI Prudential Services Industries Fund - Regular Plan - Growth
ICICI Prudential Target Returns Fund - Regular Plan - Dividend
ICICI Prudential Target Returns Fund - Regular Plan - Growth
ICICI Prudential Tax Plan - Regular Plan - Dividend
ICICI Prudential Tax Plan - Regular Plan - Growth
ICICI Prudential Top 100 Fund - Regular Plan - Dividend
ICICI Prudential Top 100 Fund - Regular Plan - Dividend
ICICI Prudential Top 100 Fund - Regular Plan - Growth
ICICI Prudential US Bluechip Equity Fund - Regular Plan - Growth
ICICI Prudential US Bluechip Equity Fund - Regular Plan - Dividend
ICICI Prudential Top 200 Fund - Regular Plan - Dividend
ICICI Prudential Top 200 Fund - Regular Plan - Growth
IDFC Arbitrage Fund-Regular Plan-Dividend
IDFC Arbitrage Fund-Regular Plan- Growth
IDFC Arbitrage Plus Fund-Regular Plan-Dividend
IDFC Arbitrage Plus Fund-Regular Plan-Growth
IDFC Asset Allocation Fund Of Fund-Aggressive Plan-Regular Plan-Dividend
IDFC Asset Allocation Fund Of Fund-Aggressive Plan-Regular Plan-Growth
IDFC Asset Allocation Fund Of Fund-Conservative Plan-Regular Plan-Dividend
IDFC Asset Allocation Fund Of Fund-Conservative Plan-Regular Plan-Growth
IDFC Asset Allocation Fund Of Fund-Moderate Plan-Regular Plan-Dividend
IDFC Asset Allocation Fund Of Fund-Moderate Plan-Regular Plan-Growth
IDFC Cash Fund -Regular Plan-Daily Dividend
IDFC Cash Fund -Regular Plan-Growth
IDFC Cash Fund -Regular -Monthly Dividend
IDFC Cash Fund -Regular Plan-Periodic Dividend
IDFC Cash Fund -Regular -Weekly Dividend
IDFC Classic Equity Fund-Regular Plan-Dividend
IDFC Classic Equity Fund- Regular Plan-Growth
IDFC Dynamic Bond Fund-Regular Plan-Annual Dividend
IDFC Dynamic Bond Fund-Regular Plan-Dividend
IDFC Dynamic Bond Fund-Regular Plan-Growth
IDFC Dynamic Bond Fund-Regular Plan-Quarterly Dividend
IDFC Imperial Equity Fund-Regular Plan-Dividend
IDFC Imperial Equity Fund-Regular Plan-Growth
IDFC Infrastructure Fund-Regular Plan-Dividend
IDFC Infrastructure Fund-Regular Plan-Growth
IDFC Money Manager Fund - Investment Plan -Regular Plan-Daily Dividend
IDFC Money Manager Fund - Investment Plan-Regular Plan-Growth
IDFC Money Manager Fund - Investment Plan -Regular Plan-Monthly Dividend
IDFC Money Manager Fund - Investment Plan -Regular Plan-Quarterly Dividend
IDFC Money Manager Fund - Investment Plan -Regular Plan-Periodic Dividend
IDFC Money Manager Fund - Investment Plan -Regular Plan-Annual Dividend
IDFC Money Manager Fund - Investment Plan -Regular Plan-Weekly Dividend
IDFC Money Manager Fund - Treasury Plan -Regular Plan-Daily Dividend
IDFC Money Manager Fund - Treasury Plan -Regular Plan-Growth
IDFC Money Manager Fund - Treasury Plan -Regular Plan-Monthly Dividend
IDFC Money Manager Fund - Treasury Plan -Regular Plan-Weekly Dividend
IDFC Premier Equity Fund-Regular Plan-Dividend
IDFC Premier Equity Fund- - Regular Plan-Growth
IDFC Sterling Equity Fund-Regular Plan-Dividend
IDFC Sterling Equity Fund-Regular Plan-Growth
IDFC 50-50 Strategic Sector Fund-Regular Plan-Dividend
IDFC 50-50 Strategic Sector Fund-Regular Plan-Growth
IDFC Super Saver Income Fund - Investment Plan-Regular Plan-Annual Dividend
IDFC Super Saver Income Fund - Investment Plan-Regular Plan-Growth
IDFC Super Saver Income Fund - Investment Plan-Regular Plan-Half Yearly Dividend
IDFC Super Saver Income Fund - Investment Plan-Regular Plan-Quarterly Dividend
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Bi Monthly Dividend
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Daily Dividend
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Fortnightly Dividend
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Growth
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Monthly Dividend
IDFC Super Saver Income Fund - Medium Term Plan-Regular Plan-Quartely Dividend
IDFC Super Saver Income Fund - Short Term-Regular Plan-Fortnightly Dividend
IDFC Super Saver Income Fund - Short Term-Regular Plan-Growth
IDFC Super Saver Income Fund - Short Term-Regular Plan-Monthly Dividend
JPMorgan India Active Bond Fund - Retail - Dividend
JPMorgan India Active Bond Fund - Retail - Growth
Product Risk Rating
2
2
2
2
2
2
2
2
2
2
5
5
5
2
2
2
2
3
3
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
4
4
4
4
2
2
2
2
2
5
5
2
2
2
2
5
5
5
5
2
2
2
2
2
2
2
2
2
2
2
5
5
5
5
5
5
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Page 6
AMC Name
Kotak MF
Reliance MF
Scheme_code
Scheme Name
JJASGR
JJEMGR
JJPCGR
JJPEDI
JJPEGR
JJPSDI
JJPSGR
JJPTDI
JJPTGR
JJSI
JJSIFI
JJSIFR
JJSIGR
JJSIMI
JJSIMR
JJSIWI
JJSIWR
K642
K639
K640
K641
K03
K13
K17
K18
K16
K06
K117
K107
K199
K197
K198
K200
K175
K135
K145
K155
K12
K02
K47
K46
K463
K462
K464
K114
K104
K118
K108
K178
K168
K154
K144
RC38
RC37
RC36
RC98
RC97
RC96
RC157
RC156
RC155
RC154
RC129
RC128
RC766
RC153
RC841
RC840
RC28
RC03
RC04
RC05
RC30
RC09
RC06
RC08
RC07
RC147
RC148
RC1072
RC724
RC723
RC722
RC85
RC72
RC71
RC165
RC133
RC132
RC131
RC355
JPMorgan JF ASEAN Equity Offshore Fund - Growth
JPMorgan EEMEA Equity Offshore Fund - Growth
JPMorgan JF Greater China Equity Off-Shore Fund - Growth
JPMorgan India Equity Fund - Dividend
JPMorgan India Equity Fund - Growth
JPMorgan India Smaller Companies Fund - Dividend
JPMorgan India Smaller Companies Fund - Growth
JPMorgan India Tax Advantage Fund - Dividend
JPMorgan India Tax Advantage Fund - Growth
JPMorgan India Short Term Income Fund - Dividend Reinvestment
JPMorgan India Short Term Income Fund - Fortnightly Dividend
JPMorgan India Short Term Income Fund - Fortnightly Dividend Reinvestment
JPMorgan India Short Term Income Fund - Growth
JPMorgan India Short Term Income Fund - Monthly Dividend
JPMorgan India Short Term Income Fund - Monthly Dividend Reinvestment
JPMorgan India Short Term Income Fund - Weekly Dividend
JPMorgan India Short Term Income Fund - Weekly Dividend Reinvestment
Kotak Multi Asset Allocation Fund - Annual Dividend
Kotak Multi Asset Allocation Fund - Growth
Kotak Multi Asset Allocation Fund - Monthly Dividend
Kotak Multi Asset Allocation Fund - Quarterly Dividend
Kotak 50 - Dividend
Kotak 50 - Growth
Kotak Bond Scheme Plan A - Annual Dividend
Kotak Bond Scheme Plan A - Bonus
Kotak Bond Scheme Plan A - Quarterly Dividend
Kotak Bond Scheme Plan A - Growth
Kotak Equity FOF - Dividend Option
Kotak Equity FOF - Growth Option
Kotak Flexi Debt Scheme Plan A - Daily Dividend
Kotak Flexi Debt Scheme Plan A - Growth
Kotak Flexi Debt Scheme Plan A - Weekly Dividend
Kotak Flexi Debt Scheme Plan A - Quarterly Dividend
Kotak Floater Long Term - Daily Dividend
Kotak Floater Long Term - Growth
Kotak Floater Long Term - Monthly Dividend
Kotak Floater Long Term - Weekly Dividend
Kotak Gilt Investment Regular - Growth
Kotak Gilt Investment Regular - Dividend
Kotak Gold Fund - Dividend
Kotak Gold Fund - Growth
Kotak Liquid Scheme Plan A - Daily Dividend
Kotak Liquid Scheme Plan A - Growth
Kotak Liquid Scheme Plan A - Weekly Dividend
Kotak Mid-Cap Fund - Dividend
Kotak Mid-Cap Fund - Growth
Kotak Opportunities Fund - Dividend
Kotak Opportunities Fund - Growth
Kotak Select Focus Fund - Dividend
Kotak Select Focus Fund - Growth
Kotak Tax Saver Scheme - Dividend
Kotak Tax Saver Scheme - Growth
Reliance Banking Fund - Bonus
Reliance Banking Fund - Dividend
Reliance Banking Fund - Growth
Reliance Diversified Power Sector Fund - Bonus
Reliance Diversified Power Sector Fund - Dividend
Reliance Diversified Power Sector Fund - Growth
Reliance Equity Opportunities Fund - Bonus
Reliance Equity Opportunities Fund - Dividend
Reliance Equity Opportunities Fund - Growth
Reliance Floating Rate Fund - Short Term Plan - Daily Dividend
Reliance Floating Rate Fund - Short Term Plan - Growth
Reliance Floating Rate Fund - Short Term Plan - Monthly Dividend
Reliance Floating Rate Fund - Short Term Plan - Quarterly Dividend
Reliance Floating Rate Fund - Short Term Plan - Weekly Dividend
Reliance Gold Savings Fund - Dividend
Reliance Gold Savings Fund - Growth
Reliance Growth Fund - Bonus
Reliance Growth Fund - Dividend
Reliance Growth Fund - Growth
Reliance Income Fund - Annual Dividend
Reliance Income Fund - Growth Plan - Bonus
Reliance Income Fund - Growth
Reliance Income Fund - Half Yearly Dividend
Reliance Income Fund - Monthly Dividend
Reliance Income Fund - Quarterly Dividend
Reliance Dynamic Bond Fund - Growth Plan - Growth Option
Reliance Dynamic Bond Fund - Dividend
Reliance Dynamic Bond Fund - Quarterly Dividend
Reliance Infrastructure Fund - Retail - Bonus
Reliance Infrastructure Fund - Retail - Dividend
Reliance Infrastructure Fund - Retail - Growth
Reliance Liquid Fund - Treasury Plan - Institutional - Daily Dividend
Reliance Liquid Fund - Treasury Plan - Institutional - Growth
Reliance Liquid Fund - Treasury Plan - Institutional - Weekly Dividend
Reliance Liquid Fund - Treasury Plan - Institutional Option - Monthly Dividend
Reliance Media and Entertainment Fund - Bonus
Reliance Media and Entertainment Fund - Dividend
Reliance Media and Entertainment Fund - Growth
Reliance Money Manager Fund - Institutional - Bonus Option
Product Risk Rating
5
5
5
5
5
5
5
5
5
2
2
2
2
2
2
2
2
3
3
3
3
5
5
2
2
2
2
5
5
2
2
2
2
2
2
2
2
3
3
5
5
2
2
2
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
2
2
2
2
2
5
5
5
5
5
2
2
2
2
2
2
2
2
2
5
5
5
2
2
2
2
5
5
5
2
Page 7
AMC Name
Religare MF
SBI MF
Sundaram MF
Tata MF
Scheme_code
Scheme Name
RC353
RC354
RC359
RC360
RC361
RC86
RC87
RC88
RC476
RC475
RC474
RC122
RC121
RC120
RC713
RC215
RC783
RC780
RC779
RC415
RC414
RC413
RC29
RC02
RC01
RG12
RG11
RG765
RG764
RG766
L192D
L192G
SEPD
SEPG
S93
S94
S101
S01
SILD
SILG
S230
S234
S232
S235
S231
S233
S03
S02
S05
S04
S103
S104
S71
S72
S13
S14
S82
S81
S97
S98
TBFD
TBFG
TBFMD
TDYD
TDYG
TEOD
TEOG
TEPEG
TEPE5
TEPED
TSSFD
TSSFDP
TSSF
TFD1
TFLG
TFLPD
TFLW
TFLWP
TGEIAD
TGEIAG
TGEIBD
TGEIBG
TINFD
TINFG
TLSD01
TLSG01
TLSM01
TLSW01
TMPG
TMHD
TMMD
Reliance Money Manager Fund - Institutional - Daily Dividend
Reliance Money Manager Fund - Institutional - Growth
Reliance Money Manager Fund - Institutional - Monthly Dividend
Reliance Money Manager Fund - Institutional - Quarterly Dividend Option
Reliance Money Manager Fund - Institutional - Weekly Dividend
Reliance Monthly Income Plan - Growth
Reliance Monthly Income Plan - Monthly Dividend
Reliance Monthly Income Plan - Quarterly Dividend
Reliance Natural Resources Fund - Bonus
Reliance Natural Resources Fund - Dividend
Reliance Natural Resources Fund - Growth
Reliance Pharma Fund - Bonus
Reliance Pharma Fund - Dividend
Reliance Pharma Fund - Growth
Reliance Regular Savings Fund - Equity Option - Dividend
Reliance Regular Savings Fund - Equity Option - Growth
Reliance Small Cap Fund - Bonus
Reliance Small Cap Fund - Dividend
Reliance Small Cap Fund - Growth
Reliance Top 200 Fund - Retail - Bonus Option
Reliance Top 200 Fund - Retail - Dividend
Reliance Top 200 Fund - Retail - Growth
Reliance Vision Fund - Bonus
Reliance Vision Fund - Dividend
Reliance Vision Fund - Growth
Religare Tax Plan - Dividend
Religare Tax Plan - Growth
Religare Bank Debt Fund - Growth
Religare Bank Debt Fund - Daily Dividend
Religare Bank Debt Fund - Monthly Dividend
SBI PSU Fund Dividend
SBI PSU Fund Growth
Sundaram Equity Plus - Dividend
Sundaram Equity Plus - Growth
Sundaram Global Advantage Fund - Dividend
Sundaram Global Advantage Fund - Growth
Sundaram Growth Fund - Dividend
Sundaram Growth Fund - Growth
Sundaram India Leadership Fund - Dividend
Sundaram India Leadership Fund - Growth
Sundaram Money Fund - Regular Plan - Daily Dividend
Sundaram Money Fund - Regular Plan - Fortnightly Dividend
Sundaram Money Fund - Regular Plan - Growth
Sundaram Money Fund - Regular Plan - Monthly Dividend
Sundaram Money Fund - Regular Plan - Quarterly Dividend
Sundaram Money Fund - Regular Plan - Weekly Dividend
Sundaram Select Focus - Regular - Dividend
Sundaram Select Focus - Regular - Growth
Sundaram Select Midcap - Regular - Dividend
Sundaram Select Midcap - Regular - Growth
Sundaram Select Thematic Funds PSU Opportunities - Dividend
Sundaram Select Thematic Funds PSU Opportunities - Growth
Sundaram S.M.I.L.E Fund - Dividend
Sundaram S.M.I.L.E Fund - Growth
Sundaram Taxsaver - Dividend
Sundaram Taxsaver - Growth
Sundaram CAPEX Opportunities Fund - Growth
Sundaram CAPEX Opportunities Fund - Dividend
Sundaram Select Thematic Funds Financial Services Opportunities - Regular - Dividend
Sundaram Select Thematic Funds Financial Services Opportunities - Regular - Growth
Tata Balanced Fund Plan A - Dividend
Tata Balanced Fund Plan A - Growth
Tata Balanced Fund Plan A - Monthly Dividend
Tata Dividend Yield Fund Plan A - Dividend
Tata Dividend Yield Fund Plan A - Growth
Tata Equity Opportunities Fund Plan A - Dividend
Tata Equity Opportunities Fund Plan A - Growth
Tata Equity P/E Fund Plan A - Growth
Tata Equity P/E Fund Plan A - Dividend Trigger A (5%)
Tata Equity P/E Fund Plan A - Dividend Trigger B(10%)
Tata Ethical Fund Plan A - Dividend
Tata Ethical Fund Plan A - Dividend
Tata Ethical Fund Plan A - Growth
Tata Floater Fund Plan A - Daily Dividend
Tata Floater Fund Plan A - Growth
Tata Floater Fund Plan A - Periodic Dividend
Tata Floater Fund Plan A - Weekly Dividend
Tata Floater Fund Plan A - Weekly Dividend
Tata Growing Economies Infrastructure Fund Scheme A Plan A - Dividend
Tata Growing Economies Infrastructure Fund Scheme A Plan A - Growth
Tata Growing Economies Infrastructure Fund Scheme B Plan A - Dividend
Tata Growing Economies Infrastructure Fund Scheme B Plan A - Growth
Tata Infrastructure Fund Plan A - Dividend
Tata Infrastructure Fund Plan A - Growth
Tata Liquid Fund Plan A - Daily Dividend
Tata Liquid Fund Plan A - Growth
Tata Liquid Fund Plan A - Monthly Dividend
Tata Liquid Fund Plan A - Weekly Dividend
Tata MIP Plus Fund Plan A - Growth
Tata MIP Plus Fund Plan A - Half Yearly Dividend
Tata MIP Plus Fund Plan A - Monthly Dividend
Product Risk Rating
2
2
2
2
2
3
3
3
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
2
2
2
5
5
5
5
5
5
5
5
5
5
2
2
2
2
2
2
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
2
2
2
2
2
5
5
5
5
5
5
2
2
2
2
2
2
2
Page 8
AMC Name
UTI MF
Scheme_code
Scheme Name
TMQD
TFRSIB
TFRSIG
TPEFD
TPEF
RFCG
RFMG
RFPG
TSTD
TSTG
SIP3D
SIP3G
TSIP1D
TSIP1G
TSIP2D
TSIP2G
TTSF
UTI287
UTI288
DBGPG
DBDPR
DBDPD
IL77
IL78
UTI277
UTI278
UTI237
UTI236
UTI274
UTI273
IL55
IL30
IL33
UTI95
UTI647
UTI94
UTI509
UTI510
Tata MIP Plus Fund Plan A - Quarterly Dividend
Tata Money Market Fund Plan A - Daily Dividend
Tata Money Market Fund Plan A - Growth
Tata Pure Equity Fund Plan A - Dividend
Tata Pure Equity Fund Plan A - Growth
Tata Retirement Savings Fund - Conservative Plan - Growth
Tata Retirement Savings Fund - Moderate Plan - Growth
Tata Retirement Savings Fund - Progresive Plan - Growth
Tata Short Term Bond Fund Plan A - Dividend/Bonus
Tata Short Term Bond Fund Plan A - Growth
TATA SIP Fund Series 3 - Dividend
TATA SIP Fund Series 3 - Growth
TATA SIP FUND SCHEME I - DIVIDEND
TATA SIP FUND SCHEME I - GROWTH
TATA SIP Fund Scheme II - Dividend
TATA SIP Fund Scheme II - Growth
Tata Tax Saving Fund Plan A
UTI Bond Fund - Dividend
UTI Bond Fund - Growth
UTI Dynamic Bond Fund – Growth
UTI Dynamic Bond Fund – Dividend Reinvestment
UTI Dynamic Bond Fund – Dividend Payout
UTI Dividend Yield Fund - Dividend
UTI Dividend Yield Fund - Growth
UTI MASTER INDEX FUND - Dividend
UTI MASTER INDEX FUND - Growth
UTI Master Value Fund - Dividend
UTI Master Value Fund - Growth
UTI Opportunities Fund - Dividend
UTI Opportunities Fund - Growth
UTI Treasury Advantage Fund - Institutional - Bonus
UTI Treasury Advantage Fund - Institutional - Daily Dividend
UTI Treasury Advantage Fund - Institutional - Growth
UTI Treasury Advantage Fund - Institutional - Monthly Dividend
UTI Treasury Advantage Fund - Institutional - Quarterly Dividend
UTI Treasury Advantage Fund - Institutional - Weekly Dividend
UTI Wealth Builder Fund - Series II - Retail - Dividend
UTI Wealth Builder Fund - Series II - Retail - Growth
Product Risk Rating
2
2
2
5
5
2
4
5
2
2
5
5
5
5
5
5
5
2
2
2
2
2
5
5
5
5
5
5
5
5
2
2
2
2
2
2
5
5
Page 9
Commission from
Third Party Product Providers
Load & Distributor Remuneration Structure
Effective from 1st October 2013 - 31st October 2013
Brokerage
Applicable to T15 & B15 Cities
Applicable Only to B15 Cities
Scheme Name Plan
Exit Load / CDSC
Trail - First Year
Trail - Second Year
Trail - Third Year
Trail - Fourth Year Onwards
Annual Paid Monthly
Annual Paid Monthly
Annual Paid Monthly
Annual Paid Monthly
Sales Incentive
Special Sales Incentive
BNP Paribas Equity Fund, BNP Paribas Mid Cap Fund and BNP Paribas Dividend Yield Fund
For All Application Sizes
1.50%
0.50% p.a.
1.25% p.a.
0.75% p.a.
0.50% p.a.
1.50%
1% if redeemed/ switched out within 1 year from the date of subscription/ switch in, Nil if redeemed/
switched out after 1 year from the date of subscription/ switch in
5.50%
Nil
Nil
Nil
0.50% p.a.
Nil
Nil
1.75%
Nil
0.50% p.a.
0.50% p.a.
0.50% p.a.
Nil
CDSC: 1.00% if redeemed / switched-out within 1 year
0.10%
0.50% p.a.
0.80% p.a.
0.80% p.a.
0.80% p.a.
Nil
Nil
1.40%
Nil
0.85% p.a.
0.50% p.a.
0.50% p.a.
Nil
0.75% if redeemed/ switched out within 6 months from the date of subscription/ switch in, Nil if redeemed/
switched out after 6 months from the date of subscription/ switch in
1.25%
Nil
0.85% p.a.
0.30% p.a.
0.30% p.a.
Nil
1% if redeemed/ switched out upto 1 year from the date of subscription /swtich in , Nil if redeemed/
switched out after 1 year from the date of subscription/ switch in.
0.75%
0.30% p.a.*
0.15% p.a.
0.15% p.a.
0.15% p.a.
Nil
0.50% if redeemed/ switched out upto 3 Months from the date of subscription/ switch in, Nil if redeemed/
switched out after 3 Months from the date of subscription/ switch in
1.50%
Nil
0.50% p.a.
0.50% p.a.
0.50% p.a.
Nil
1.00% if redeemed or switched-out upto 12 months from the date of allotment of units. 0.50%, if
redeemed or switched-out after completion of 12 months upto 18
months from the date of allotment of units. Nil, if redeemed or switched-out after 18 months from the date
of allotment of units.
Nil
0.75% p.a.
0.75% p.a.
0.75% p.a.
0.75% p.a.
Nil
Nil
Nil
0.05% p.a.
0.05% p.a.
0.05% p.a.
0.05% p.a.
Nil
Nil
BNP Paribas Tax Advantage Plan (ELSS)
For All Application Sizes
BNP Paribas Monthly Income Plan
For All Application Sizes
BNP Paribas Money Plus Fund
For All Application Sizes
BNP Paribas Flexi Debt Fund
For All Application Sizes
BNP Paribas Bond Fund
For All Application Sizes
BNP Paribas Short Term Income Fund
For All Application Sizes
BNP Paribas Income & Gold Fund
For All Application Sizes
BNP Paribas Government Securities Fund
For All Application Sizes
BNP Paribas Overnight Fund
For All Application Sizes
Brokerage rates are inclusive of all taxes. * payable 7th month onwards.
The above mentioned brokerage will be payable only to distributors empanellend with us and applications logged under their registered ARN's with us
*”Any data / Information / brokerage structure set forth above are subject to change as per any change in any applicable Laws / Regulations / Rules / Guidelines / Directives & Enactment’s any Regulatory or Administrative or Governmental or such other Authority (including Securities and Exchange Board of India) and BNP Paribas Investment Management (India) Pvt Ltd, without being exposed to any type of liability or held for any type of commitment, reserves the right to change the said data
/ information without any prior intimation, subject to the applicable Law / Regulation / Rules / Guidelines / Directives & Enactment’s.”
No Sales Incentive will be paid for intra-scheme siwtches. In all other switch transactions, the sales incentive will be paid as per above subject to applicable exit loads
Page 11
Load & Distributor Remuneration Structure
Effective from 1st October 2013 - 31st October 2013
Terms and Conditions
1)
The attached brokerage structure is valid for the period 1st October 2013 – 31st
October 2013. However, BNP Paribas Asset Management India Private Limited reserves
the
right
to
change
the
Brokerage
Rates
applicable
–
Upfront
/
Trail
in
the
intermittent period in case of Regulatory Changes / Change in Industry practices in
respect to payment of Brokerage on Funds.
2)
T-15 Refers to Top 15 cities provided by AMFI (updated/revised by AMFI from time to
time).
The
List
Chandigarh,
of
Top
Chennai,
15
cities
as
Hyderabad,
per
AMFI:
Jaipur,
Ahmedabad,
Kanpur,
Kolkata,
Bangalore,
Lucknow,
Baroda,
Mumbai
(Including Thane and Navi Mumbai), New Delhi (Including NCR), Panjim, Pune and
Surat.
3)
4)
B-15 Refers to all cities other than Top 15 cities mentioned above
Upfront brokerage: The upfront brokerage payments are computed on the investment
value and are paid in arrears at the end of each month (unless specified otherwise).
5)
Trail brokerage: The trail amount is calculated on the basis of ‘Daily Average Assets'
on the NAV. This is paid in arrears at the end of each month (unless specified
otherwise).
6)
Recovery of Upfront Brokerage Paid :
Given the changes in the Regulations w.e.f. October 1, 2012, a new Clause of Recovery
of Upfront Brokerage paid to the Distributor is being introduced in the following
manner:
For all funds EXCLUDINGBNP Paribas Short Term Income Fund &BNP Paribas
Money Plus Fund
a)
The Upfront Brokerage paid to a Distributor, if the money for which such upfront
brokerage was paid, will be recovered from the Distributor, if the money is
redeemed
before
the
completion
of
the
specified
Exit
Load
period
in
the
respective fund for such investment.
b)
The Recovery will be made on a pro-rata basis, depending upon the number of days
for which the investment stayed invested in the fund before being redeemed
before the completion of the specified Exit Load period in the respective fund.
i.
No. of days will be considered for the computation of the recoveries
wherever the Exit Loads are mentioned in months – 1 month will be
considered as 30 days, 3 months as 90 days, 6 months as 180 days, 9 months
as 270 days and 1 year as 365 days respectively.
ii.
For redemptions before the Exit Load period, the recovery of the brokerage
will be equal to Upfront Brokerage paid x (No. of days for the Exit Load
period – No. of days the investment has stayed in the funds) / (Exit Load
period in days).
c) The following example explains the same:
For example:
Applicable Upfront Brokerage
: 0.75%.
Investment Value
: Rs. 100,000.
Exit load
: 1%.
Exit load period
: 1 year.
Redemption by the investor
: At the end of 180 days.
Page 12
Load & Distributor Remuneration Structure
Effective from 1st October 2013 - 31st October 2013
Brokerage claw back calculations will be as follows:
· Upfront brokerage paid
: Rs. 750.00 (100,000 x 0.75%)
· Brokerage claw back amount
: Rs. 380.14 (750x((365-180)/365))
d) The Recovery will be made from the Brokerage payable to the Distributor for
the month in which redemption has been made.
For BNP Paribas Short Term Income Fund
a)
The Upfront Brokerage paid to a Distributor, if the money for which such upfront
brokerage was paid, will be recovered from the Distributor, if the money is
redeemed before the completion of 180 days in BNP Paribas Short Term Income
Fund for such investment.
b)
The Recovery will be made on a pro-rata basis, depending upon the number of days
for which the investment stayed invested in the fund before being redeemed
before
the
completion
of
the
specified
180
days
period
from
the
date
of
investment
c)
For redemptions before the 6 month period, the recovery of the brokerage will be
equal to Upfront Brokerage paid x (180 days – No. of days the investment has
stayed in the funds) / (Exit Load period in days).
c) The following example explains the same:
For example:
Applicable Upfront Brokerage
: 0.75%.
Investment Value
: Rs. 100,000.
Claw back period
: 180 days
Redemption by the investor
: At the end of 90 days.
Brokerage claw back calculations will be as follows:
· Upfront brokerage paid
: Rs. 750.00 (100,000 x 0.75%)
· Brokerage claw back amount
: Rs. 375.00 (750x((180-90)/180))
For BNP Paribas Money Plus Fund
a) The Upfront Brokerage paid to a Distributor, if the money for which such upfront brokerage
was paid, will be recovered from the Distributor, if the money is redeemed before the
completion of 30 days in BNP Paribas Money Plus Fund for such investment.
b) The Recovery will be made on a pro-rata basis, depending upon the number of days for
which the investment stayed invested in the fund before being redeemed before the
completion of the specified 30 days period from the date of investment
c) For redemptions before the 30 Day period, the recovery of the brokerage will be equal to
Upfront Brokerage paid x (30 days – No. of days the investment has stayed in the funds) / 30).
c) The following example explains the same:
For example:
Applicable Upfront Brokerage : 0.10 %.
Investment Value : Rs. 1,00,00,000
Claw back period : 30 days
Redemption by the investor : At the end of 15 days.
Brokerage claw back calculations will be as follows:
· Upfront brokerage paid : Rs. 10,000.00 (1,00,00,000 x 0.10%)
· Brokerage claw back amount : Rs. 500.00 (10,000 x((30-15)/30))
d) The Recovery will be made from the Brokerage payable to the Distributor for
the month in which redemption has been made.
Page 13
Load & Distributor Remuneration Structure
Effective from 1st October 2013 - 31st October 2013
e) In case the Brokerage payable to the Distributor is insufficient to cover the
Recovery amount, the Recovery will be tried for three consecutive months. In case
the Recovery is still not possible, a demand notice will be sent to the Distributor
asking him to refund the money to the AMC. In case the Distributor does not pay
the money within 1 month from the date of the receipt of the notice, the AMC will
approach AMFI for the resolution of the same.
f)
The computation of brokerage / claw back done by BNP Paribas Asset Management
India Private Limited shall be considered as final.
a) The Distributor by selling the schemes of BNP Paribas Mutual Fund hereby agrees that
the terms and conditions stated herein have been accepted.
b) The distributors are required to adhere to the code of conduct prescribed by SEBI vide
SEBI circular SEBI/IMD/CIR No. 8/174648 / 2009 dated August 27, 2009 (including
advertisements guidelines) as amended from time to time and guidelines issued by
Association of Mutual Funds in India (AMFI) for distributors from time to time.
c) In terms of SEBI circular no. SEBI/IMD/CIR No. 4/ 168230/09 dated June 30, 2009, the
distributor should disclose all the commissions (in the form of trail commission or any
other mode) payable to them for the different competing schemes of various mutual
funds from amongst which the scheme is being recommended to the investor.
d) The Rules and Regulations of SEBI and AMFI pertaining to brokerage payment to
distributors will also be applicable. Present structure is based on present Total
Expense Ratio (TER) provision stated by SEBI, the same is subject to change incase TER
provision is amended by SEBI.
e) The
provisions
of
relevant
Scheme
Information
Document,
Key
Information
Memorandum and Statement of Additional Information shall be applicable for all the
transactions.
Page 14
Load & Commission Structure
Effective from 1st October 2013 fill further notice of change
Page 15
Load & Commission Structure
Effective from 1st October 2013 fill further notice of change
Page 16
Canara Robeco
LOAD AND BROKERAGE STRUCTURE APPLICABLE
W.E.F. 9th October 2013
Page 17
Canara Robeco
LOAD AND BROKERAGE STRUCTURE APPLICABLE
W.E.F. 9th October 2013
Page 18
Canara Robeco
LOAD AND BROKERAGE STRUCTURE APPLICABLE
W.E.F. 9th October 2013
Page 19
Canara Robeco
LOAD AND BROKERAGE STRUCTURE APPLICABLE
W.E.F. 9th October 2013
Page 20
Brokerage & Incentive Structure for
1st October
January
to 31st
to March
December
2011 2013
Trail Brokerage - Annualized
**Upfront Brokerage
Category
ty
ui
Eq
FO
F
rid
yb
H
ELSS
Upfront
Special Incentive
- Applicable only
in B15
Year 1
Year 2
Year 3
Year 4 Onwards
1.50%
1.75%
0.25%
0.75%
0.75%
0.75%
0.75%
Nil
0.60%
0.60%
0.60%
0.60%
DSPBR MIP Fund
1.75%
1.25%
0.00%
0.75%
0.75%
0.75%
DSPBR Balanced Fund
1.50%
1.75%
0.25%
0.75%
0.75%
0.75%
1.25%
Nil
Nil
Nil
0.60%
Scheme Name
DSPBR Equity Fund
DSPBR Top 100 Equity Fund
DSPBR Opportunities Fund
DSPBR India TIGER Fund
DSPBR Small & Midcap Fund
DSPBR Technology.com Fund
DSPBR NRNE Fund
DSPBR Focus 25 Fund
DSPBR Micro Cap Fund
DSPBR World Gold Fund
DSPBR World Energy Fund
DSPBR World Mining Fund
DSPBR World Agriculture Fund
DSPBR US Flexible Equity Fund
DSPBR Tax Saver Fund
5.00%
**Upfront Brokerage
Scheme Name
Category
DSPBR Bond Fund
DSPBR Government Securities Fund
d
e
om
nI c
xe
Fi
DSPBR Strategic Bond Fund
DSPBR Short Term Fund
DSPBR Income Opportunities Fund
DSPBR Liquidity Fund
DSPBR Treasury Bill Fund
DSPBR Money Manager Fund
Total Upfront
1.75%
0.00%
0.00%
0.75%
0.75%
0.75%
0.50%
0.00%
0.20%
0.50%
0.50%
0.50%
0.40%
0.00%
0.20%
0.50%
0.50%
0.50%
0.50%
0.00%
0.20%
0.50%
0.50%
0.50%
1.25%
Nil
Nil
Nil
0.00%
0.05%
0.25%
0.70%
0.00%
0.05%
0.25%
0.70%
0.50%
0.05%
0.25%
0.60%
0.50%
0.05%
0.25%
0.60%
0.50%
0.05%
0.25%
0.60%
**Upfront Brokerage
Scheme Name
Category
Fixed Income
DSPBR Banking and PSU Debt Fund
Exit Load
Schemes
All Equity & FOF & Hybrid Funds except Micro Cap fund
DSPBR Tax Saver Fund
DSPBR Short term Fund
DSPBR Strategic Bond Fund
DSPBR Government Securities Fund
DSPBR Micro Cap fund
DSPBR Income Opportunities Fund
DSPBR Bond Fund
DSPBR Banking and PSU Debt Fund
All other Fixed Income Funds
Trail Brokerage - Annualized
Year 1
(7-12 Months)
Year 2
Year 3
Year 1
(0-6 Months)
Total Upfront
0.25%
Year 1
(0-3 Months)
Nil
Trail Brokerage - Annualized
Year 1
(4-12 Months)
Year 2
Year 3
0.25%
0.25%
0.25%
Year 4 Onwards
Year 4 Onwards
0.25%
Exit Load
Holding period from date of allotment: <12 months - 1%; >=12 months - Nil
Investments in DSPBR Tax Saver Fund are subject to lock-in period of 36 months from the allotment.
Holding period from date of allotment: < =6 months - .50%; > 6 months - Nil
Holding period from date of allotment: < = 7 calender days - 0.1%; > 7 calendar days - Nil
Holding period from date of allotment: < = 7 calender days - 0.1%; > 7 calendar days - Nil
Holding period from date of allotment: <24 months - 1%; >=24 months - Nil
Holding period from date of allotment: <=9 months - 1%; >9 months - Nil
Holding period from date of allotment: <=12 months - 1%; >12 months - Nil
Holding period from date of allotment: <=3 months - 0.50%; >3 months - Nil
Nil
Page 21
Deutsche Asset Management (India) Pvt. Ltd.
Brokerage Structure
(*With effect from 1st October 2013 to 31st December 2013)
Page 22
Load & Distributor Remuneration Structure
1st October 2013 to 31st October 2013
This Distributor Remuneration Structure has 3 parts – Structure A – the Rack Rate (applicable for investments from all locations), Structure B – the Additional Rewards Structure (applicable for
select funds, applicable for investments from all locations) and Structure C – the Additional Brokerage Structure (applicable for select funds, applicable for investments beyond the Top 15 Cities).
Struct ure – A: Rack Rate Structure
Applicable for investments from Top 15 Cities and Beyond Top 15 Cities
Fund Type, Fund Name , Plan &
Minimum Investment Amount eligible for payment of Brokerage
Upfront
Brokerage
Trail (% p.a.)
1st Year
y
A. Diversified & Sector Equity
Funds
1) Franklin Asian Equity Fund (FAEF)
2) Franklin Build India Fund (FBIF)
3) Franklin India Bluechip Fund (FIBCF)
4) Franklin India Flexi Cap Fund (FIFCF)
5) Franklin India High Growth Companies Fund (FIHGCF)
6) Franklin India Opportunities Fund (FIOF)
7) Franklin India Prima Fund (FIPF)
8) Franklin India Prima Plus (FIPP)
9) Franklin India Smaller Companies Fund (FISCF)
10) Franklin Infotech Fund (FIF)
11) Templeton India Equity Income Fund (TIEIF)
12) Templeton India Growth Fund (TIGF)
B. Index Funds
1) Franklin India Index Fund (FIIF) – NSE Nifty Plan & BSE Sensex Plan
C. Section 80C Funds
1) Franklin India Taxshield (FIT)
2) Templeton India Pension Plan (TIPP)
D. Balanced /yHybrid Funds
1) FT India Balanced Fund (FTIBF)
2) Templeton India Children's Asset Plan (TICAP) – Education Plan & Gift Plan
E. Income / Gilt Funds g(Long Term)
1) Templeton India Income Builder Account (TIIBA) – Plan A
2) Templeton India Income Fund (TIIF)
3) FT India Monthly Income Plan (FTIMIP) – Plan A & B
4) Templeton India Income Opportunities Fund (TIIOF)
5) Templeton India Corporate Bond Opportunities Fund (TICBOF)
6) Templeton India Government Securities Fund (TGSF) – Composite / PF / LT Plan
7) Templeton India Short Term Income Plan (TISTIP) – Retail Plan
F. Short Term Funds
1) Templeton India Government Securities Fund (TGSF) – Treasury Plan
2) Templeton Floating Rate Income Fund (TFIF) – Retail Plan
3) Templeton India Low Duration Fund (TILDF)
4) Templeton India Ultra-short Bond Fund (TIUBF) – Super Institutional Plan
G. Liquid Funds
1) Templeton India Treasury Managem ent Account (TITMA) – Super Institutional Plan
H. Fund of Funds
1) (a) FT Life Stage Fund of Funds (FTLF) – 20s Plan
1) (b) FT Life Stage Fund of Funds (FTLF) – 30s Plan
1) (c) FT Life Stage Fund of Funds (FTLF) – 40s Plan
1) (d) FT Life Stage Fund of Funds (FTLF) – 50s Plan
1) (e) FT Life Stage Fund of Funds (FTLF) – 50s Plus Floating Rate Plan
2) FT Dynamic PE Ratio Fund of Funds (FTDPEF)
I. International Feeder Funds
– FTIF
1) Franklin US Opportunities Fund (FUSOF)
@
*
2nd Year
3rd Year
onwards
0.75%
0.50%
0.50%
0.50%
Nil
0.40%
0.40%
0.40%
4.25%
1.50%
Nil
0.75%
Nil
0.75%
0.75% (L - 1)
0.75%
0.75%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
1.00%
Nil
1.25%
0.75%
1.50%
1.00%
0.50%
Nil
0.60%
Nil
0.00%
Nil
Nil
Nil
0.50%
0.60%
0.50%
0.70% (L - 2 )
Nil
0.50%
0.70%
0.50%
0.60%
0.50%
0.70%
0.70% (L - 3 )
0.50%
0.70%
Nil
Nil
Nil
Nil
0.35%
0.65%
0.20%
0.05%
0.30%
0.65%
0.20%
0.05%
0.30%
0.65%
0.20%
0.05%
Nil
0.05%
0.05%
0.05%
0.50%
0.40%
0.30%
1.25%
1.25%
0.75%
0.375%
0.375%
0.25%
Nil
Nil
0.50%
0.375%
0.375%
0.25%
0.125%
0.25%
0.50%
0.375%
0.375%
0.250%
0.125%
0.25%
0.50%
0.75%
0.50%
0.50%
0.50%
Legends: The symbols L - # in the structure above (# denotes a number from 1 through 3) stand for the legends that are outlined in the table below. Please refer to the
appropriate legend in the table for its description.
L – 1
L – 2
L – 3
Trail commission applicable from beginning of the 4th year from Date of Initial Investment
Trail Applicable from beginning of the 1 9th month from Date of Initial Investment
Trail Applicable from beginning of the 31st month from the Date of Initial Investment
@ Please refer to Note A – Table 1 for the List of Top 15 Cities and applicable Pin Code Ranges for the appropriate Structures.
RECOVERY OF UPFRONT BROKERAGE PAID THROUGH THE STRUCTURE A:
The upfront brokerage paid through this structure will be recovered on a Pro-Rata basis as outlined in Notes B (2) (b) and (3) on Page 3 of this document in
case the investment is redeemed / switched out to another scheme / switched out to the Direct Plan before the end of the Exit Load period by the Investor
or One year from the date of investment, whichever is later.
Page 23
Load & Distributor Remuneration Structure
1st October 2013 to 31st October 2013
Structure – B: Additional Rewards Structure
Applicable for investments from Top 15 Cities and Beyond Top 15 Cities @
Fund Type,
Fund Name
& Plan
A. Diversified & Sector Equity Funds
1) Franklin India Prima Fund (FIPF)
2) Franklin Asian Equity Fund (FAEF)
3) Franklin Build India Fund (FBIF)
4) Franklin India Bluechip Fund (FIBCF)
5) Franklin India Flexi Cap Fund (FIFCF)
6) Franklin India High Growth Companies Fund (FIHGCF)
7) Franklin India Opportunities Fund (FIOF)
8) Franklin India Prima Plus (FIPP)
9) Franklin India Smaller Companies Fund (FISCF)
10) Franklin Infotech Fund (FIF)
11) Templeton India Equity Income Fund (TIEIF)
12) Templeton India Growth Fund (TIGF)
B. Section 80C Funds
1) Templeton India Pension Plan (TIPP)
C. Income / Gilt Funds (Long Term)
1) Templeton India Income Bu ilder Account (TIIBA) – Plan A
2) FT India Monthly Income Plan (FTIMIP) – Plan A & B
3) Templeton India Income Opportunities Fund (TIIOF)
4) Templeton India Corporate Bond Oppo rtunities Fund (TICBOF)
5) Templeton India Govern ment Securities Fund (TGSF) – Composite / PF / Long-Term Plans
6) Templeton India Short Term Income Plan (TISTIP) – Retail Plan
D. Short Term Funds
1) Templeton India Low Duration Fund (TILDF)
E. Fund of Funds
1) FT Dynamic PE Ratio Fund of Funds (FTDPEF)
F. International Feeder Funds
– FTIF
1) Franklin US Opportunities Fund (FUSOF)
Additional
Upfront Brokerage
1.00%
0.50%
0.50%
0.25%
0.75%
0.60%
0.75%
0.50%
0.40%
0.10% ^
1.00%
0.50%
@ Please refer to Note A – Table 1 for the List of Top 15 Cities and applicable Pin Code Ranges for the appropriate Structures.
RECOVERY OF UPFRONT BROKERAGE PAID THROUGH THE STRUCTURE B:
The upfront brokerage paid through this structure will be recovered on a Pro-Rata basis as outlined in Notes B (2) (b) and (3) on Page 3 of this document in case the investment is
redeemed / switched out to another scheme / switched out to the Direct Plan before the end of the Exit Load period by the Investor or One year from the date of investment,
whichever is later.
^ The Upfront Brokerage being paid for TILDF will be recovered only if the redemption / switch is made before the end of the Exit Load period by the Investor.
Structure – C: Additional Brokerage Structure for Beyond 15 Cities
Applicable for investments from Beyond Top 15 Cities @ ; Not Applicable for NRI / other eligible Foreign Investors
Fund Type,
Fund Name
& Plan
Additional
Upfront Brokerage
A. Diversified & Sector Equity Funds
1) Franklin India Prima Fund (FIPF)
2) Franklin Asian Equity Fund (FAEF)
3) Franklin Build India Fund (FBIF)
4) Franklin India Bluechip Fund (FIBCF)
5) Franklin India Flexi Cap Fund (FIFCF)
6) Franklin India High Growth Companies Fund (FIHGCF)
7) Franklin India Opportunities Fund (FIOF)
8) Franklin India Prima Plus (FIPP)
9) Franklin India Smaller Companies Fund (FISCF)
10) Franklin Infotech Fund (FIF)
11) Templeton India Equity Income Fund (TIEIF)
12) Templeton India Growth Fund (TIGF)
B. Section 80C Funds
1) Franklin India Taxshield (FIT)
2) Templeton India Pension Plan (TIPP)
C. Balanced /yHybrid Funds
1) FT India Balanced Fund (FTIBF)
2) Templeton India Children's Asset Plan (TICAP)
Education Plan & Gift Plan
D. Income / Gi lt Funds (Long Term)
1) Templeton India Income Bu ilder Account (TIIBA) – Plan A
2) Templeton India Income Opportunities Fund (TIIOF)
3) Templeton India Corporate Bond Op portunities Fund (TICBOF)
4) Templeton India Government Securities Fund (TGSF) – Composite / PF / LT Plan
5) Templeton India Short Term Income Plan (TISTIP) – Retail Plan
E. Fund of Funds
1) FT Dynamic PE Ratio Fund of Funds (FTDPEF)
F. International Feeder Funds
– FTIF
1) Franklin US Opportunities Fund (FUSOF)
1.25%
1.75%
1.50%
0.75%
1.75%
1.50%
0.65%
0.70%
0.75%
0.70%
0.20%
1.25%
1.75%
@ Please refer to Note A – Table 1 for the List of Top 15 Cities and applicable Pin Code Ranges for the appropriate Structures.
RECOVERY OF UPFRONT BROKERAGE / TRAIL PAID THROUGH THE STRUCTURE C:
The upfront brokerage and trail paid through this structure will be recovered fully as outlined in Notes B (2) (d) and (3) on Page 3 of this document in case the investment
is redeemed / switched out to another scheme / switched out to the Direct Plan before the end of ONE YEAR by the Investor from the date of investment.
Page 24
Load & Distributor Remuneration Structure
1st October 2013 to 31st October 2013
Notes:
A. The Table below references the List of the Top 15 cities for which the Structure A and B outlined on Page 1 and 2 respectivel y of this
document will be applicable. In addition to investments from investors in these cities, all Non-Resident Indian (NRI) and other eligible
Foreign Investor Investments will also be included for the Structures A and B.
FT Sales
Region
North
North
New Delhi & Rajasthan
New Delhi & Rajasthan
Jaipur
New Delhi (includes NCR Region)
North
North
North
South
South
South
West & East
West & East
West & East
West & East
West & East
West & East
West & East
Punjab
Uttar Pradesh
Uttar Pradesh
Andhra Pradesh
Karnataka & Kerala
Tamil Nadu
East
Gujarat & M.P.
Gujarat & M.P.
Gujarat & M.P.
Maharashtra ex-Mumbai
Maharashtra ex-Mumbai
Mumbai
Chandigarh
Kanpur
Lucknow
Hyderabad (includes Secunderabad)
Bangalore
Chennai
Kolkata
Ahmedabad
Surat
Vadodara
Panjim (Goa)
Pune
Mumbai (includes Thane and Navi
Mumbai)
FT Sales Cluster
City (part of Top 15 Cities)
Investor Address Pin Code Ranges Applicable for Top 15 Cities
3020xx; 3030xx - 3033xx ; 3035xx - 3039xx; 3216xx; 3222xx; 3636xx
1100xx; 1210xx - 1211xx; 1220xx - 1221xx; 1224xx – 1225xx; 1230xx - 1231xx;
1233xx - 1235xx; 2010xx - 2013 xx; 2032xx; 2451xx - 2453xx
1600xx - 1601xx
2080xx; 2091xx - 2095xx; 2097xx - 2098xx; 2295xx; 2298xx; 2415xx
2260xx – 2261xx; 2270xx - 2273xx
5000xx; 5011xx - 5015xx
5600xx - 5601xx
6000xx - 6001xx
7000xx - 7001xx
3800xx; 3820xx - 3824xx; 3826xx – 3828xx; 3878xx
3941xx - 3947xx; 3950xx
3900xx; 3911xx - 3915xx; 3917xx – 3918xx; 3923xx
4030xx - 4038xx
4103xx - 4105xx; 4110xx; 4121xx-4124xx; 4131xx – 4132xx; 4138xx
4000xx - 4002xx; 4006xx - 4007xx; 4011xx - 4017xx; 4101xx - 4102xx; 4210xx 4216xx
Table 1: List of Top 15 Cities and their applicable Pin Codes
The above Table outlines the List of Top 15 cities released by AMFI as per the criteria outlined in the SEBI circular no. CIR/IMD/DF/21/2012 dated September 13, 2012.
The Brokerage Structure A and B outlined on Pages 1 and 2 will be applicable for all investments sourced from Investors residing in these cities, which fall under the Pin Code Ranges
outlined in the Table 1. In addition, these structures will also be applicable to all Investments made by the Non-Resident Indians (NRIs) and other eligible Foreign Investors.
The Brokerage Structure C outlined on Page 2 will be additionally applicable for all investments sourced from Investors residing in all locations not covered under the Pin Code Ranges
outlined in Table 1 and will not be applicable to investments made by NRIs and other eligible Foreign Investors.
E.g. in the Table above, Jaipur City references the Pin Code Ranges of 3020xx; 3030xx – 3031xx; 3033xx; 3035xx – 3039xx. This means that any Pin Codes that fall under these ranges, viz.
302001 to 302099; 303001 to 303199; 303301 to 303309; 303501 – 303999 will be included for payment of Brokerage as per Brokerage Structures A (Page 1) and B (Page 2). All other
Pin Codes outside the ranges outlined in the Table 1 will be eligible for Brokerage Structures A (Page 1), B (Page 2) and C (Page 2).
B.
General:
1.
The Upfront Brokerage outlined in the table above is applicable for the period July 1 to September 30, 2013. However, Franklin Templeton Asset Management (I) Pvt. Ltd. reserves the right
to change the Brokerage Rates applicable – Upfront / Trail in the intermittent period in case of Regulatory Changes / Change in Industry practices in respect to payment of Brokerage on
Funds.
2.
Recovery of Upfront Brokerage Paid: The recovery of Upfront Brokerage paid to the Distributor will be made in the following circumstances:
a.
The Upfront Brokerage paid to a Distributor will be recovered from the Distributor, if the money for which such upfront brokerage was paid is redeemed / switched out to any other
scheme or the Direct Plans before the completion of the Exit Load period / One Year from the date of Investment (as applicable). The basis for the same will be as outlined in points (b)
and (d) below.
b.
For Structures A and B outlined on Pages 1 and 2 of this document respectively, the Recovery will be made on a pro-rata basis, depending upon the number of days for which the
investment has stayed invested in the fund before being redeemed / switched out to any other scheme or the Direct Plan before the completion of the Exit Load period OR One Year
from the date of investment, whichever is later. The exception for this will be TILDF, where the recovery will be made in case the redemption / switches are made before the
completion of the Exit Load period only.
i. No. of days will be considered for the computation of the recoveries wherever the Exit Loads are mentioned in months – 1 month will be considered as 30 days, 3 months as 90
days, 6 months as 180 days, 9 months as 270 days and 1 year as 365 days respectively
ii
c.
For redemptions before the Exit Load period, the recovery of the brokerage will be equal to Upfront Brokerage paid x (No. of days for the Exit Load period – No. of days the
monies have stayed in the funds) / (No. of days for the Exit Load period).
The following example explains the same:
i. An upfront brokerage of 0.75% is paid on an Equity Fund, where the Exit Load period is 1 year. For an investment of Rs. 100,000/-, a distributor would be paid a sum of Rs. 750/- as
the upfront brokerage
ii. The investor redeems this money exactly after completion of 180 days.
iii. In this case, the recovery will be Rs. 380.14, computed as ((750 * (365 – 180))/365 as per the above formula.
3.
d.
For Structure C outlined on Page 2 of this document (Additional Brokerage Structure applicable for investments Beyond Top 15 Cities), full Recovery of the additional brokerage paid
will be done in case the Investor redeems / switches out to any other Scheme or the Direct Plan the amount before the completion of ONE YEAR from the date of investment,
irrespective of the Exit Load period applicable to the Fund.
e.
The Recovery will be made from the Brokerage payable to the Distributor for the month in which redemption has been made. E.g. If the redemption has been made in the month of
February '13, the recovery will be made from the Brokerage payable for the month of February '13 in March '13.
f.
In case the Brokerage payable to the Distributor is insufficient to cover the Recovery amount, the Recovery will be tried for three consecutive months, including the first month when
the recovery was tried to be affected. In case the Recovery is still not possible, a demand notice through Registered Post A.D. will be sent to the Distributor asking him to refund the
money to the AMC. In case the Distributor does not pay the money within 1 month from the date of the receipt of the notice, the AMC will approach AMFI for the resolution of the
same.
Brokerage payable on Switches
a.
Equity to Equity switches: The upfront brokerage on switches from an Equity to Equity scheme (covered in the section Equity Funds in the brokerage structure above) will be paid in
the following manner:
i. Upfront brokerage will be paid on switches done from one Equity Fund to another Equity Fund only on completion of three years from the date of initial investment. This clause will
be applicable to all original investments made prior to May 1, 2010 or on and after December 1, 2010 that get switched to another Equity Fund after completion of the three year
period.
ii. For all Equity investments made between May 1, 2010 and November 30, 2010, the full brokerage applicable as on the date of the switch will be paid for the fund in which the
investment is being switched-in in case the Exit Load period has been completed for the fund from where the Switch-out is taking place.
Page 25
Load & Distributor Remuneration Structure
1st October 2013 to 31st October 2013
b.
For all other Switches outside Clause 3 (a) above, there will be a Recovery Provision of the Upfront Brokerage as follows:
i. In accordance with the introduction of the Recovery of Upfront Brokerages as outlined in Para 2 above, we will treat a Switch-out as a Redemption and Switch-in as a Fresh
Purchase.
ii. Thus, in case an Investor Switches out money from a Fund before the Exit Load Period, it will be considered as a Redemption and the Upfront Brokerage so paid will be recovered in
lines of Para 2. The Switch-in will be considered as a Fresh Purchase, and the Upfront Brokerage payable on the Switch-in Fund will be paid in entirety to the Distributor.
iii. The recovery will be made in accordance of the Brokerage paid as per Structures A and B (pro-rata recovery) and Structure C (full recovery) as outlined in Para 2 (Recovery of
Upfront Brokerage) above.
4.
Please refer to the Fund's SID / Prospectus / Fund Factsheet for the minimum amounts for investments, exit loads and other statutory and fund related information.
5.
The MIS computation by Franklin Templeton's Transfer Agency will be considered to be final for the purpose of the brokerage computation. BS – Jul-Sep'13: ND – PL2 (Regular) Page 4 of 4
6.
The above brokerage structure and the payout thereof are applicable only till the time the Distributor is empanelled with Franklin Templeton Asset Management (I) Pvt. Ltd.
C.
Statutory / AMFI Driven Regulations
1)
The commission structure communicated by the AMC from time to time is all inclusive i.e. inclusive of any cess, charges, taxes, etc. that may be applicable to the Distributor and eligible for
all the statutory deductions, including Income Tax, Service Tax, etc.
2)
Investments in Franklin India Taxshield and Templeton India Pension Plan are currently eligible for deduction under Section 80C of the Income Tax Act, 1961. Investors should be
requested to consult their tax advisor in this matter.
3)
The rules and regulations of SEBI/AMFI pertaining to brokerage payment to distributors will also be applicable for payment of the above mentioned brokerage structure.
4)
The above brokerage structure is based on the present expense ratio allowed by SEBI. Any change by SEBI in the expense ratio will entail a change in the above brokerage structure.
5)
In case any Assets under your ARN Code are transferred to another Distributor at the request of the Investor, you shall not be entitled to receive any trail commission on such assets.
Further, the payments of Trail Commission on Assets that are transferred from another Distributor to your ARN Code shall be subject to us receiving a "Clearance Certificate" from the
previous Distributor. Please contact your Franklin Templeton Relationship Manager for further details.
6)
The distributors shall adhere to all applicable SEBI Regulations and more particularly SEBI circulars dated June 26, 2002 and August 27, 2009 on the Code of Conduct and other guidelines
issued by AMFI from time to time for mutual fund distributors and ensure that (i) no rebate is given to investors in any form and (ii) splitting of applications for any benefit.
7)
As per the guidelines issued by SEBI (SEBI/IMD/CIR No.4/168230/09 dated June 30, 2009) the upfront commission will be paid by the investor directly to his Distributor / Advisor based on
his assessment of various factors including the service rendered by the Distributor / Advisor. Further, the Distributor / Advisor is required to disclose to customers all the commissions (in
the form of trail commission or any other mode) received by him for different competing schemes of various mutual funds from amongst which the Scheme of Franklin Templeton Mutual
Fund (FTMF) is being recommended to them.
8)
In terms of SEBI / AMFI circulars / guidelines, the Channel Partners shall submit to FTMF all account opening and transaction documentation including Know Your Client, Power of Attorney
(PoA), Account Opening Form, etc. in respect of investors / transactions through Channel Partners. Further, the payment of commission shall be made depending on the documentation
completion status.
9)
SEBI has communicated to all mutual funds / AMCs that any sales, marketing, promotional or other literature / material about the fund house products prepared by its distributors need to
adhere and comply with the guidelines issued by SEBI with respect to the advertisement by Mutual Funds. It has further advised the AMCs to take suitable steps for put in place a
mechanism for proactive oversight in this regard. As a distributor of the schemes of FTMF you may be issuing sales, marketing, promotional or any other literatures / material (such as
leaflets, posters, banners, e-mailers etc.) to your clients, as a means of communicating the features or performance of our offerings / AMC. In view of the aforesaid communication from
SEBI, you are advised to ensure that any such literature / material prepared or issued by you complies with the said SEBI guidelines. In this regard, as required by SEBI, Franklin Templeton
may specify certain guidelines / process as means of proactive oversight on the literature / material issued by the distributors which may include pre-clearance of such literature / material
or periodical / random review of all or any specific literature / material issued or proposed to be issued by you. In the interim, you are further advised to obtain a prior clearance from
Franklin Templeton on any such sales, marketing, promotional or other literature / material proposed to be issued by you. 10) In terms of a SEBI directive, the Distributor / Advisor shall not
take any Irrevocable Power of Attorney from its clients in connection with investments in the schemes of FTMF and that the liability of Distributor / Advisor shall not be limited and depend
upon his failure to discharge his obligations.
11) AMFI has vide circular dated August 27, 2010 introduced Know Your Distributor (KYD) norms for Mutual Fund Distributors with effect from September 1, 2010, which is similar to Know
Your Client (KYC) norms for investors, requiring the distributors to submit identity proof, address, PAN and bank account details with proof. KYD norms are applicable for fresh ARN
registrations and ARN renewals effective September 1, 2010. The existing ARN holders are required to comply with these norms by March 31, 2011, failing which AMCs have been
mandated to suspend payment of commission till the distributors comply with the requirements. All the Distributors / Advisors are encouraged to complete the KYD requirements at the
earliest. The KYD Forms and Process Note are available on AMFI website www.amfiindia.com and our website www.franklintempletonindia.com.
*
The Trail outlined as First Year will be paid from the date of allotment of the units till the end of 1st year from the date of allotment, provided the Assets remain invested in the fund. Similarly, the Second Year Trail will be paid from the beginning of
the second year from the date of allotment of the units till the end of the 2nd year, provided the Assets remain invested in the fund. The Third Year onwards Trail will be paid from the beginning of the 3rd year from the date of the allotment till
such time that the Assets, to which the Trail relates to, remain invested in the fund. The Trail payments will be made in each year as outlined above, provided that SEBI and all other statutory regulations applicable for the Total Expense Ratio and
/ or Brokerage payment from the relevant fund remain unchanged as applicable on the date of the brokerage structure and on the date of actual allotment of units for which the appropriate trail (FYT / SYT / TYT onwards) is payable. The AMC
reserves the right to review these rates and make changes as appropriate in the event of the regulations changing at a later date. The Distributor will be intimated of any changes, to the computation/payment of Trail, as may be required under
SEBI directives/regulations.
Page 26
HDFC Asset Management Company Limited
Statement of Commissions Payable to Distributors
Validity Period: 1st October 2013 to 31st December 2013
B - 15 Cities: Other than Mumbai (including Thane & Navi Mumbai), Delhi (including NCR), Bangalore, Kolkata, Chennai, Pune,
Ahmedabad, Hyderabad, Baroda, Panjim, Jaipur, Lucknow, Surat, Kanpur and Chandigarh
Category
Scheme Name
Plan/Option
Exit Load Period
B- 15
T-15
Additional
Lumpsum
Additional
Upfront
Incentive Trail Commission
Base Upfront
Upfront
Trail Commission
Trail Commission
Commission Upfront (%) @ for Year 1 (%)
Commission (%) Commission for for Year 1 (%)
for Year 2 onwards
(%) @ $
$
APM
Total Year 1 T-15
@$
B15 Cities (%) # $
APM
Total Year 1 B-15
(%) APM $
Remarks
Equity
Equity
Balanced
HDFC Equity Fund, HDFC Top 200 Fund, HDFC Capital
Builder Fund, HDFC Core & Satellite Fund, HDFC Premier
Multi Cap Fund, HDFC Growth Fund, HDFC Mid Cap
Opportunities Fund, HDFC Infrastructure Fund
HDFC Focused Large Cap Fund
Growth & Dividend
1 Year
0.50
0.25
0.75
1.50
0.50
1.75
0.75
3.00
0.75
Growth & Dividend
1 Year
0.50
0.75
0.75
2.00
0.50
1.75
0.75
3.00
0.75
HDFC Prudence Fund
HDFC Childrens Gift Fund - Investment Plan (Equity)
HDFC Childrens Gift Fund - Savings Plan (Debt)
HDFC Balanced Fund
Growth & Dividend
Growth
Growth
Growth & Dividend
1 Year
3 Years
3 Years
1 Year
0.50
0.75
0.75
0.50
0.25
Nil
Nil
0.25
0.75
0.50
0.50
0.75
1.50
1.25
1.25
1.50
0.50
0.75
0.75
0.50
1.75
1.50
1.50
1.75
0.75
0.50
0.50
0.75
3.00
2.75
2.75
3.00
0.75
Please refer Note 1
Please refer Note 1
0.75
HDFC Long Term Advantage Fund
Growth & Dividend
3 Years (Lock In)
3.25
Nil
Nil
3.25
3.25
1.75
Nil
5.00
Nil
HDFC Tax Saver Fund
Growth & Dividend
3 Years (Lock In)
3.25
Nil
Nil
3.25
3.25
1.75
Nil
5.00
Nil
HDFC Index Fund - Nifty Plan
HDFC Index Fund - Sensex Plan
HDFC Index Fund - Sensex Plus Plan
Growth
Growth
Growth
1 Month
1 Month
1 Month
Nil
Nil
Nil
Nil
Nil
Nil
0.15
0.15
0.75
0.15
0.15
0.75
Nil
Nil
Nil
Nil
Nil
Nil
0.15
0.15
0.75
0.15
0.15
0.75
0.20
0.20
0.20
HDFC Arbitrage Fund
Retail - Growth & Dividend
6 Months
0.10
Nil
0.35
0.45
0.10
Nil
0.35
0.45
0.35
HDFC MF Monthly Income Plan - Short Term Plan
HDFC MF Monthly Income Plan - Long Term Plan
Growth & Dividend
Growth & Dividend
1 Year
1 Year
1.15
0.75
Nil
0.75
Nil
0.15
1.15
1.65
1.15
0.75
1.50
1.50
Nil
0.40
2.65
0.50
0.50
Growth & Dividend
1 Year
1.00
Nil
Nil
1.00
1.00
Nil
Nil
1.00
0.75
HDFC Multiple Yield Fund - Plan 2005
Growth & Dividend
15 Months
1.00
Nil
Nil
1.00
1.00
Nil
Nil
1.00
0.75
HDFC Income Fund
HDFC High Interest Fund -Dynamic Plan
Growth & Dividend
Growth & Dividend
6 Months
3 Months
0.50
Nil
Nil
0.25
1.00
1.00
1.50
1.25
0.50
0.25
Nil
Nil
1.00
1.00
1.50
1.25
0.40
0.40
HDFC Short Term Plan
HDFC High Interest Fund - STP
HDFC Short Term Opportunities Fund
HDFC Medium Term Opportunities Fund
HDFC Floating Rate Income Fund - Long Term Plan
Growth & Dividend
Growth & Dividend
Growth & Dividend
Growth & Dividend
Growth & Dividend
9 Months
1 Month
3 Months
1 Year
3 Months
0.60
Nil
Nil
Nil
Nil
0.40
Nil
Nil
Nil
Nil
Nil
0.75
0.10
0.05
0.05
1.00
0.75
0.10
0.05
0.05
1.00
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
0.75
0.10
0.05
0.05
1.00
0.75
0.10
0.05
0.05
0.30
0.20
0.10
0.05
0.05
HDFC Gilt Fund - Short Term Plan
HDFC Gilt Fund - Long Term Plan
Growth & Dividend
Growth & Dividend
Nil
3 Months
Nil
0.20
Nil
Nil
0.40
0.40##
0.40
0.50
Nil
0.20
Nil
Nil
0.40
0.40##
0.40
0.50
0.25
0.30
HDFC Liquid Fund
HDFC Cash Management Fund - Call Plan
HDFC Cash Management Fund - Savings Plan
Growth & Dividend
Growth & Dividend
Growth & Dividend
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
0.05
0.05
0.05
0.05
0.05
0.05
Nil
Nil
Nil
Nil
Nil
Nil
0.05
0.05
0.05
0.05
0.05
0.05
0.05
0.05
0.05
ELSS
Index
Arbitrage
Trail - 0.40%
year 4 Onwards
Trail - 0.40%
year 4 Onwards
Debt
Hybrid - Debt Oriented HDFC Multiple Yield Fund
Income
Short Term Funds
Gilt
Liquid
Ultra Short Term
Wholesale - Growth &
Dividend
HDFC Cash Management Fund - Treasury Advantage Plan Retail - Growth & Dividend
HDFC Floating Rate Income Fund - Short Term Plan
Nil
Nil
Nil
0.05
0.05
Nil
Nil
0.05
0.05
0.05
Nil
Nil
Nil
0.75
0.75
Nil
Nil
0.75
0.75
0.30
1 Year
0.90
Nil
Nil
0.90
0.90
Nil
Nil
0.90
0.40
Trail - 0.50%
Year 4 Onwards
Trail - 0.50%
Year 4 Onwards
Gold
FOF
HDFC Gold Fund
Growth
**Refer KIM for minimum application amount
@ In case the investment is redeemed within the exit load period, as applicable, the proportionate (i.e. for the remaining period of exit load period) of upfront (including addtional upfront/ incentive, if any) paid shall be recovered/clawed back/ set off from the future brokerage payments, at AMC’s sole discretion.(Except HDFC Childrens Gift Fund - clawback applicable if investment redeemed within
12 months)
# In case the investment is redeemed within the exit load period, as applicable, the upfront (including addtional upfront/ incentive, if any) paid shall be recovered/clawed back/ set off fully from the future brokerage payments, at AMC’s sole discretion. (Except HDFC Childrens Gift Fund - clawback applicable if investment redeemed within 12 months)
$ In respect of all purchases (including switch ins) w.e.f 1st January 2013 from Regular Plan (Distributor Plan) to Direct Plan in any scheme, all upfront commissions (including additional upfront/incentive if any) paid shall be recovered/clawed back/set off fully/proportionately from future brokerage payments
For brokerage on SIP/ STP, refer annexure "A" & "B"
APM - Annualised Payable Monthly $ Subject to revision on prospective basis
Note 1 (CGF)
If Age of Asset
More than 10 years
Above 5 years upto 10 years
Above 3 years upto 5 years
Upto 3 years
Trail Fee Year 2 onwards
1.00%
0.75%
0.60%
0.50%
## After three months from the date of allotment
In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the distributors should disclose all the commissions (in the form of trail commission or any other mode) payable to them for the different competing schemes of various mutual funds from amongst which the scheme is being recommended to the investor. Distributors are advised to ensure
compliance of the same.
Page 27
HDFC Asset Management Company Limited
Statement of Commissions Payable to Distributors
Validity Period: 1st July 2013 to 30th September 2013
HDFC Mutual Fund
Brokerage Structure for SIP / STP/ Flex STP/ Swing STP
(October – December ‘13)
The brokerage structure for SIPs and STPs (including Flex STP/ Swing STP):
6 Monthly or 2 Quarterly (SIP/STP/ Flex STP/ Swing STP)
or
6 Daily/Weekly (Only STP/ Flex STP/ Swing STP)
Minimum number of installments
No upper limit $
Maximum number of installments
Upfront/Trail Fee on each SIP/ STP/ Flex STP/ Swing STP installment shall
be payable as per the prevailing rate applicable to normal purchases on the
Brokerage: Throughout the period of SIP/ STP/ Flex STP/ Swing STP date of each SIP/STP/ Flex STP/ Swing STP installments
$ except for CGF where SIP will automatically stand terminated upon the Child attaining 18 years of age
HDFC Asset Management Company Limited (“AMC”) reserves the right to change the brokerage/ incentive without any prior intimation or notification
Additional incentive in the eligible schemes as mentioned below:
HDFC Growth Fund
HDFC Equity Fund
HDFC Top 200 Fund
HDFC Capital Builder Fund
HDFC Core & Satellite Fund
HDFC Premier Multi-Cap Fund
HDFC Mid-Cap Opportunities Fund
HDFC Focused Large Cap Fund
HDFC Infrastructure Fund
HDFC Gold Fund
List of Eligible Schemes
HDFC Balanced Fund
HDFC Prudence Fund
HDFC Long Term Advantage Fund
HDFC TaxSaver
HDFC Children’s Gift Fund
HDFC MF Monthly Income Plan
HDFC Income Fund
HDFC High Interest Fund – Dynamic Plan
HDFC Gilt Fund – Long Term Plan (LTP)
HDFC Multiple Yield Fund (MYF) & MYF 05
1. Additional Incentive (For SIP):
a. Less than 1 year: Nil
b. For >= 1 year but <= 5 years
For every SIP installment (Rs.)
> = Rs. 1,000 & < Rs. 2,000
> = Rs. 2,000 & < Rs. 3,000
> = Rs. 3,000
Additional Incentive per SIP application $
>= 1 year & < 3 years @
>= 3 years & = 5 years
< 5 years
Rs. 50
Rs. 125
Rs. 250
Rs. 100
Rs. 250
Rs. 500
0.30%
0.30% *
Page 28
HDFC Asset Management Company Limited
Statement of Commissions Payable to Distributors
Validity Period: 1st July 2013 to 30th September 2013
HDFC Mutual Fund
* Additional 0.20% for HDFC Growth Fund, HDFC Capital Builder Fund, HDFC Core & Satellite Fund, HDFC Premier Multi-Cap Fund, HDFC Balanced Fund, HDFC Children’s Gift Fund, HDFC Mid-Cap Opportunities Fund, HDFC Focused Large Cap Fund & HDFC Infrastructure Fund
@ Not applicable to HDFC Gold Fund (additional incentive applicable only on SIP of >= 3 yrs)
$ In respect of HDFC Gilt Fund – LTP, the aforesaid incentive table is not applicable. However, flat additional incentive per SIP application @ 0.10% is payable where SIP installment is Rs 1,000 or more for >= 1 year but <= 5 years
c. More than 5 years:
i. For the initial 5 years: As above
ii. For the balance tenure: 0.10% provided that the amount per SIP installment is equal to or more than Rs. 2,000 (Rupees Two Thousand)
d. For the sake of clarity 1 year = 4 quarters = 12 months
2. Additional Incentive (For STP/ Flex STP/ Swing STP):
0.30% ^ on each installment for a minimum of 12 installments (24 where installment amount is less than Rs 1000/-). STP/ Flex STP/ Swing STP between equity-oriented schemes shall not qualify for aforesaid additional incentive.
^ Additional 0.20% for HDFC Growth Fund, HDFC Capital Builder Fund, HDFC Core & Satellite Fund, HDFC Premier Multi-Cap Fund, HDFC Balanced Fund, HDFC Children’s Gift Fund, HDFC Mid-Cap Opportunities Fund, HDFC Focused Large Cap Fund & HDFC Infrastructure Fund for a minimum of 36 installments of Rs 3000/- or more
In respect of HDFC Gold Fund, 0.30% on each installment for a minimum of 36 installments & maximum of 60 installments of Rs 1000/- or more.
In respect of HDFC Gilt Fund – LTP, the aforesaid incentive is not applicable. However, flat additional incentive per STP/ Flex STP/ Swing STP application @ 0.10% is payable where STP/ Flex STP/ Swing STP installment is Rs 1,000 or more for a minimum of 12 installments (24 where installment amount is less than Rs 1000/-).
3. Trail Commission will continue to be the same as per the ongoing structure
General Conditions applicable to SIP/ STP/ Flex STP/ Swing STP:
1. In case the SIP/ STP/ Flex STP/ Swing STP cheques / installments are not realized or if SIP/ STP/ Flex STP is discontinued, the respective incentive will be deducted proportionately from future brokerage payments.
2. In case the investment is redeemed within the exit load period, the proportionate (i.e. for the remaining period of exit load period) of additional incentive shall be recovered/clawed back/ set off from future payments, at AMC’s sole discretion.
3. The additional incentive on SIP/ STP/ Flex STP/ Swing STP shall be paid on a monthly basis on receipt of registration details.
4. In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the distributors should disclose all the commissions (in the form of trail commission or any other mode) payable to them for the different competing schemes of various mutual funds from amongst which the scheme is being recommended to the investor. Please ensure compliance.
SIP incentive in HDFC Short Term Plan
We are pleased to introduce SIP in HDFC Short Term Plan. The details of incentive payable during
October - December '13 is as under:
Additional Incentive per SIP application
For every SIP installment
(Rs.)
> = Rs. 1,000 & < Rs.
2,000
> = Rs. 2,000 & < Rs.
3,000
> = Rs. 3,000
>= 3 years & < 5 years
>= 5 years
50
100
100
200
0.20% *
* with each installment for a maximum period of 5 years
Notes:
1
In case the SIP installments are not realized or if SIP is discontinued, the respective incentive will
be deducted proportionately from future brokerage payments.
2
The transaction charges on SIP shall be paid on a monthly basis on receipt of registration details.
3
In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated
June 30, 2009, the distributors should disclose all the commissions (in the form of trail commission
or any other mode) payable to them for the different competing schemes of various mutual funds
from amongst which the scheme is being recommended to the investor. Please ensure compliance.
Page 29
HDFC Asset Management Company Limited
Statement of Commissions Payable to Distributors
Validity Period: 1st July 2013 to 30th September 2013
HDFC Mutual Fund
SIP Incentive in HDFC Cash Management Fund – Treasury Advantage Plan
The following marketing incentive will be applicable for fresh SIP in the captioned scheme during the quarter
October - December '13 as under:
Application amount per installment (Rs)
>= 2000
36 - 59 months
>= 60
months
100
150
Notes:
In case the SIP installments are not realized or if SIP is discontinued, the respective incentive will be deducted
proportionately from future brokerage payments.
The transaction charges on SIP shall be paid on a monthly basis on receipt of registration details.
In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the
distributors should disclose all the commissions (in the form of trail commission or any other mode) payable to them
for the different competing schemes of various mutual funds from amongst which the scheme is being recommended
to the investor. Please ensure compliance.
1
2
3
HDFC Mutual Fund
Special Incentive Scheme
October - December ‘13
1.
2.
SIP Top UP: Rs 100 per valid application
SIP/ STP/ Flex STP registered on www.hdfcfund.com or platform of Stock Exchanges/ Distributors: Rs 100 per valid
application of Rs 1000 or more for minimum of 12 installments
Notes:
1.
The special incentive shall be paid on a monthly basis subject to receipt of registration details
2.
In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the
distributors should disclose all the commissions (in the form of trail commission or any other mode) payable to them for the
different competing schemes of various mutual funds from amongst which the scheme is being recommended to the investor.
Please ensure compliance.
Page 30
HSBC MUTUAL FUND - SCHEME MASTER
AMC Scheme
Sub Fund
Code code
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
O
OEFD
OEFG
ODFD
ODFG
OAIFD
OAIFG
OEOID
OEOIG
OMED
OMEG
OSCFD
OSCFG
OUOFD
OUOFG
OTSED
OTSEG
OEMFD
OEMFG
OBFD
OBFG
OMIPRG
OMIPRM
OMIPRQ
OMIPSG
OMIPSM
OMIPSQ
OISD
OISG
OISDW
OIID
OIIG
OGSD
OGSWD
OGSG
OFDIFD
OFDIG
OFDIHD
OFDIMD
OFDIQD
OFLIFD
OFLIG
OFLIMD
OFLIWD
OLPIDD
OLPIG
OLPIMD
OLPIWD
OCAPDD
OCAPG
OCAPMD
OCAPWD
HEF
HEF
HDF
HDF
HPTF
HPTF
HIOF
HIOF
HMEF
HMEF
HSCF
HSCF
HUOF
HUOF
HTSF
HTSF
HEMF
HEMF
HBF
HBF
HMIPR
HMIPR
HMIPR
HMIPS
HMIPS
HMIPS
HIF-STP
HIF-STP
HIF-STP
HIF-IP
HIF-IP
HGF
HGF
HGF
HFDF
HFDF
HFDF
HFDF
HFDF
HFR-LT
HFR-LT
HFR-LT
HFR-LT
HUSBF
HUSBF
HUSBF
HUSBF
HCF
HCF
HCF
HCF
Scheme Name
HSBC Equity Fund - Dividend
HSBC Equity Fund - Growth
HSBC Dynamic Fund- Dividend
HSBC Dynamic Fund- Growth
HSBC Progressive Themes fund - Div
HSBC Progressive Themes fund - Growth
HSBC India Opportunities Fund - Dividend
HSBC India Opportunities Fund - Growth
HSBC Midcap Equity Fund - Div
HSBC Midcap Equity Fund - Growth
HSBC Small Cap Fund - Dividend
HSBC Small Cap Fund - Growth
HSBC Unique Opportunities Fund - Div
HSBC Unique Opportunities Fund - Growth
HSBC Tax Saver Equity Fund - Div
HSBC Tax Saver Equity Fund - Growth
HSBC Emerging Market Fund Dividend
HSBC Emerging Market Fund Growth
HSBC Brazil Fund Dividend
HSBC Brazil Fund Growth
HSBC MIP-Regular Plan-Growth
HSBC MIP-Regular Plan-Monthly Div
HSBC MIP-Regular Plan-Quarterly Div
HSBC MIP-Savings Plan-Growth
HSBC MIP-Savings Plan-Monthly Div
HSBC MIP-Savings Plan-Quarterly Div
HSBC Income Fund - STP - Dividend
HSBC Income Fund - STP - Growth
HSBC Income Fund - STP - Weekly Div
HSBC Income Fund - IP - Dividend
HSBC Income Fund - IP - Growth
HSBC Gilt Fund - Monthly Dividend
HSBC Gilt Fund – Weekly Dividend
HSBC Gilt Fund - Growth
HSBC Flexi Debt Fund - Fortnightly Div
HSBC Flexi Debt Fund - Growth
HSBC Flexi Debt - Half-yearly Div
HSBC Flexi Debt Fund - Monthly Div
HSBC Flexi Debt - Qtly Div
HSBC Floating Rate - LT - Fortnightly Div.
HSBC Floating Rate - LT- Growth
HSBC Floating Rate - LT- Monthly Div.
HSBC Floating Rate - LT - Weekly Div.
HSBC Ultra ST Bond Fund - Daily Div
HSBC Ultra ST Bond Fund - Growth
HSBC Ultra ST Bond Fund - Monthly Div
HSBC Ultra ST Bond Fund - Weekly Div
HSBC Cash Fund - Daily Div
HSBC Cash Fund - Growth
HSBC Cash Fund - MonthlyDiv
HSBC Cash Fund - Weekly Div
Option
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Dividend
Growth
Growth
Dividend
Dividend
Growth
Dividend
Dividend
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Plan
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Regular Plan
Regular Plan
Regular Plan
Savings Plan
Savings Plan
Savings Plan
Short Term Plan
Short Term Plan
Short Term Plan
Investment Plan
Investment Plan
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Long Term Plan
Long Term Plan
Long Term Plan
Long Term Plan
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Not Applicable
Fund
Type
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Equity
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Debt
Liquid
Liquid
Liquid
Liquid
Min
Sales Additional
Investment Exit Load
Charge Incentive
Amount
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
500.00
500.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
25,000.00
10,000.00
10,000.00
25,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
10,000.00
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
1.00%
1.00%
1.25%
1.25%
2.00%
2.00%
1.00%
1.00%
1.00%
1.00%
1.00%
1.00%
1.00%
1.00%
5.00%
5.00%
0.50%
0.50%
0.50%
0.50%
1.90%
1.90%
1.90%
1.90%
1.90%
1.90%
0.85%
0.85%
0.85%
1.60%
1.60%
Nil
Nil
Nil
1.45%
1.45%
1.45%
1.45%
1.45%
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
-
Year 1
Year 2
Year 3
Onwards
0.50%
0.50%
0.25%
0.25%
Nil
Nil
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
Nil
Nil
0.75%
0.75%
0.75%
0.75%
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
Nil
0.30%
0.30%
0.30%
Nil
Nil
Nil
Nil
Nil
0.10%
0.10%
0.10%
0.10%
0.15%
0.15%
0.15%
0.15%
0.05%
0.05%
0.05%
0.05%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
Nil
Nil
0.60%
0.60%
0.60%
0.60%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
0.30%
0.30%
0.30%
0.75%
0.75%
0.35%
0.35%
0.35%
0.75%
0.75%
0.75%
0.75%
0.75%
0.10%
0.10%
0.10%
0.10%
0.15%
0.15%
0.15%
0.15%
0.05%
0.05%
0.05%
0.05%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
0.75%
Nil
Nil
0.60%
0.60%
0.60%
0.60%
0.60%
0.60%
0.60%
0.60%
0.60%
0.60%
0.30%
0.30%
0.30%
0.75%
0.75%
0.35%
0.35%
0.35%
0.75%
0.75%
0.75%
0.75%
0.75%
0.10%
0.10%
0.10%
0.10%
0.15%
0.15%
0.15%
0.15%
0.05%
0.05%
0.05%
0.05%
All annualised brokerage/sales charge indicated above is on a gross basis and is inclusive of statutory levies. The same will be paid on a monthly basis.
Sales charge indicated above is with Pro-rata clawback. [ if redeemed within <3 Months: 90%, >3<6 Months: 60%, >6<9 Months: 45%, >9<12 Months: 15%.]
In respect of all purchases (including switch-ins) w.e.f 1st January 2013 & subsequently switched from Regular/Normal Plan (Distributor Plan) to Direct Plan in any scheme, all upfront commissions (including additional
upfront/incentive if any paid) shall be recovered/clawed back/set-off fully/proportionately, as applicable from future brokerage payments.
No sales charge is payable for switch transactions between one equity scheme to another.
Page 31
ICICI Prudential Mutual Fund - Load and Marketing Incentive Structure
Applicable from October 1, 2013 to December 31, 2013
ICICI Prudential Mutual Fund - Load and Brokerage Paid in Advance Structure - Applicable from October 1, 2013 to December 31, 2013
Across all cities T 15
SCB (ARN-1209)
Fund Name
Category
Equity & ELSS
Exit Load for lumpsum purchase
ICICI Prudential Tax Plan (Trail 4th year onwards) - 0.50%
3 Years Lock In, Nil after 3 years
ICICI Prudential Child Care Plan - Gift
<=3 years - 1%, >3 years - Nil
ICICI Prudential Mid Cap Fund (erstwhile Emerging STAR Fund ), Target Return
<=1 Year - 1%, >1 Year - Nil
Fund, Top 200.
Additional payout for B 15 cities
Additional Brokerage Paid in Advance
0.00%
0.60%
1.75%
1.20%
1.20%
0.40%
0.60%
1.20%
0.40%
0.60%
1.20%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Infrastructure
<=1 Year - 1%, >1 Year - Nil
1.20%
0.40%
0.60%
1.20%
0.40%
0.60%
1.20%
ICICI Prudential Balanced
<=1 Year - 1%, >1 Year - Nil
1.20%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Dynamic
<=1 Year - 1%, >1 Year - Nil
1.20%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Discovery fund
<=1 Year - 1%, >1 Year - Nil
1.20%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential US Bluechip Fund
<= 3 months - 3%, >3 months and <= 12
months - 1%, >12 months - Nil
1.25%
0.40%
0.60%
1.20%
0.40%
0.60%
1.20%
ICICI Prudential Equity - Volatility Advantage Fund
<= 18 months - 1%, >18 months - Nil
1.70%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Top 100
<= 18 months - 1%, >18 months - Nil
1.70%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Technology
ICICI Prudential Banking & Financial Services
ICICI Prudential FMCG
<=1 Year - 1%, >1 Year - Nil
<=1 Year - 1%, >1 Year - Nil
<=1 Year - 1%, >1 Year - Nil
1.20%
1.20%
1.20%
0.40%
0.40%
0.40%
0.60%
0.60%
0.60%
1.20%
1.20%
1.20%
0.40%
0.40%
0.40%
0.60%
0.60%
0.60%
0
ICICI Prudential Global Stable Equity
For redemption/switch-out of units within 3
months (including the last day of the third
month) from the date of allotment - 3% of
the applicable NAV For redemption/switchout of units after 3 months but before 18
months from the date of allotment - 1% of
the applicable NAV For redemption/switchout of units after 18 months from the date of
allotment - Nil
1.50%
0.40%
0.60%
1.20%
0.40%
0.60%
1.40%
ICICI Prudential Index Fund-Retail
<=7 days - 0.25%, >7 days - Nil
0.00%
0.40%
0.40%
0.00%
0.40%
0.40%
ICICI Prudential Indo Asia Retail
<=1 Year - 1%, >1 Year - Nil
0.00%
0.50%
0.50%
0.00%
0.50%
0.50%
ICICI Prudential Exports & Services Oriented Fund
<=1 Year - 1%, >1 Year - Nil
0.00%
0.50%
0.50%
0.00%
0.50%
0.50%
ICICI Prudential Nifty Junior Index Fund
<=1 Year - 1%, >1 Year - Nil
0.75%
0.00%
0.60%
0.75%
0.00%
0.60%
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
0.00%
0.50%
0.50%
0.00%
0.50%
0.50%
Advisor Series - Moderate Plan
0.00%
0.00%
0.50%
0.00%
0.00%
0.50%
Advisor Series - Cautious Plan
1.50%
0.00%
0.50%
1.50%
0.00%
0.50%
Fund Name
Exit Load for lumpsum purchase
Advisor Series - Aggressive Plan
<=1 Year - 1%, >1 Year - Nil
Nil
0
Brokerage Paid in Advance
Nil
0.00%
0.30%
0.30%
0.00%
0.30%
0.30%
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
ICICI Prudential Monthly Income Plan
<=1 year - 1.00%, >1 year - Nil
1.25%
0.00%
0.50%
1.25%
0.00%
0.50%
1.55%
ICICI Prudential MIP 25
<=15 months - 1%, >15 months - Nil
1.75%
0.00%
0.50%
1.25%
0.00%
0.50%
1.65%
ICICI Prudential MIP 5
Upto 6 Months - 1%, > 6 Months - Nil
1.00%
1.6% (7th month onwards)
0.75%
1.00%
1.6% (7th month onwards)
0.75%
ICICI Prudential Child Care Plan - Study
<= 3 Yrs - 1%, > 3 yrs but before the
beneficiary child attains the age of 18 - Nil
0.50%
0.30%
0.30%
0.50%
0.30%
0.30%
Fund Name
Exit Load for lumpsum purchase
Fund Name
Nil
Exit Load for lumpsum purchase
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
ICICI Prudential Income Plan
Upto 1 year - 1.00%, > 1 year - Nil
1.40%
0.00%
0.50%
1.40%
0.00%
0.50%
Nil
ICICI Prudential Regular Savings Fund
<=15 months - 2.00%, >15 Months - Nil
1.45%
0.00%
0.50% (16th month onwards)
1.45%
Nil
0.50% (16th month onwards)
0.50%
ICICI Prudential Regular Gold Savings Fund
<=15 months - 2.00%, >15 Months - Nil
1.40%
0.00%
0.40%
1.40%
0.00%
0.40%
ICICI Prudential Short Term Gilt Fund
Nil
0.00%
0.40%
0.40%
0.00%
0.40%
0.40%
ICICI Prudential Long Term Gilt Fund
Nil
0.00%
1.00%
0.55%
0.00%
1.00%
0.55%
ICICI Prudential Gilt Fund - Treasury Plan - PF Option
Upto 6 Months from allotment - 0.50% of
applicable NAV, more than 6 Months - Nil
0.00%
0.40%
0.40%
0.00%
0.40%
0.40%
ICICI Prudential Gilt Fund - Investment Plan - PF Option
<=1 year - 1.00%, >1 year - Nil
0.15%
0.00%
0.15%
0.15%
0.00%
0.15%
ICICI Prudential Long Term Plan
Upto 3 months - 0.50%, >3 months - Nil
0.025%
Nil
Nil
0.025%
Nil
Nil
ICICI Prudential Dynamic Bond Fund
Upto 6 Month from allotment - 0.50% of
applicable NAV, more than 6 Month - Nil
0.75%
0.00%
0.50%
0.75%
0.00%
0.50%
ICICI Prudential Blended Blan B
Upto 1 Month from allotment - 0.25% of
applicable NAV, more than 1 Month - Nil
0.00%
0.10%
0.10%
0.00%
0.10%
0.10%
(trail paid in advance)
Corporate Bond Fund Plan
Category
Fund Name
<= 12 months - 3%, > 12 months and <=
24 months - 2%, > 24 months and <= 30
months - 1%, > 30 months - Nil
Exit Load for lumpsum purchase
2.00%
0.00%
0.50% (31st month onwards)
2.00%
0.00%
0.50% (31st month onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
0.25%
0.00%
0.25%
0.25%
0.00%
0.25%
ICICI Prudential Income Opportunities Fund
Upto 1 year - 1.00%, > 1 year - Nil
ICICI Prudential Short Term Plan
Upto 6 months - 0.50%, > 6 months - Nil
0.60%
0.00%
0.50%
0.60%
0.00%
0.50%
ICICI Prudential Ultra Short Term Plan (wef 4th Oct'13)
Upto 1 month - 0.25%, > 1 month - Nil
0.075%
0.75% (2nd month onwards)
0.30%
0.075%
0.75% (2nd month onwards)
0.30%
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
0.00%
0.40%
0.30%
0.00%
0.40%
0.30%
Fund Name
Category
ICICI Prudential Equity - Arbitrage Fund
ICICI Prudential Blended Plan A
Exit Load for lumpsum purchase
<= 3 months - 0.50%, > 3 months - Nil
0.00%
0.40%
0.30%
0.00%
0.40%
0.30%
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
Brokerage Paid in Advance
Trail (1st Year)
Trail (2nd Year onwards)
0.00%
0.075%
0.00%
0.00%
0.075%
0.00%
0.00%
0.00%
0.00%
0.00%
0.05%
0.70%
0.35%
0.075%
0.05%
0.35%
0.15%
0.05%
0.00%
0.00%
0.00%
0.00%
0.05%
0.70%
0.35%
0.075%
0.05%
0.35%
0.15%
0.05%
<= 3 months - 0.50%, > 3 months - Nil
Fund Name
Category
Exit Load for lumpsum purchase
ICICI Prudential Liquid Plan
ICICI Prudential Money Market Fund
Liquid
Trail 2nd yr onwards
Nil
0.40%
0.60%
Category
Arbitrage
Trail 1st Yr
3.50%
1.20%
0.40%
Advisor Series - Very Cautious Plan
Debt Short Term
BPA
0.00%
0.60%
1.20%
Category
Debt Long Term
Trail 2nd yr onwards
0.00%
0.40%
<=1 Year - 1%, >1 Year - Nil
Advisor Series - Very Aggressive Plan
Hybrid
Trail 1st Yr
ICICI Prudential Focused Bluechip Equity Fund
Category
Fund of Funds
Across all cities B 15
BPA
3.50%
1.20%
ICICI Prudential Floating Rate Plan < 5crs
ICICI Prudential Floating Rate Plan => 5crs
ICICI Prudential Flexible Income Plan
Nil
Brokerage Paid in Advance
Nil
Brokerage Paid in Advance
Nil
Brokerage Paid in Advance
Nil
Brokerage Paid in Advance
Nil
Note
Equity:SIP-STP Applications of Rs. 2000/- and above in Equity schemes except Index Plan, Tax Plan, Service Industries Fund, Indo Asia Fund and Nifty Junior Index Fund - Marketing incentive would be 0.75% & trail (1st yr onwards) brokerage would be 0.50%.
SIP-STP Applications of less than Rs. 2000/- in Equity schemes except Index Plan, Tax Plan, Service Industries Fund, Indo Asia Fund and Nifty Junior Index Fund - Nil Marketing incentive, only trail (1st yr onwards) brokerage would be of 0.50%.
SIP-STP Applications in Index Plan, Tax Plan, Service Industries Fund, Indo Asia Fund & Nifty Junior Index Fund - Marketing Incentive and trail brokerage would be same as normal purchase application.
Other than Equity:SIP/ STP : - Marketing Incentive and trail brokerage would be same as normal purchase application.
For all Switches - Brokerage in advance and / or Trail brokerage would be as normal purchase application (excluding switch between plans / options)
Brokerage paid in advance is paid in advance for the entire stated period. All brokerage excluding trail brokerage and B 15 brokerage, is subject to proportionate claw back incase of outflows (Redemption, Switch (including between plans / options), Systematic withdrawal plan) with in the stated period from the date of investments. Stated period for All Equity, Balanced fund, MIP, Debt funds
with upfront payouts, FOF excluding very cautious plan is 1 year, MIP5 & Short Term plan is 6 months, MIP 25, Regular Gold Savings Fund & Regular savings fund is 15 months, Top 100, VAF & Global Stable equity is 18 months, Corporate bond fund is 30 months, Dynamic Bond Fund is 9 months, Ultra Short Term Plan is 1 month.
“B – 15” cities are cities other than Mumbai (including Thane & Navi Mumbai), Delhi (including NCR), Bangalore, Kolkata, Chennai, Pune, Ahmedabad, Hyderabad (including Secundrabad), Baroda, Panajim, Jaipur, Lucknow, Surat, Kanpur and Chandigarh collectively referred to as “T – 15” cities. NRI business shall also considered as T 15 business
The additional payout paid for B-15 will be completely clawed back / recovered from future brokerage payments in case the investment is redeemed / Switched Out / Systematically Transferred within 1 year from date of investment.
Disclaimer: The Brokerage/Incentive structure mentioned hereinabove is solely payable to AMFI/NISM certified distributors of ICICI Prudential Asset Management Company Ltd. (AMC) and can be changed by the AMC at its sole discretion without any prior intimation or notification. The AMC shall not be responsible for any losses incurred by any one due to change in the Brokerage/Incentive
structure. All Distributors should abide by the code of conduct and rules/regulations laid down by SEBI and AMFI. Also, it is specifically mentioned that the Distributors will neither pass on or rebate Brokerage/Incentive back to investors nor tempt them with rebate/gifts. The AMC will take disciplinary action against any Distributor who is found violating the rules, regulations and Code of
conduct. 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 distributor. The distributor shall disclose all commissions (in the form of trail commission or any other mode) payable to them for the different competing Schemes of various Mutual Funds from
amongst which the Scheme is being recommended to the investor.
Mutual Fund investments are subject to market risks, read all scheme related documents carefully.
Page 32
Brokerage Structure
with effect from 1st October 2013 till further notice
T15 & B15
Scheme Detail
Amount /
Time Slab /
Trxn. Type
Upfront
Brokerage
1st Year Trail
2nd Year Onwards Trail
Additional Market
Expansion
(B15)
Scheme Wise
Clawback if
Redeemed / Switched
Exit Load
Equity Fund
IDFC - India GDP Growth Fund
IDFC SS 50-50 Equit Fund
Any Amount
0.00%
0.50%
0.50%
NIL
IDFC Classic Equity Fund
Any Amount
0.50%
0.50%
0.50%
Upfront : 1.00%
Trail : 1st year - 0.00%
IDFC Equity Fund
Any Amount
0.00%
0.50%
0.50%
NIL
1% for 365 days
18 months
2% for 18 Months
1% for 365 days
IDFC Imperial Equity Fund
Any Amount
0.50%
0.50%
0.50%
Upfront : 1.00%
Trail : 1st year - 0.00%
12 months
1% for 365 days
IDFC Infrastructure Fund
Any Amount
1.00%
0.50%
0.50%
Upfront : 1.00%
Trail : 1st year - 0.00%
12 months
1% for 365 days
IDFC Sterling Equity Fund
Any Amount
1.00%
0.50%
0.50%
Upfront : 1.00%
Trail : 1st year - 0.00%
18 months
2% for 18 Months
IDFC- Premier Equity Fund
Any Amount
0.50%
0.50%
0.50%
Upfront : 1.00%
Trail : 1st year - 0.00%
12 Months
1% for 365 days
ELSS
IDFC Tax Advantage (ELSS) Fund
Any Amount
4.50%
0.00%
IDFC Asset Allocation Fund -FOFAggressive Plan
IDFC Asset Allocation Fund - FOF
-Moderate Plan
IDFC Asset Allocation Fund -FOFConservative Plan
IDFC Monthly Income Plan
Any Amount
0.00%
1.25%
Any Amount
1.75%
0.00%
IDFC Nifty Fund
Any Amount
0.00%
0.10%
IDFC Banking Debt Fund
Any Amount
0.00%
IDFC Cash fund
Any Amount
IDFC Money Manager Fund
-Investment Plan
Any Amount
IDFC Money Manager Fund-Treasury
Plan
IDFC Ultra Short Term Fund
2nd year - 0.00% ,
3rd year - 0.00% ,
4th year onwards - 0.50%
Hybrid fund
0.50%
Upfront : 0.50%
Trail : 1st year - 0.00%
NIL
NIL
1.5% for 18 months
0.50%
Upfront : 0.75%
Trail : 1st year - 0.00%
0.10%
NIL
1% for 7 days
0.10%
0.10%
NIL
0.15% for 7 days
0.00%
0.05%
0.05%
NIL
NIL
0.00%
0.20%
0.10%
NIL
0.25% for 1 Month
Any Amount
0.00%
0.50%
0.40%
NIL
NIL
Any Amount
0.00%
0.10%
0.10%
NIL
NIL
0.40%
NIL
12 Months
1% for 365 days
Index fund
Money Market fund
IDFC Super Saver Income Fund - Short
Term Plan
Upto 5 Crores
0.00%
Short term Debt fund
0.50%
IDFC Super Saver Income Fund - Short
Term Plan
Any Amount
> 5 Crores
0.00%
0.25%
0.25%
NIL
IDFC Super Saver Income FundMedium Term Plan
Upto 10
Crores
0.60%
0.00%
0.40%
NIL
6 months
0.5% For 3 months
upto 21-Apr-13,
0.5% for 1 month
from 22-Apr-13
0.5% For 3 months
upto 21-Apr-13,
0.5% for 1 month
from 22-Apr-13
0.60% for 6 months
IDFC Super Saver Income FundMedium Term Plan
Any Amount
> 10 Crores
0.00%
0.60%
0.40%
NIL
6 months
0.60% for 6 months
IDFC All Seasons Bond Fund
Any Amount
0.00%
Long term debt fund
0.10%
0.10%
NIL
1% for 365 days
IDFC Dynamic Bond Fund
Upto 5 Crores
0.00%
0.75%
0.50%
NIL
0.5% For 3 months
IDFC Dynamic Bond Fund
Any Amount
> 5 Crores
0.00%
0.25%
0.25%
NIL
0.5% For 3 months
IDFC Super Saver Income Fund Investment Plan
Any Amount
1.25%
0.00%
0.50%
NIL
IDFC Government Securities Fund Investment Plan
Upto 5 Crores
0.00%
0.75%
0.50%
NIL
NIL
IDFC Government Securities Fund Investment Plan
Any Amount
> 5 Crores
0.00%
0.25%
0.25%
NIL
NIL
IDFC Government Securities Fund Short Term Plan
Any Amount
0.00%
0.10%
0.10%
NIL
IDFC Government Securities
Fund-Provident FundPlan
Upto 5 Crores
1.00%
0.00%
0.50%
NIL
IDFC Government Securities
Fund-Provident FundPlan
Any Amount
> 5 Crores
0.00%
0.25%
0.25%
NIL
IDFC Arbitrage Fund
Any Amount
0.20%
0.50%
NIL
3 Months
0.25% for 3 Months
IDFC Arbitrage Plus Fund
Any Amount
0.25%
0.50%
NIL
6 Months
0.5% for 6 months
12 Months
1% for 365 days
Gilt Fund
Arbitrage Fund
0 to 3 Months - 0.00% ,
4 to 12 Months - 0.30%
0 to 6 Months - 0.00% ,
7 to 12 Months - 0.25%
NIL
365 days
1% for 365 days
1% for 365 days
Terms & Conditions :
T-15 refers to Top 15 Cities provided by AMFI & B-15 referes to all the cities beyond the Top 15 cities. The list of Top 15 cities are as follows: Ahmedabad, Bangalore, Baroda, Chandigarh,
Chennai, Hyderabad, Jaipur, Kanpur, Kolkata, Lucknow, Mumbai(Including Thane & Navi Mumbai), New Delhi(including NCR), Panjim, Pune and Surat.
Scheme-wise Claw Back provision if redeemed/switched within claw back period :
i) The Upfront in T15 & B15 will be proportionately recovered / clawed back from the future Brokerage payments of the Distributor.
ii) The Market Expansion incentive is applicable for 1st year and only for B-15 Cities which will be completely recovered / clawed back from the future Brokerage payments of the distributor.
In case EUIN or the declaration not provided within 90 days, brokerage on the transaction shall be forfeited.
No upfront Brokerage will be paid in case of switches with in sub plans of any schemes and in case of switches with in equity schemes.
AMC reserves the right to change the structure without any prior intimation.
Page 33
JPMorgan Asset Management
Brokerage Structure -- 1st October 2013 to 31st December 2013
ARN-1209
Annexure A
Applicable Brokerage Structure for Lumpsum Purchases – October 1, 2013 to December 31, 2013
A. EQUITY SCHEMES
Scheme Name
Application Size
Upfront Fees**
JPMorgan India Equity Fund
NA
1.25%
JPMorgan India Smaller Companies Fund
NA
1.25%
JPMorgan India Tax Advantage Fund
NA
5.00%
JPMorgan - Greater China Equity Off-shore Equity Fund
NA
1.75%
JPMorgan Emerging Europe, Middle East and Africa Equity Offshore Fund NA
1.75%
JPMorgan ASEAN Equity Off-shore Equity Fund
NA
1.75%
JPMorgan US Value Equity Off-shore Equity Fund
NA
1.75%
* Trail Payout is applicable from the time of Investment and is on an annualized basis (p.a.)
* Trail Payout is Payable on a monthly basis
**Clawback will be applicable on all upfront fees paid.
This clawback would be on a pro-rata basis depending on redemption of investments prior to the exit load period.
Trail *
0.50%
0.50%
N.A.
0.50%
0.50%
0.50%
0.50%
B. FIXED INCOME SCHEMES
Scheme Name
Application Size Upfront Fees**
Trail *
JP Morgan India Liquid Fund - Super Institutional Plan
NA
Nil
0.15%
JP Morgan India Treasury Fund - Super Institutional Plan
NA
Nil
0.20%
JP Morgan India Active Bond Fund
NA
1.20%
1.00%
JP Morgan India Short Term Income Fund
5 Crs & below
0.60%
0.50%
Above 5 Crs
0.15%
0.75%
JPMorgan India Banking & PSU Debt Fund
NA
Nil
0.25%
* Trail Payout is applicable from the time of Investment and is on an annualized basis (p.a.)
* Trail Payout is Payable on a monthly basis
* Trail Payout in JP Morgan India Short Term Income Fund is from 7th Month Onwards
* Trail Payout in JP Morgan India Active Bond Fund is from 13th Month Onwards
**Clawback will be applicable on all upfront fees paid.
This clawback would be on a pro-rata basis depending on redemption of investments prior to the exit load period.
Additional per Application Incentive is Applicable on all Systematic Investment Plan (SIP) Mobilizations as follows;
Application Amount
Rs. 1,000 - Rs. 10,000
1.
2.
3.
4.
5.
Tenure of SIP
12
24
36
Per App Incentive
Application Amount * Tenure of SIP*0.50%
Payment of Incentive would be made on Fresh SIP Registrations and based on the Tenure of the SIP mentioned therein
Payment of Incentive will be made on a quarterly basis at the end of every calendar quarter.
Clawback on Additional SIP Incentive will be applicable up to the committed tenure of the SIP on a pro rata basis
For SIP application greater than Rs. 10,000, incentives would be calculated on Application Amount of Rs 10,000 only.
a. For E.g. If SIP application Amount is Rs 11,000 & above then the Incentive Calculated would be as follows viz. ;
10,000 * Tenure of SIP * 0.50%
For SIP application greater than 3 Years incentives will be calculated as follows:
a. If SIP application tenure is for 5 Years, then the Incentive calculated would be as follows viz. ;
(Application Amount Up to Rs 10,000) * 36 *0.50%
b. After 3 years incentive of 0.50% will be paid on application amount on monthly basis on each SIP installment.
Page 34
JPMorgan Asset Management
Brokerage Structure -- 1st October 2013 to 31st December 2013
ARN-1209
Annexure B
Systematic Transfer Plan (STP) Promotional Offer
Investment to be made in either JPMorgan India Liquid Fund or JPMorgan India Treasury Fund with a STP instruction as per
grid mentioned below:
From scheme (Transferor)
JPMorgan India Liquid Fund
JPMorgan India Treasury Fund
Systematic Transfer Plan
To Scheme (Transferee)
JPMorgan India Equity Fund
JPMorgan India Smaller Companies Fund
JPMorgan India Tax Advantage Fund
JPMorgan Greater China Equity Off-shore Fund
JPMorgan ASEAN Equity Off-shore Fund
JPMorgan EMEA Equity Off-shore Fund
JPMorgan US Value Equity Off-shore Fund
On successful registration of STP mandate, brokerage will be paid in the following fashion:
1. Brokerage will be paid on the investment in either of “Transferor schemes” as per brokerage rates mentioned in
Annexure A (Table A)
2. Upfront brokerage on the total committed transfer amount (as per the STP mandate) in any of the “Transferee
schemes” will be paid as per brokerage rates mentioned in Annexure A (Table A) at the end of 1 st month of transfer
itself
Example (just for illustration purpose):
- Suppose an investor has made an investment of Rs. 60000/- (through you as a broker) in JPMorgan India Liquid Fund
– Retail Plan on December 1, 2011;
-
Post that investment or simultaneously, the investor also submitted a Systematic Transfer Plan request (STP) for
transferring Rs. 5000/- per month to JPMorgan India Equity Fund – Growth option for 12 months (Rs. 5000 p.m. x 12
months = Rs. 60,000/-) starting January 1, 2012;
-
On successful registration of STP mandate, brokerage will be paid in the following fashion:
o Brokerage on JPMorgan India Liquid Fund (on trail basis) as per investment in the folio;
o Upfront Brokerage on JPMorgan India Equity Fund on Rs. 60000/- will be paid in February’12 along with
brokerage of January’12.
Claw back clause for brokerage paid as upfront (on any of the transferee schemes):
- Situation when claw back will be executed:
o STP stoppage instruction received from the investor;
o Inability to trigger the next monthly transfer due to non-availability of funds in the Transferor scheme (due to
part redemption or full redemption from Transferor scheme)
-
How will claw back work?
o
Upfront brokerage paid in advance will be proportionately recovered (claw back) on the non-transferred
amount due to reasons mentioned above. The recovery will be done in the following manner:
From the next brokerage on a calendar quarter basis out of the ongoing brokerage payable to you
OR,
Raising a Debit Note to you for recovering of the pro-rata brokerage in case no brokerage is due to
you.
Page 35
Mutual Fund
Consolidated Brokerage Structure for The Quarter
from October 1, 2013 - December 31, 2013
CONSOLIDATED BROKERAGE STRUCTURE FOR THE QUARTER
Type of Brokerage
Slab50
Upfront T15
Additional Upfront for
Oct‐Dec, 13
Trail 1st year
Trail 2nd year /3rd year
<=10 crs
Trail 4th year onwards
Special incentive for
B15
Upfront T15
Trail 1st year
Trail 2nd year /3rd year
>10 crs
Trail 4th year onwards
Type of Brokerage
Slab
<=10 crs
Trail 4th year onwards
Special incentive for
B15
Upfront T15
Trail 1st year
Trail 2nd year /3rd year
>10 crs
Trail 4th year onwards
Type of Brokerage
Slab
Kotak
Kotak Mid‐ Global
Cap
Emerging
Fund
Kotak
Arbitrage
Fund
Kotak
Kotak Tax Monthly
Saver Fund Income
Plan
Kotak
Multi Asset
Allocation
Fund
1.25
1.25
1.25
1.25
1.25
1.25
1.25
1.00
0.25
6.00
1.00
1.00
0.25
0.50
0.25
0.50
0.25
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.25
0.50
NIL
0.50
NIL
NIL
NIL
NIL
0.50
NIL
0.50
NIL
0.75
0.75
0.75
0.75
0.75
0.75
0.75
0.50
0.40
NIL
0.50
0.50
0.75
0.75
0.75
0.75
0.75
0.75
0.75
0.50
0.40
0.75
0.50
0.50
2.00
NIL
1.25
2.00
NIL
1.25
2.00
NIL
1.25
2.00
NIL
1.25
2.00
NIL
1.25
2.00
NIL
1.25
2.00
NIL
1.25
1.00
NIL
1.00
NIL
NIL
0.25
0.50
NIL
1.50
1.50
NIL
1.00
1.50
NIL
1.00
0.75
0.75
0.75
0.75
0.75
0.75
0.75
0.50
0.40
0.75
0.50
0.50
0.75
0.75
0.75
0.75
0.75
0.75
0.75
0.50
0.40
0.75
0.50
0.50
1.70
NIL
1.50
NIL
0.50
NIL
NIL
1.25
1.00
NIL
0.75
0.75
0.50
0.75
0.50
0.75
0.75
0.50
0.75
0.50
0.25
NIL
1.50
0.25
NIL
1.25
NIL
NIL
0.50
NIL
NIL
1.25
NIL
NIL
1.00
0.75
0.75
0.50
0.75
0.50
0.75
0.75
0.50
0.75
0.50
Kotak
Kotak
Banking
Equity FOF and PSU
Debt Fund
0.25
Refer
Notes [II]
Trail 1st year
(1)
Refer
Notes [II]
Any Amount
Trail 2nd year/3rd year
(1)
Refer
Notes [II]
Trail 4th year onwards
(1)
Upfront T15
Special incentive for
B15
Kotak
Emerging
Equity
Kotak
Balance
Kotak
Kotak
Kotak Gilt
Income
Kotak
Kotak Gold
Bond Short Investment
Opportunit Bond Fund
Fund
Term Fund s Fund
ies Fund
Upfront T15
Trail 1st year
Trail 2nd year /3rd year
Kotak
Classic
Equity
Kotak
Kotak
Opportunit Select
Focus
ies
Kotak
NIL
Kotak
Kotak
Floater
Liquid
Long Term
Fund
Fund
Kotak
Kotak Flexi
Floater
Debt Fund
Short Term
NIL
NIL
NIL
NIL
NIL
0.15
0.25
0.05
0.05
0.75
0.15
0.25
0.05
0.05
0.75
0.15
0.25
0.05
0.05
0.75
NIL
NIL
NIL
NIL
NIL
TERMS AND CONDITIONS :
[I] CLAWBACK :
(1) T15 cities Brokerage, will be with applicable proportionate clawback and B15 cities Brokerage (ie special incentive) will be with full Clawback except Kotak Tax Saver scheme where no clawback will be applicable
(2) In Bond Fund ‐ exit load will be for 6 months with proportionate clawback till 12 months
(3) In Bond Short Term Scheme ‐ exit load will be of 3 months with proportionate clawback till 6 months
(4) In Kotak Arbitrage Scheme ‐ exit load will be of 3 months with proportionate clawback till 3 months
[II] BROKERAGE :
between you and the underlying schemes, nor will the Fund be liable for non or delayed payment of the brokerage from the underlying schemes.
(2) Distributors are requested to adhere to the terms and conditions set forth by the SEBI Code of conduct for MF intermediaries wrt commission disclosures
(3) This brokerage structure is applicable till further notice and is subject to changes at the discretion of AMC/ Trustee.
(4) All Upfront Brokerages will be calculated for every calendar month and will be paid out in the following month.
investment.
(6) Special Incentive B15 is over and above upfront brokerage of T15
(7) Additional Upfront paid for Equity Schemes is for the period Oct 2013 to Dec 2013
[III] BROKERAGE ON SWITCHES :
(1) Intra Scheme Switches ‐ Switch from equity to equity OR debt to debt OR equity to debt OR debt to equity will be eligible for brokerage (upfront/trail) as per the distributor's applicable brokerage in the scheme to which the switch has happened.
(2) Switch from Equity schemes, Multi Asset Allocation and MIP to Kotak Gold Fund will be eligible for trail brokerage as per the distributor's applicable trail brokerage in Kotak Gold Fund
(3) For scheme option change : Only trail brokerage payable. For eg: change of option from dividend payout to dividend re‐investment or growth to dividend
[IV] LOAD STRUCTURE :
Document(s) / Addenda to the Offer Document(s).
date of allotment
(2) Exit load for Kotak Equity Arbitrage ‐ 0.50% if exit before 90 days from date of allotment. NIL if exit after 90 days from date of allotment.
(3) Exit Load is NIL for Kotak Tax Saver Scheme, Kotak Liquid Plan A, Floater Short Term, Floater Long Term, Flexi Debt Plan A, Gilt Investment and Kotak Banking and PSU Debt Fund
(4) Exit load for Bond Short Term ‐ 0.50% if exit before 90 days from the date of allotment. NIL if exit after 90 days from date of allotment.
(5) Exit load for Kotak Income Opportunities Fund ‐ 2% if exit <=1yr, NIL if exit after 1 year from date of allotment
(6) Exit load for Kotak Bond Plan A ‐ 1% if exit before 180 days from date of allotment. NIL if exit after 180 days from date of allotment.
(7) Exit load for Kotak Gold Fund ‐ 2% if exit within 6mths, 1% after 6mths and before 1yr, NIL if exit after 1 year from date of allotment
[V] TAXES & LEVIES :
management company is exempt from service tax vide Notification no 25 dated June 20, 2012.
Page 36
Mutual Fund
Consolidated Brokerage Structure for The Quarter
fromOctober 1, 2013 - December 31, 2013
SIP Brokerage Structure from 1st Oct 2013 To 31st Dec 2013‐ Q3
Schemes
Type of Brokerage
Upfront T15( <=Rs 5000/ >1 year uptill 5 year Tenure)
Upfronting
Trail 1st year
Trail 2nd Year / 3rd Year
Trail from 4th yr onwards
Special incentive for B15
>Rs.5000 / > 5 year Tenure SIP Upfront
Trail 1st year
Trail from 2nd year /3rd year
Trail from 4th yr onwards
All Equity Schemes (Except
Kotak Arbitrage Fund &
Kotak Equity FOF) ‐ For
Select Focus separate
structure
Kotak Select Focus
Scheme
Brokerage Rate %
Brokerage Rate %
0.75
NIL
0.75
0.75
0.75
1.50
1.15
0.75
0.75
0.75
2.50
NIL
NIL
0.75
0.75
1.50
2.50
NIL
0.75
0.75
Terms and Conditions:
[I] CLAWBACK :
(1) Any upfronting paid is subject to proportionate clawback if the SIP is Ceased / Stopped / Closed before its Maturity Date
(2) B15 cities Brokerage (ie special incentive) will be with full Clawback except Kotak Tax Saver scheme where no clawback will be applicable
[II] BROKERAGE :
(1) For <= 1 year SIP Tenure only applicable Upfront brokerage will be paid
(2) For B15 locations, the Special Incentive B15 is in addition to the T15 upfront brokerage
2013 and paid along with Feb, 2013 brokerage in March, 2013
(4) Distributors are requested to adhere to the terms and conditions set forth by the SEBI Code of conduct for MF intermediaries wrt commission disclosures
regulations laid down by SEBI and AMFI.
(6) Kotak Mahindra Asset Management Co. Ltd. Reserves the right to withdraw or suspend or modify this incentive program at any time, without giving any reasons thereof.
[III] BROKERAGE ON SWITCHES :
Only fresh SIPs in the Equity Schemes except Kotak Arbitrage and Kotak Equity FOF will be eligible.
[IV] LOAD STRUCTURE :
commencement of SIP/STP Please refer to the latest applicable load structure in the Offer Document(s) / Addenda to the Offer Document(s).
year from date of allotment
[V] TAXES & LEVIES :
a mutual fund agent or a distributor, to a mutual fund or asset management company is exempt from service tax vide Notification no 25 dated June 20, 2012
Gold Fund (Oct‐Dec, 13)
1.10% upfront per installment
Page 37
Platinum
Load and Brokerage Structure
from October 2013
Focused Schemes
T-15
Category
Scheme Name
Focused
Schemes
Reliance Growth Fund
Reliance Monthly Income Plan
Regular Savings Fund - Debt
Reliance Money Manager Fund
Claw Back
Period for
a,b,c
1 year
Distribution
Incentive (a)
1st Yr. Trail
(p.a)
2nd Yr. Onwards Distribution
Trail (p.a)
Incentive (b)
0.75%
0.80%
0.85%
0.75%
1.40%
0.65%
0.65%
1.15%
1.50%
0.40%
NIL
NIL
0.35%
0.25%
NIL
1.50%
B-15
Annual
1st Yr. Trail
Retention
(p.a)
Incentive (c)
2.00%
0.80%
2.00%
NIL
NIL
NIL
NIL
0.35%
T-15
2nd Yr.
Onwards
Trail (p.a)
0.85%
0.65%
0.65%
0.25%
B-15
Category
Scheme Name
Claw Back
Period for a,b,c
Distribution
Incentive (a)
1st Yr. Trail (p.a)
2nd Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
2nd Yr.
Onwards Trail
(p.a)
Equity
Reliance NRI Equity Fund, Equity Fund, Vision Fund,
Quant Plus, Long Term Equity, Reliance Infrastructure
Fund, Natural Resources Fund, Diversified Power, Media &
Entertainment, Pharma Fund, Reliance Small Cap Fund,
Reliance Growth Fund, RRSF - Equity,
1 yr
0.85%
0.50%
0.50%
0.85%
1.50%
0.50%
0.50%
Equity
Relaince Banking Fund
1 yr
0.50%
0.85%
1.50%
0.50%
0.50%
Reliance Equity Opportunities,
1 yr
0.50%
0.50%
0.85%
1.50%
0.50%
0.50%
Equity
Reliance Top 200 Fund
1 yr
RRSF - Balanced,
1 yr
Nil
Nil
0.75%
0.75%
1.75%
1.75%
2.00%
Equity
1.25%
1.25%
2.00%
2.00%
0.50%
Equity
2.00%
Nil
Nil
0.75%
0.75%
Claw Back
Period for a,b,c
Distribution
Incentive (a)
1st Yr. Trail (p.a)
4th Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
3 yr lockin
4.50%
NIL
0.50%
3.50%
2.00%
NIL
Claw Back
Period for a,b,c
Distribution
Incentive (a)
1st Yr. Trail (p.a)
2nd Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
No Claw back
NIL
NIL
0.60%
0.75%
0.50%
0.50%
NIL
NIL
NIL
NIL
0.60%
0.75%
Category
Tax Saver
Scheme Name
Reliance Tax Saver (ELSS) Fund
Category
Equity
Scheme Name
Index Fund - Sensex Plan & Nifty Plan
Arbitrage Fund
T-15
Distribution
Incentive (a)
1st Yr. Trail (p.a)
2nd Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
FOF
1 yr
0.90%
NIL
0.35%
0.80%
0.10%
NIL
Claw Back
Period for a,b,c
Distribution
Incentive (a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
9 Months
No Claw back
6 months
1.25%
NIL
1.25%
1.00%
1.00%
0.75%
1%(Starting 7th
0.75%
NIL
NIL
NIL
1%(Starting
Scheme Name
Claw Back
Period for a,b,c
Distribution
Incentive (a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
Short Term Fund
6 months
0.60%
NIL
0.30%
0.60%
NIL
NIL
Scheme Name
Claw Back
Period for a,b,c
Distribution
Incentive (a)
1st Yr. Trail (p.a)
2nd Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
Annual Retention
Incentive (c)
1st Yr. Trail
(p.a)
1 year
0.50%
NIL
0.20%
0.50%
NIL
NIL
Scheme Name
Reliance Gold Saving Fund
T-15
Category
Scheme Name
Income Fund
Reliance Gilt Securities Fund
Reliance Dynamic Bond Fund
Debt
Floating Rate Fund - Short Term Plan
0.40%
1.00%
0.40%
2nd Yr. Onwards Trail
1st Yr. Trail (p.a)
(p.a)
NIL
T-15
Category
Scheme Name
Ultra Short Term Medium Term
Liquidity Fund
Liquid Funds Liquid Fund - Cash Plan
Liquid Fund - Treasury Plan
2nd Yr.
Onwards Trail
(p.a)
0.35%
B-15
2nd Yr. Onwards Trail
1st Yr. Trail (p.a)
(p.a)
NIL
2nd Yr.
Onwards Trail
(p.a)
0.50%
0.50%
B-15
Claw Back
Period for a,b,c
Category
4th Yr.
Onwards Trail
(p.a)
0.50%
NIL
2nd Yr.
Onwards Trail
(p.a)
0.40%
1.00%
0.40%
2nd Yr.
Onwards Trail
(p.a)
0.30%
2nd Yr.
Onwards Trail
(p.a)
0.20%
B-15
Claw Back
Period for a,b,c
Distribution
Incentive (a)
1st Yr. Trail (p.a)
2nd Yr. Onwards Trail
(p.a)
Distribution
Incentive (b)
1st Yr. Trail (p.a)
No Clawback
NIL
NIL
NIL
NIL
0.15%
0.05%
0.75%
0.05%
0.10%
0.05%
0.75%
0.05%
NIL
NIL
NIL
NIL
0.15%
0.05%
0.75%
0.05%
2nd Yr.
Onwards Trail
(p.a)
0.10%
0.05%
0.75%
0.05%
Page 38
Platinum
Load and Brokerage Structure
from October 2013
Page 39
Distributor Incentive Structure Effective
From 1st May 2013 to 30th June 2013
Brokerage Structure for the period 1st May 2013 to 30th June 2013
Religare Midcap Fund
Religare MIP Plus
Category
Debt
Focus Schemes!
Name of the Fund
Religare Invesco Bank Debt Fund
Application Size
for applications <= Rs.
for applications > Rs.
Base Incentive
(%)#
Special
Incentive
Religare Banking Fund
Religare Gold Fund
Retention
Incentive
(for T-15 Cities only) (for B-15 Cities only)
1.50
NIL
NIL
NIL
NIL
NIL
Trail (% p.a.)
1st year
Trail (% p.a.)
2nd year
onwards
NIL
1.50
0.50
0.50
Terms & Conditions
# Upfront payments are computed on the investment value.
# In case the investment is redeemed/ switched out for any reason whatsoever, within 1 year from Bank Debt Fund (for applications <= Rs. 2crs), the proportionate amount
of Base Incentive shall be recovered/ clawed back/ set off from the future brokerage payments, at AMC’s sole discretion.
# Brokerage rates are inclusive of all taxes, cost charges & expenses incurred by you.
# Brokerage will be payable only to distributors empanelled with us and for applications logged under their respective ARN.
# The above mentioned brokerage is applicable subject to provisions of SEBI Circulars as ammended from time to time.
# Above data / information / brokerage structure is as on this date and is subject to ammendments persuant to any regulatory changes.
# The AMC reserves the right to ammend/withdraw the above brokerage structure on a prospective basis without assigning any reasons.
# In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the distributors should disclose all the commissions (in the
form of trail commission or any other mode) payable to them for the different competing schemes of various mutual funds from amongst which the scheme is being
recommended to the investor. Distributors are advised to ensure compliance of the same.
# This structure will supersede any existing brokerage structure for the month ending 30th Nov 2013.
Page 40
SBI Funds Management Pvt. Ltd.
Preffered Incentive Structure
effective from 1st October 2013 To 31st December 2013
Scheme Name
Exit load
Equity schemes including SBI Balanced Fund
SBI Bluechip Fund
Equity
SBI Nifty Index Fund
SBI Arbitrage Opportunities Fund
ELSS
FOF
SBI Taxgain Scheme
SBI Gold Fund - Application size upto Rs.2 crores
SBI Gold Fund - Application size above Rs.2 crores
SBI EDGE Fund
SBI Monthly Income Plan
SBI Regular Savings Plan
Hybrid
SBI MIP Floater
SBI Children Benefit Plan
B-15
All Centres
Preferred Structure - Maximum payable
Category
1% for exit within 12 months
Nil
1% for exit within 7 business days
0.25% for exit within 7 business days
NA
1% for exit within 1 year
1% for exit within 1 year
1% for exit within 1 year
1% for exit within 1 year
1% for exit within 1 year
1% for exit within 1 year
3% for exit w/i 1 yr, 2% for exit w/i 2 yrs, 1% for exit
w/I 3 yrs
Distribution
Incentive (a)
1st Yr. Trail
(p.a) (b)
2nd Yr. Onwards
Trail (p.a) c
B-15 Special
Incentive (d)
1.00%
0.50%
0.50%
1.50%
Nil
1.50%
1.00%
1.50% - Trail
Nil
0.50%
0.50%
0.25% - Trail
Nil
0.40%
0.40%
Nil
3.50%
NIL
1.00%*****
1.50%
1.00%
NIL
0.50%
Nil
Nil
1.00%
0.50%
Nil
1.25%
Nil
0.60%
Nil
1.00%
0.50%
0.50%
1.50%
1.00%
0.50%
0.50%
1.50%
0.75%
0.50%
0.50%
0.50%
0.50%
0.50%
0.50%
Nil
SBI Magnum Income Fund
Application size upto Rs.2 crores
Application size above Rs.2 crores
SBI Income Fund - Floating Rate Plan - Long Term
1.00% for exit within 12 months
1.00% for exit within 12 months
0.25% for exit within 2 months
1.00%
NIL
0.50%
Nil
Nil
1.00%
0.50%
NIL
Nil
0.25%
0.25%
Nil
1% for exit within 12 months
1% for exit within 12 months
0.15% for exit within 15 days
0.25% for exit within 15 days
0.25% for exit within 90 days
Nil
0.10% for exit within 3 business days
Nil
0.10% for exit within 3 business days
0.25% for exit within 30 days
1.00%
NIL
0.50%
Nil
1.00%
NIL
0.50%
Nil
Nil
0.30%
0.30%
Nil
Nil
0.50%
0.50%
Nil
Nil
0.40%
0.40%
Nil
Nil
0.05%
0.05%
Nil
NIL
0.05%
0.05%
Nil
NIL
0.05%
0.05%
NIL
NIL
0.05%
0.05%
NIL
NIL
0.05%
0.05%
NIL
SBI Dynamic Bond Fund
SBI Dynamic Bond Fund - Application size upto Rs. 5 crores*
SBI Dynamic Bond Fund - Application size above Rs. 5 crores
SBI Gilt Fund - Short Term
SBI Gilt Fund - Long Term
SBI Short Horizon Fund - Short Term
Debt Funds
Ultra Short
Term
Liquid
Funds
SBI Income Fund - Floating Rate - Savings Plus Bond Plan
SBI Short Horizon Fund - Ultra Short Term
SBI Premier Liquid Fund
SBI Insta Cash Fund
SBI Insta Cash Fund - Liquid Floater Plan
*****Trail in SBI Magnum Taxgain will be from 4th year
Terms & Conditions:
1 The above structure is valid only for the period 1st October, 2013 to 31st December , 2013
2 T-15 refers to Top 15 Cities provided by AMFI & B-15 refers to all the cities beyond the Top 15 cities. The list of Top 15 cities are as follows:
Ahmedabad, Bangalore, Baroda, Chandigarh, Chennai, Hyderabad, Jaipur, Kanpur, Kolkata, Lucknow, Mumbai(Including Thane & Navi Mumbai), New Delhi(including NCR), Panjim, Pune and Surat
3 In case the investment is redeemed within the exit load period including SIP/STP, as applicable in the respective scheme:
i) The Distribution Incentive / Additional Distribution Incentive (a) will be proportionately recovered / clawed back from the future Brokerage payments of the Distributor
ii) The B-15 special Incentive (d) will be completely recovered / clawed back from the future Brokerage payments of the Distributor
4 Please read the latest SID and addendums thereto carefully confirm the scheme-details
5 For SIP/STP applications respective scheme commission structure will be applicable.
6 AMC reserves the right to change the structure without any prior intimation.
7 In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated june 30, 2009 the distrubutors should disclose all the commissions (In the form of trail commission or any other mode)
payable to them for the different competing schemes of various mutual fund from amongst which the scheme is being recommended to the investors. Compliance of the same needs to be adhered to.
8 In case of switch transaction from one equity fund to another equity fund, where the switch happens after the expiry of the exit load period (viz. 1 year for most of our equity funds), the distributor will be eligible for base
upfront incentive applicable under the fund. However in case of switches from one equity to another equity fund before the exit load period, no upfront incentive will be payable
9 All application forms should bear the advisor code in the broker code cell or else it will be considered direct.
10 Trail from 2nd year onwards is subject to change based on any change in regulations or cost structure.
11 You are advised to abide by the code of conduct and rules/regulations laid down by SEBI and AMFI
Page 41
Sundaram Mutual Fund
Preferred Distribution Arrangement
October 2013
AMC Name
Sche
AMC
FM_PRO
me
Code
DCODE
code
Scheme Name
Sales
Charge
Year 1
Year 2
Year 3 AdditionalB
W.e.f
Onwards rokerage
Sundaram Mutual Fund
S
S01
Sundaram Growth Fund - Growth
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S101
Sundaram Growth Fund - Dividend
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
SILG
Sundaram India Leadership Fund - Growth
1.25%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S
SILD
Sundaram India Leadership Fund - Dividend
1.25%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S
S81
Sundaram CAPEX Opportunities Fund - Dividend
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S82
Sundaram CAPEX Opportunities Fund - Growth
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S95
Sundaram Select Thematic Funds Energy Opportunities - Dividend
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S96
Sundaram Select Thematic Funds Energy Opportunities - Growth
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S03
Sundaram Select Focus - Regular - Dividend
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S02
Sundaram Select Focus - Regular - Growth
0.70%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S71
Sundaram S.M.I.L.E Fund - Dividend
1%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S
S72
Sundaram S.M.I.L.E Fund - Growth
1%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S
S71P
Sundaram SMILE - Dividend Payout
1%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S
S100
Sundaram Select Thematic Funds Media and Entertainment Opportunities - Regular - Growth
Sundaram Mutual Fund
Sundaram Mutual Fund
S
S
S99
S97
Sundaram Select Thematic Funds Media and Entertainment Opportunities - Regular - Dividend
Sundaram Select Thematic Funds Financial Services Opportunities - Regular - Dividend
0.70%
0.70%
0.40%
0.40%
0.40%
0.40%
0.40%
0.40%
Sundaram Mutual Fund
S
S98
Sundaram Select Thematic Funds Financial Services Opportunities - Regular - Growth
Sundaram Mutual Fund
S
S04
Sundaram Mutual Fund
S
S05
Sundaram Mutual Fund
S
S104
Sundaram Mutual Fund
S
S103
Sundaram Mutual Fund
S
S93
Sundaram Mutual Fund
S
S94
Sundaram Mutual Fund
S
Sundaram Mutual Fund
Sundaram Mutual Fund
0.70%
0.40%
0.40%
0.40%
1.25%
0.50%
0.40%
0.40%
Sundaram Select Midcap - Regular - Growth
1%
0.60%
0.60%
0.60%
Sundaram Select Midcap - Regular - Dividend
1%
0.60%
0.60%
0.60%
Sundaram Select Thematic Funds PSU Opportunities - Growth
0.70%
0.40%
0.40%
0.40%
Sundaram Select Thematic Funds PSU Opportunities - Dividend
0.70%
0.40%
0.40%
0.40%
Sundaram Global Advantage Fund - Dividend
0.00
0.20%
0.20%
0.20%
Sundaram Global Advantage Fund - Growth
0.00
0.20%
0.20%
0.20%
S230
Sundaram Money Fund - Regular Plan - Daily Dividend
0.00
0.05%
0.00
0.00
S
S231
Sundaram Money Fund - Regular Plan - Quarterly Dividend
0.00
0.05%
0.00
0.00
S
S232
Sundaram Money Fund - Regular Plan - Growth
0.00
0.05%
0.00
0.00
Sundaram Mutual Fund
S
S234
Sundaram Money Fund - Regular Plan - Fortnightly Dividend
0.00
0.05%
0.00
0.00
Sundaram Mutual Fund
S
S233
Sundaram Money Fund - Regular Plan - Weekly Dividend
0.00
0.05%
0.00
0.00
Sundaram Mutual Fund
S
S235
Sundaram Money Fund - Regular Plan - Monthly Dividend
0.00
0.05%
0.00
0.00
Sundaram Mutual Fund
S
S100I
Sundaram Select Thematic Funds Media and Entertainment Opportunities - Institutional - Growth
0.00
0.00
0.00
0.00
Sundaram Mutual Fund
S
S81I
Sundaram Capex Institutional-Div
0.00
0.00
0.00
0.00
Sundaram Mutual Fund
S
S82I
Sundaram Capex Institutional-Grow
0.00
0.00
0.00
0.00
Sundaram Mutual Fund
S
S13
Sundaram Taxsaver - Dividend
0.10%
0.00
0.00
0.00
Sundaram Mutual Fund
S
S13P
SUNDARAM TAX SAVER - (OPEN ENDED) - DIVIDEND PAYOUT
0.10%
0.00
0.00
0.00
Sundaram Mutual Fund
S
S14
Sundaram Taxsaver - Growth
0.10%
0.00
0.00
0.00
Sundaram Mutual Fund
S SEPD
Sundaram Equity Plus - Dividend
0.10%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S SEPG
Sundaram Equity Plus - Growth
0.10%
0.50%
0.40%
0.40%
Sundaram Mutual Fund
S SEPR
SUNDARAM EQUITY PLUS DIVIDEND REINVESTMENT
0.10%
0.50%
0.40%
0.40%
Page 42
TATA MUTUAL FUND
BROKERAGE & LOAD STRUCTURE - Equity (Lumpsum & SIP/STP Investments)w.e.f 1st October 2013 - 31st December 2013
BROKERAGE & LOAD STRUCTURE - Equity (Lumpsum & SIP/STP Investments)- w.e.f - 01st October 2013 to 31st December 2013
Additional Payout
(Only for B-15 Locations)
For All Locations (Top 15 & Beyond 15 Locations)
Scheme Name
Investment Size
Distribution Incentives ^
1st Year
Trail
2nd Year onward Trail
Additional Distribution Incentives
(Only for Lumpsum) ^
Special Incentive ^
Equity / Balanced / Hybrid Schemes ^
Tata Pure Equity Fund ,Tata Equity Opportunities
Fund,Tata Balanced Fund,
<= Rs. 5 Crs
0.75%
0.50% apm
0.75% apm
0.50%
1.75%
> Rs. 5 Crs
Nil
1.25% apm
0.75% apm
0.50% apm
1.75% apm
Tata Equity PE Fund,Tata Dividend Yield Fund,Tata
Ethical Fund,Tata Midcap growth Fund
<= Rs. 5 Crs
0.75%
0.50% apm
0.75% apm
0.25%
1.75%
> Rs. 5 Crs
Nil
1.25% apm
0.75% apm
0.25% apm
1.75% apm
Tata Infrastructure Fund,Tata Indo Global Infrastructure
Fund,Tata Growing Economies Infrastructure Fund
<= Rs. 5 Crs
0.75%
0.50% apm
0.75% apm
Nil
1.75%
> Rs. 5 Crs
Nil
1.25% apm
0.75% apm
NIL
1.75% apm
<= Rs. 5 Crs
1.50%
Nil
0.75% apm
0.25%
1.50%
> Rs. 5 Crs
NIL
1.50% apm
0.75% apm
0.25% apm
1.50% apm
Rs. 5000/-
NIL
0.50% apm
0.40% apm
NIL
NIL
Distribution Incentives^
1st Year
Trail *
2nd Year
Trail *
3rd Year
Trail *
4th Year
onward Trail
Additional
Distribution
Incentives
(Only for Lumpsum) ^
NIL
1.50% apm
1.50% apm
1.50% apm
0.75% apm
0.50%
Tata MIP Plus Fund,Tata Monthly Income Fund
Tata Index Fund Plan - A (Sensex),Tata Index Fund
Plan - A (Nifty)
ELSS Schemes
Scheme Name
Investment Size
Tata Tax Saving Fund (Compulsory Lock in of 3 years
from the DOA)
<= Rs. 5 Cr #
Special Incentive ^
1.00%
* AMC would arrange for advance payment against the first 3yrs trail payments in the Fund and the same would be recovered from the trail payments as & when due during the tenure of the Fund. This would be applicable only for individual application size of up to Rs.5
crs.
# No advance payment against the trail payments in the Fund for application size of above Rs.5 crs. For application size > 5 Cr it would be payable in normal trail form only
Special Schemes
Trail
Distribution Incentive ^
#
1 Year
2nd Year To
4th Year
Tata Retirement Savings Fund - Progressive Plan & Moderate Plan
1.25%
0.50% apm
0.75% apm
1.00% apm
0.50%
Tata Retirement Savings Fund - Conservative Plan
1.00%
0.50% apm
0.75% apm
0.75% apm
0.50%
Scheme Name
st
5th Year
Onwards
Additional Distribution Incentives
(Only for Lumpsum) ^
#Special Incentive ^
1.50%
1.50%
# Not applicable for the Investor of Age 60 years and above. Further in case of SIP, SIP registered before investors attains 60 years of age, NO DISTRIBUTION INCENTIVE , SPECIAL INCENTIVE Shall be payable for installments
falling due after the investor attains the age of 60 years,
Special Schemes
Scheme Name
Investment Holding Period
Tata Young Citizen's Fund - Any time exit option (If child
attains majority before / after 7 Yrs. From date of
allotment)
Tata Young Citizen's Fund (Applicable for Children with
less / more than 15 years of age)(Compulsory Lock in
Option)
Investment Size
Distribution Incentives ^
1st Year Trail
2nd Year
onward Trail
Additional Distribution Incentives
(Only for Lumpsum) ^
Special Incentive ^
1.00%
0.50% apm
0.75% apm
0.50%
1.50%
1.00%
0.50% apm
0.75% apm
0.50%
1.50%
< =3 yrs
> 3 yrs & < =7 yrs
> 7 yrs
Any Amount
--
^ PLEASE REFER TO POINT 2 IN TERMS & CONDITIONS (PAGE 3) FOR DETAILS
Notes:
a) apm - Annualised payable monthly; DOA - Date of Allotment.
b) Lumpsum investments - Minimum application amount Rs.500/- under Tata Young Citizens' Fund & Tata Tax Savings Fund, Rs.10,000/- under Tata Growing Economies Infrast. Fund, Rs.5000/- for all other (above mentioned) Schemes.
c) Investment options in all the above schemes - Dividend/Growth, for Tata Young Citizens' Fund it is only Growth
d) Amount invested in TATA TAX SAVING FUND will remain locked in for 3 years from the date of allotment irrespective of any change in the tax laws
For other terms & conditions please refer to page 3.
For All Locations (Top 15 & Beyond 15 Locations)
Brokerage Structure
Scheme Name
Investment Size
1st Year
Trail
Distribution Incentives ^
2nd Year onward Trail
Liquid Funds
Tata Liquid Fund Plan - A
Rs. 5,000/-
NIL
0.05% apm
0.05% apm
Tata Money Market Fund Plan - A
Rs. 5,000/-
NIL
0.10% apm
0.10% apm
Tata Liquidity Management Fund
Rs. 10,000
NIL
0.05% apm
0.05% apm
Debt Ultra Short Term & Floating Rate Funds
Tata Floater Fund
Tata Treasury Manager Fund Plan - A
Tata Floating Rate Fund (Long Term) #
Rs. 10,000
NIL
0.15% apm
0.15% apm
Rs. 5,000
NIL
0.75% apm
0.75% apm
Rs. 10,000
NIL
0.05% apm
0.05% apm
Gilt Funds
0.60% apm
Tata Gilt Mid Term Fund
Rs. 10,000
NIL
0.60% apm
Tata Gilt Short Maturity Fund
Rs. 10,000
NIL
0.60% apm
0.60% apm
<= Rs. 5 Crs
0.70%
0.60% apm **
0.60% apm
1.00% apm
0.60% apm
Tata Gilt Securities Fund Plan - A
> Rs. 5 Crs
Nil
Income Schemes
Scheme Name
Investment Size
Distribution Incentives ^
1st Year
Trail
2nd Year onward Trail
<= Rs. 5 Cr
1.65%
Nil
0.75% apm
> Rs. 5 Cr
NIL
1.65% apm
0.75% apm
<= Rs. 5 Crs
0.50%
0.80% apm *
0.70% apm
Nil
0.70% apm
0.70% apm
Investment Size
Distribution Incentives ^
1st Year
Trail
2nd Year onward Trail
<= Rs. 5 Cr
0.70%
Nil
0.60% apm
> Rs. 5 Cr
NIL
0.70% apm
0.60% apm
Investment Size
Distribution Incentives ^
1st Year
Trail
2nd Year onward Trail
<= Rs. 5 Cr
1.00%
Nil
0.75% apm
> Rs. 5 Cr
Nil
1.00% apm
0.75% apm
Tata Income Plus Fund Plan - A
Tata Income Fund #
> Rs. 5 Crs
Scheme Name
Tata Short Term Bond Fund
Scheme Name
Tata Dynamic Bond Fund Plan - A
^ PLEASE REFER TO POINT 2 IN TERMS & CONDITIONS (PAGE 3) FOR DETAILS
Notes:
a) apm - Annualised payable monthly;
# Bonus/Dividend/Growth options available, others have Dividend/Growth options.
* Income Fund Trail Payable from the start of 10th Month ( from the DOA) onwards
** Gilt securities fund trail payable from the start of 7th month (from the DOA) onwards
Incase of Tata Income Fund distribution Incentive is with proportionate Clawback, if redeemed with in / upto 9 months from the Date of Allotment.
Incase of Tata Dynamic Bond Fund distribution Incentive is with proportionate Clawback, if redeemed with in / upto 12 months from the Date of Allotment.
For other terms & conditions please refer to page 3.
Page 43
TATA MUTUAL FUND
BROKERAGE & LOAD STRUCTURE - Equity (Lumpsum & SIP/STP Investments)w.e.f 1st October 2013 - 31st December 2013
TERMS & CONDITIONS
FOR INVESTMENT / APPLICATION SIZE/APPLICABLITY FOR LUMPSUM/SIP/STP INVESTMENT PLEASE REFER THE KIM / SID OF RESPECTIVE SCHEMES; FOR LOAD STRUCTURE PLEASE REFER PAGE 4.
1> Top-15 Locations (T-15) provided by AMFI & Beyond-15 Locations (B-15) refers to all the Locations beyond the Top-15 Locations. The list of Top-15 Locations are as follows :
Ahmedabad; Bangalore; Baroda; Chandigarh; Chennai; Hyderabad; Jaipur; Kanpur; Kolkata; Lucknow; Mumbai (including Navi Mumbai & Thane); New Delhi (including NCR); Panjim; Pune & Surat
2> Brokerage Structure for Top 15 & Beyond 15 Locations:
(a) Top 15 locations - would be offered Distribution incentive + Additional Distribution Incentive as Upfront commission
Beyond 15 locations – would be offered Distribution incentive + Additional Distribution incentive + Special incentive for B-15 as upfront commission
(b) Distribution Incentive & Additional Distribution Incentive / Additional Target Linked is with proportionate Clawback, if redeemed within the exit load period of the schemes, except "Tata Retirement Savings Fund" (TRSF). For TRSF, clawback will be applicable if
redeemed before 24 Months from the date of Allotment and for Tata Income Fund it would be payable with a clawback for 9 months from the Date of Allotment.
(c) Special Incentive (for Beyond 15 cities) is with Complete Clawback, if redeemed before exit Load of the schemes, except TRSF, for TRSF, clawback will be applicable if redeeemed before 12 months from the date of Allotment.
3> The proposed brokerage structure are applicable for regular plan only. NO brokerage / Commission (Distibution Incentive+Additional Distribution Incentive+ Special Incentive+Trail) would be payable on Direct Plans
4> Switches :
(a) For switches between equity schemes including Tata Balanced Fund, Tata Monthly Income Fund, Tata MIP Plus & Tata Young Citizen Fund, Distribution Incentive would be payable only on investments which have completed 1 years from the date of allotment. No
Additional Distribution Incentive/ Special Incentive forTop 15 & Beyond 15 locations would be payable on switches.The trail would be paid as per the applicable brokerage structure.
(b) For all switches from Direct Plan to Existing Regular Plan (Plan A) of All Schemes the distributor would be eligible for only Trail brokerage payout. There would be NO Distribution Incentive, Additional Distribution Incentive & special incentive for B-15 locations.”
5> Trail :
(a) First year trail commission is calculated from the date of the allotment till the end of the first year of investment or till the investor stays invested in the scheme, whichever is earlier and is calculated on pro-rata basis, by taking the average of net asset value during
the period under consideration and on the outstanding units.
(b) Second year trail commission is calculated from date of completion of one year from the date of allotment till the completion of 2nd year. It is calculated on pro-rata basis, by taking average of net asset value during the period under consideration. Second year trail
commission as applicable to the scheme is paid either perpetually till the investor stays invested in the scheme or for the specific period mentioned in the commission structure applicable to the scheme.
(c) Third year trail commission is calculated from date of completion of two year from the date of allotment till the completion of 3rd year.It is calculated on pro-rata basis, by taking average of net asset value during the period under consideration. Fourth year trail
commission is calculated from date of completion of three year from the date of allotment till the completion of 4th year.It is calculated on pro-rata basis, by taking average of net asset value during the period under consideration.Fifth year trail commission as applicable to
the scheme is paid either perpetually till the investor stays invested in the scheme or for the specific period mentioned in the commission structure applicable to the scheme.
6> The commission rates are inclusive of all taxes, levies, statutory dues and service tax. If any tax is required to be deducted at source, the same will be deducted from the payment of the distributors.
7> The commission payable is based on application size. However minimum application size shall be same as stipulated for the investments in respective scheme.
8> TATA AMC may change the rates/periodicity etc of commission in case of change in regulations/Load Structure/expense ratio and any other factors which have an impact on such payments. Such Change would be applicable for remaining SIP/STP installments also.
9> Please read the latest SID and addendums thereto carefully confirm the scheme details.
10> Vide SEBI circular dated November 28th, 2002 and AMFI's subsequent circulars, intermediaries are not entitled to commission/incentive on their own investment. Commission/ incentive is not payable for investment made by sponsor(s) of TATA AMC.
11> In accordance with the clause 4(d) of SEBI Circular No. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009, the distributors should disclose all the commissions (in the form of trail commission or any other mode) payable to them for the different competing schemes
of various mutual funds from amongst which the scheme is being recommended to the investor. Distributors are advised to ensure strict compliance of the same.
12> The objective of the above structure is to reward genuine investments canvassed by distributors. Any misuse of the commission/reward structure should be discouraged and commission of such distributors found involved in any malpractice may be withheld.
13> TATA AMC reserves the right to modify, withdraw or suspend the brokerage structure at any time.
LOAD STRUCTURE
Scheme Name
Tata Balanced Fund,Tata Dividend Yield Fund,Tata Equity Opportunity Fund,Tata
Equity PE Fund,Tata Ethical Fund,Tata Growing Economies Infrast Fund,Tata MidCap
Growth Fund, Tata Indo Global Infrastructure Fund,Tata Infrastructure Fund,Tata Pure
Equity Fund,Tata MIP Plus,Tata Monthly Income Fund
Entry Load
Exit Load
NIL
1% If redeemed on or before expiry of 365 Days from the the Date of Allotment
Nil
4% If redeemed on or before expiry of 90 days form DOA.
Tata Young Citizen's Fund - Any time exit option (If child attains majority before / after 7
Yrs. From date of allotment)
Nil
< =3 yrs - 3%
> 3 yrs & < =7 yrs - 2%
> 7 yrs - 1%
Tata Young Citizen's Fund (Applicable for Children with less than 15 years of
age)(Compulsory Lock in Option)
Nil
Nil
Tata Young Citizen's Fund (Applicable for Children with more than 15 years of
age)(Compulsory Lock in Option)
Nil
3% if redeemed on or before expiry of 3 years from the DOA.
Nil
Nil
Tata Liquidity Management Fund
Nil
0.25% If Redeemed on or before expiry of 30 days from the DOA
Tata Floating Rate Fund (Long Term)
Nil
0.25% if redeemed on or before expiry of 7 days from the DOA.
Tata Floater Fund
Nil
NIL
Tata Treasury Manager Fund Plan - A
Nil
0.10% If Redeemed on or before expiry of 3 days from the DOA
Tata Gilt Mid Term Fund
Nil
Nil
Tata Gilt Short Maturity Fund
Nil
Nil
Tata Gilt Securities Fund Plan - A
Nil
0.50% If Redeemed on or before expiry of 180 days from the DOA
Tata Income Fund
Nil
1.00% If Redeemed on or before expiry of 90 days from DOA.
Tata Income Plus Fund Plan - A
Nil
1% of NAV if redeemed on or before expiry of 365 days from the date of allotment
Tata Short Term Bond Fund
Nil
0.50% If Redeemed on or before expiry of 180 days from the DOA
Tata Dynamic Bond Fund Plan - A
Nil
0.50% If Redeemed on or before expiry of 180 days from the DOA
Nil
a) If redeemed / switched-out on or after attainment of retirement age i.e. 60 years of age - Nil
b) In case of Auto switch-out of units on occurrence of “Auto-switch trigger event” – Nil
c) For Redemption or switch out of units in other cases (i.e. switch-out other than auto switchout on trigger event & redemption/switch-out before
the attainment of retirement age i.e. 60 years) following exit load will be applicable:
I) If redeemed / switched-out on or before expiry of 3 years from the date of allotment – 3% of the applicable NAV
II) If redeemed / switched-out after 3 years from the date of allotment – 1% of the applicable NAV
--
Exit Load Free Switch-outs*:
a) After completion of 5 years from the date of allotment, investors can avail exit load free switch from one plan to other plan for a maximum Six (6) occasions during the
tenure of investment in the Fund.
b) Switch-out before completion of 5 years from the date of allotment or switch-out to other schemes of ‘Tata Mutual Fund’ (i.e. other that switch between the plans of
Tata Retirement Savings Fund) or switch-out beyond the allowed free occasions / times (i.e. 6 times) shall be subject to exit loads as mentioned in point (a,b & c) above.
c) Calculation of holding period – In case of switch-out (auto switch or otherwise) of units, before attainment of the retirement age, to other plans of this fund, holding
period for the purpose of exit load will be the overall holding period in “Tata Retirement Savings Fund” (i.e. aggregate of the holding period in switch out plan as well as
switch in plan).
*It may please be noted that, those investors who avail this exit load free switch-out facility are required to re-register for the auto-switch facility form the plan to which
they switch-in. However, auto-SWP facility shall remain in force and will be activated, upon attainment of the age of 60 years, from the plan to which they switch-in.
Tata Index Fund Plan A (Sensex)
Tata Index Fund Plan A (Nifty)
Tata Tax Saving Fund (Compulsory Lock in of 3 years from the DOA)
Tata Liquid Fund Plan - A
Tata Money Market Fund Plan - A
Tata Retirement Savings Fund
Page 44
UTI Mutual Fund
LOAD & DISTRIBUTOR REMUNERATION STRUCTURE
effective from 1st October 2013 - 31st December 2013
Page 45
UTI Mutual Fund
LOAD & DISTRIBUTOR REMUNERATION STRUCTURE
effective from 1st October 2013 - 31st December 2013
Page 46
FMP RATES
Apart from the products mentioned in the circular, SCB India regularly launches Fixed Maturity Plans/Hybrid Fixed Maturity Plans/Capital Protected Schemes. The
actual commissions received from the fund house will be within the range mentioned below:
1 year FMP: 5bps to 35 bps
1 year - 2 year FMP: 25bps – 100bps
2 year Hybrid FMP / Cap Protected Schemes: 2% - 3%
3 year Hybrid FMP / Cap Protected Schemes: 3% - 4%
Value Trade: nill commission
3in1 account: nill commission
NDPMS: nill commission
Fixed Income Bond: Rs. 75 per successful closure.
Page 47
PMS RATES
Page 48