Forms & Processes

1. Letter from the Claimant/s/ Nominees requesting transmission of units.
2. Original Death Certificate or Original attested copy of the death certificate.
3. Bank Account Details of the new first unit holder as per Annexure I along with attestation by a bank branch manager or cancelled cheque bearing the account details.
4. Copy of the PAN Card of the claimant/s duly attested by ARN Distributor / AMC Staff / CAMS Front Office Staff
5. KYC acknowledgement letter of the claimants.
6. If the transmission amount is Rs One lakh or more:
7. Indemnity duly(Rs 200 stamp paper) signed and executed by the nominee/s ? Annexure II
8. Original Attested copy of the Proof of Date of Birth if the Claimant is a minor.
9. Original Attested copy of the Proof of identity of the natural guardian / legal guardian in case of Claimant being a minor / of unsound mind.

1. Letter from the Claimant/s requesting transmission of units.
2. Original Death Certificate or Original attested copy of the death certificate.
3. Bank Account Details of the new first unit holder as per Annexure I along with attestation by a bank branch manager or cancelled cheque bearing the account details.
4. Copy of the PAN Card of the claimant duly attested by ARN Distributor / AMC Staff / Registrar Front Office Staff.
5. KYC acknowledgement letter of the claimants
6. Indemnity Bond [Rs 200 stamp paper-prescribed format as Annexure ? III attached] against any other claims duly signed by all Legal Heirs & Claimant.
7. Affidavit (Annexure IV) in a non-judicial stamp paper to be made by each of the Legal Heirs individually confirming that there are no other Claimants.
8. If the transmission amount is below Rs. One Lakh: any appropriate document evidencing relationship of the claimant/s and legal heirs with the deceased unitholder/s.
9. If the transmission amount is Rs. One lakh or more: Any one of the documents mentioned below:
   1. Notarised copy of probate will, or
   2. Legal heir certificate or succession certificate or claimant?s certificate issued by a competent court, or
   3. Letter of administration, in case of Intestate Succession.
10. Where the units are to be transmitted to a claimant who is a minor, various documents like KYC, PAN, Bank details, indemnity should be given of the guardian of the nominee and original Attested copy of the Proof of Date of Birth if the Claimant is a minor.
11. Original Attested copy of the Proof of identity of the natural guardian in case of Claimant being a minor / of unsound mind.

1. Original Death Certificate or Original attested copy of the death certificate of the deceased Karta
2. Request Letter specifically asking for change of Karta duly signed by all the members
3. Indemnity bond (Rs 200 stamp paper) signed by all the surviving coparceners and new Karta - Annexure V.
4. Duly certified Bank certificate stating that the signature and details of new Karta have been appended in the bank account of the HUF - Annexure I
5. Copy of the PAN Card standing in the name of the HUF duly attested by ARN Distributor / AMC Staff / CAMS Front Office Staff.
6. KYC of the new Karta and KYC of HUF, if not already available.
7. In case of no surviving co-parceners OR the transmission amount is Rs One Lakh or more OR where there is an objection from any surviving members of the HUF, transmission should be effected only on the basis of any of the following mandatory documents:
1. Notarized copy of Settlement Deed, or
2. Notarized copy of Deed of Partition, or
3. Notarized copy of Decree of the relevant competent Court

1. The minor shall be the first and the sole holder in an account (folio).
2. No joint holder will be allowed in a folio where the minor is the first or sole holder
3. Guardian in the folio should either be a natural guardian (i.e. father or mother) or a court appointed legal guardian.
4. The relationship status of the guardian with the minor i.e. Mother, Father or a legal Guardian should be mentioned in the application form and the documentary evidence of the same should be provided along with the application form. The following documents can be attached as a documentary evidence:
1. Birth Certificate of the minor
2. School leaving certificate
3. Mark Sheet issued by Higher Secondary Board of the respective states, ICSC, CBSE etc. mentioning name of natural guardian
4. Passport of the minor
5. In case of court appointed guardian the supporting order from the court
6. Any other suitable proof
5. The date of Birth of the minor should be mentioned in the application form and the documentary evidence of the date of Birth should be provided along with the application form. The following documents can be attached as a proof of Date of Birth:
1. Birth Certificate of the minor
2. School leaving certificate
3. Mark Sheet issued by Higher Secondary Board of the respective states, ICSC, CBSE etc. mentioning date of Birth of minor
4. Passport of the minor
5. Any other suitable proof evidencing the date of birth
6. In case the application form you are filling does not have the provision to mention the above or you need to update the same in your existing folio kindly fill the form (Format for capturing the Guardian Details in case the old form is used) and submit it along with your application form or submit the same to your nearest Tata Mutual Fund office.

1. In case the units are held on behalf of the minor, the ownership of the units rests with the minor.
2. A guardian operates the account until the minor attains the age of majority.
3. In case of existing standing instructions like SIP, STP, SWP registered prior to the minor attaining majority, the existing standing instructions will continue to be processed beyond the date of the minor attaining majority till the time an instruction from the major to terminate the standing instruction is received along with the above prescribed documents. The standing instruction shall be terminated within 30 days from the date of receiving such instruction.
4. On attaining majority the Minor should submit a request for change of status along with the following documents to change the status to ‘major’:
1.  Services Request form (Minor Attaining Majority – Status Change – Format), duly filled and containing details like name of major, folio numbers
2. New Bank mandate where account changed from minor to major along with the proof of the same
3. Signature attestation of the major by a manager of a scheduled bank / Bank Certificate/ Letter
4. KYC acknowledgement of the major.
5. The guardian cannot undertake any financial and non-financial transactions including fresh registration of Systematic Transfer Plan (STP), Systematic Investment Plan (SIP) and Systematic Withdrawal Plan (SWP) after the date of the minor attaining majority till the time the above application form along with the prescribed documents are received by the fund.

In case of change in guardian of a minor, the new guardian must be a natural guardian (i.e. father or mother) or a court appointed legal guardian and should submit the requisite documents viz.

1. Change in Guardian request form (as attached)
2. No objection certificate / consent letter from existing guardian or court order for new guardian, in case the existing guardian is alive.
3. Attested death certificate copy to be submitted along with the request, if the existing guardian has expired
4. KYC Acknowledgment Letter of new guardian.
5. Documentary evidence showing relationship with Minor
1. Birth Certificate of the minor
2. School leaving certificate
3. Mark Sheet issued by Higher Secondary Board of the respective states, ICSC, CBSE etc. mentioning name of natural guardian
4. Passport of the minor
5.  In case of court appointed guardian the supporting order from the court
6. Any other suitable proof
6. Bank account details and the cancelled cheque of the new guardian.