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  • -: 1 :-

    INVESTMENT OBJECTIVE:

    The investment objective of the Scheme is to provide returns before expensesthat closely correspond to the total return of the Underlying Index, subject totracking errors. However, there can be no assurance or guarantee that theinvestment objective of the Scheme would be achieved.

    ASSET ALLOCATION PATTERN:

    Under normal circumstances, the asset allocation of the Scheme will be as follows:

    Instruments Indicative Allocations Risk Profile(% of total Assets)

    Maximum Minimum High/Medium/Low

    Securities of companies constituting 100% 95% Medium to HighCNX Nifty Index (the Underlying Index)

    Money Market Instruments having 5% 0 Low to Mediumresidual maturity upto 91 days

    The above percentages would be adhered to at the point of investment. In caseof any variation of the portfolio from the above asset allocation, the portfolioshall be rebalanced within 2 business days to ensure adherence to the abovenorms.

    WHERE WILL THE SCHEME INVEST?

    The Scheme invests in the securities included in the Underlying Index regardlessof their investment merit.

    Subject to the Regulations and the disclosures as made under the Section "AssetAllocation Pattern", the corpus of the Scheme can be invested in any (but notexclusive) of the following securities/ instruments:

    1) Equity and equity related securities

    2) Securities created and issued/ guaranteed by the Central and StateGovernments and/or repos/reverse repos in such Government Securitiesas may be permitted by RBI (including treasury bills)

    3) Money market instruments permitted by SEBI/ RBI.

    Subject to the Regulations, the securities mentioned above could be listed,privately placed, secured, unsecured, rated or unrated and of varying maturity.The securities may be acquired through Public Offerings, secondary marketoperations, private placement, rights offers or negotiated deals. Currently theScheme does not propose to enter into repo in corporate bonds.

    INVESTMENT STRATEGY:

    The AMC uses a ''passive'' or indexing approach to try and achieve Scheme'sinvestment objective.

    The corpus of the Scheme will be invested predominantly in stocks constituting theUnderlying Index in the same proportion as in the Index and endeavor to track thebenchmark index. A very small portion (0-5% of the Net Assets) of the Schememay be kept liquid to meet the liquidity and expense requirements.

    The performance of the Scheme may not be commensurate with the performanceof the Underlying Index on any given day or over any given period. Such variationsare commonly referred to as the tracking error. The Fund intends to maintain a lowtracking error by closely aligning the portfolio in line with the index. The stockscomprising the Underlying Index are periodically reviewed by IISL. In the event ofinvoluntary corporate action as listed in SEBI Circular CIR/MRD/DP/32/2012 datedDecember 6, 2012, the fund shall dispose the security not forming part of theUnderlying Index within 30 days from the date of allotment/ listing.

    RISK PROFILE OF THE SCHEME:

    Mutual Fund Units involve investment risks including the possible loss of principal.Please read the SID carefully for details on risk factors before investment. SchemeSpecific Risk Factors summarised below.

    Scheme Specific Risk Factors and Risk Management Strategies:

    Market Risk

    The Scheme's NAV will react to the stock market movements. The Investor couldlose money over short periods due to fluctuation in the Scheme's NAV in responseto factors such as economic and political developments, changes in interest ratesand perceived trends in stock prices market movements, and over longer periodsduring market downturns.

    *The AMC reserves the right to extend or pre close the New Fund Offer (NFO) period,subject to the condition that the NFO Period including the extension, if any, shall not befor more than 30 days or such period as allowed by SEBI.

    This Key Information Memorandum (KIM) sets forth the information, which aprospective investor ought to know before investing. For further details of theScheme/Mutual Fund, due diligence certificate by AMC, Key Personnel,Investor's rights & services, risk factors, penalties & litigations etc. investorshould, before investment, refer to the Scheme Information Document (SID)and Statement of Additional Information (SAI) available free of cost at any ofthe Investor Service Centre or distributors or from the websitewww.icicipruamc.com

    The particulars of ICICI Prudential Nifty ETF, the mutual fund Scheme offeredunder this KIM, have been prepared in accordance with the Securities andExchange Board of India (Mutual Funds) Regulations, 1996, as amended till date,and filed with the Securities and Exchange Board of India (SEBI), and the Unitsbeing offered for public subscription have not been approved or disapproved bythe SEBI nor has the SEBI certified the accuracy or adequacy of this KIM.

    Disclaimer of National Stock Exchange of India Limited (NSE): It is to bedistinctly understood that the permission given by NSE should not in any waybe deemed or construed that the SID has been cleared or approved by NSEnor does it certify the correctness or completeness of any of the contents ofthe SID. The investors are advised to refer to the SID for the full text of the'Disclaimer Clause of NSE.

    Disclaimer of India Index Services & Products Limited (IISL) for CNX NiftyIndex (the Underlying Index): "ICICI Prudential Nifty ETF (the Scheme) is notsponsored, endorsed, sold or promoted by India Index Services & ProductsLimited ("IISL"). IISL does not make any representation or warranty, express orimplied, to the owners of the Scheme or any member of the public regarding

    New Fund Offer Opens on March 01, 2013

    New Fund Offer Closes on* March 18, 2013

    Name of the Asset Management Company:

    ICICI Prudential Asset Management Company LimitedName of the Mutual Fund:

    ICICI Prudential Mutual Fund

    KEY INFORMATION MEMORANDUM

    ICICI Prudential Nifty ETF

    Sponsors ICICI Bank Limited: Regd. Office: Landmark, Race Course Circle,Vadodara 390 007, India; and

    Prudential plc (formerly known as Prudential Corporation plc)(through its wholly owned subsidiary, Prudential CorporationHoldings Limited): Laurence Pountney Hill, London EC4R OHH,United Kingdom

    Trustee ICICI Prudential Trust LimitedRegd. Office: 12th Floor, Narain Manzil, 23, Barakhamba Road,New Delhi-110 001.

    Investment ICICI Prudential Asset Management Company LimitedManager Regd. Office: 12th Floor, Narain Manzil, 23, Barakhamba Road,

    New Delhi-110 001.Corporate Office: 3rd Floor, Hallmark Business Plaza, SantDyaneshwar Marg, Bandra (East), Mumbai - 400 051,Tel: (91) (022) 26428000, Fax: (022) 2655 4165.Central Service Office: 2nd Floor, Block B-2, Nirlon Knowledge Park,Western Express Highway, Goregaon (East), Mumbai 400 063.Tel: (91) (22) 26852000, Fax: (91)(22) 2686 8313.

    Offer of Units of Rs. 10 each, issued at a premium approximately equalto the difference between face value and Allotment Price during the

    New Fund Offer and at NAV based prices on an on-going basis

    (An open-ended Index Exchange Traded Fund)

    Units issued under ICICI Prudential Nifty ETF qualify to be eligible security underRajiv Gandhi Equity Savings Scheme, 2012

    MICR cheques will be accepted till the end of business hours upto March14, 2013.

    Transfer cheques and Real Time Gross Settlement (RTGS) request will beaccepted till the end of business hours upto March 18, 2013.

    Switch-in requests from non-equity schemes will be accepted upto March18, 2013 till the cut-off time applicable for switches.

    Switch-in requests from equity schemes will be accepted upto March 14,2013 till the cut-off time applicable for switches.

    Switch-in request from ICICI Prudential US Bluechip Equity Fund will notbe accepted.

    Investors can also subscribe to the New Fund Offer (NFO) through ASBA facility.

    For switch-in requests received under the Scheme, switch-out requests from theSource scheme will be effected based on the applicable NAV of the Source schemeas on closure date of NFO, whereas the switch-in requests under the Scheme willbe processed on the date of the allotment of the Units. AMC shall not be liablefor losses incurred due to NAV changes, if any, by the investor due to the timelag between switch-outs happening on closure date of NFO and the Switch-in intothe Scheme to be processed on the Allotment date. (Source scheme means thescheme of the Fund from which the investor is seeking to switch-out investmentsto enable switch-in under this Scheme).

    the advisability of investing in securities generally or in the Scheme particularlyor the ability of the CNX Nifty Index to track general stock market performancein India. The relationship of IISL to the Licensee is only in respect of thelicensing of certain trademarks and trade names of its Index which isdetermined, composed and calculated by IISL without regard to the Licenseeor the Scheme. IISL does not have any obligation to take the needs of theLicensee or the owners of the Scheme into consideration in determining,composing or calculating the CNX Nifty Index. IISL is not responsible for orhas participated in the determination of the timing of, prices at, or quantitiesof the Scheme to be issued or in the determination or calculation of theequation by which the Scheme is to be converted into cash. IISL has noobligation or liability in connection with the administration, marketing or tradingof the Scheme.

    IISL do not guarantee the accuracy and/or the completeness of the CNX NiftyIndex or any data included therein and they shall have no liability for anyerrors, omissions, or interruptions therein. IISL does not make any warranty,express or implied, as to results to be obtained by the Licensee, owners of theScheme, or any other person or entity from the use of the CNX Nifty Indexor any data included therein. IISL makes no express or implied warranties,and expressly disclaim all warranties of merchantability or fitness for a particularpurpose or use with respect to the index or any data included therein. Withoutlimiting any of the foregoing, IISL expressly disclaim any and all liability forany damages or losses arising out of or related to the Products, including anyand all direct, special, punitive, indirect, or consequential damages (includinglost profits), even if notified of the possibility of such damages."

  • -: 2 :-

    Market Trading Risks:

    Absence of Prior Active Market: Although units of the Scheme are to belisted on the Exchange, there can be no assurance that an active secondarymarket will develop or be maintained.

    Lack of Market Liquidity: Trading in units of the Scheme on the Exchangemay be halted because of market conditions or for reasons that in the viewof the Market Authorities or SEBI, trading in units of the Scheme is notadvisable. In addition, trading in units of the Scheme is subject to tradinghalts caused by extraordinary market volatility and pursuant to NSE and SEBI''circuit filter'' rules. There can be no assurance that the requirements of theMarket necessary to maintain the listing of units of the Scheme will continueto be met or will remain unchanged.

    Units of the Scheme may trade at Prices Other than NAV: Units of theScheme may trade above or below its NAV. The NAV of the Scheme willfluctuate with changes in the market value of Scheme's holdings. The tradingprices of units of the Scheme will fluctuate in accordance with changes intheir NAVs as well as market supply and demand of units of the Scheme.However, given that units can be created and redeemed only in CreationUnits directly with the Fund, it is expected that large discounts or premiumsto the NAVs of the Scheme will not sustain due to arbitrage possibilityavailable.

    Regulatory Risk: Any changes in trading regulations by the Stock Exchange/s or SEBI may affect the ability of market maker to arbitrage resulting intowider premium/ discount to NAV. Although, the units is proposed to be listedon NSE, the AMC and the Trustees will not be liable for delay in listing ofUnits of the Scheme on the stock exchanges / or due to connectivity problemswith the depositories due to the occurrence of any event beyond their control.

    Settlement Risk: In certain cases, settlement periods may be extendedsignificantly by unforeseen circumstances. The inability of the Scheme to makeintended securities purchases due to settlement problems could cause theScheme to miss certain investment opportunities as in certain cases,settlement periods may be extended significantly by unforeseencircumstances. Similarly, the inability to sell securities held in the Schemeportfolio may result, at times, in potential losses to the Scheme, and therecan be a subsequent decline in the value of the securities held in the Schemeportfolio.

    Right to Limit Redemptions: The Trustee, in the general interest of the Unitholders of the Scheme offered in this Document and keeping in view theunforeseen circumstances / unusual market conditions, may limit the totalnumber of Units which can be redeemed on any Business Day.

    Redemption Risk

    Investors should note that even though the Scheme is an open ended Scheme,subscription/redemptions directly with the Fund would be limited to suchinvestors who have the ability to subscribe/redeem the units of the Scheme inspecific lot sizes. Generally, these lot sizes are larger as compared to normalfunds. Even though this Scheme is open ended due to large lot size, very fewinvestors can directly subscribe and redeem the units of the Scheme. However,investors wishing to subscribe/redeem units in other than specific lot sizes cando so by buying/selling the same on the Stock Exchange. Investors can alsoapproach the Fund directly for redemption in other than Creation Unit Size onoccurrence of various events as listed in this document.

    Passive Investments

    The Scheme is not actively managed. The Scheme may be affected by a generaldecline in the Indian markets relating to its Underlying Index. The Scheme investsin the securities included in its Underlying Index regardless of their investmentmerit. The AMC does not attempt to individually select stocks or to take defensivepositions in declining markets.

    Tracking Error Risk

    The AMC would monitor the tracking error of the Scheme on an ongoing basisand would seek to minimize tracking error to the maximum extent possible. Undernormal circumstances, the AMC will endeavour that the tracking error of theScheme does not exceed 2% per annum. However, this may vary due to variousreasons mentioned below or any other reasons that may arise and particularlywhen the markets are very volatile.

    Factors such as the fees and expenses of the Scheme, Corporate Actions, Cashbalance, changes to the Underlying Index and regulatory policies may affectAMC's ability to achieve close correlation with the Underlying Index of eachScheme. The Scheme's returns may therefore deviate from those of its UnderlyingIndex. "Tracking Error" is defined as the standard deviation of the differencebetween daily returns of the index and the NAV of the Scheme. Tracking Errormay arise due to the following reasons:-

    Expenditure incurred by the Scheme.

    The funds may not be invested at all times as it may keep a portion of thefunds in cash to meet redemptions or for corporate actions of securities inthe index.

    Securities trading may halt temporarily due to circuit filters.

    Corporate actions such as rights, merger, change in constituents etc.

    Rounding off quantity of shares underlying the index

    Index providers undertake a periodical review of the scrips that comprisethe Underlying Index and may either remove or include new scrips. In suchan event, the Scheme will endeavour to reallocate its portfolio but the availableinvestment opportunity may not permit absolute mirroring immediately.

    Risk associated with Investing in money market instruments

    Interest Rate risk: This risk is associated with movements in interest rate,which depend on various factors such as government borrowing, inflation,economic performance etc. The values of investments will appreciate/depreciate if the interest rates fall/rise.

    Credit risk: This risk arises due to any uncertainty in counterparty's ability orwillingness to meet its contractual obligations. This risk pertains to the risk ofdefault of payment of principal and interest.

    Risk & Description

    Market Risk: The Scheme is vulnerableto movements in the prices of securitiesinvested by the Scheme, which couldhave a material bearing on the overallreturns from the Scheme. The value ofthe Scheme's investments, may beaffected generally by factors affectingsecurities markets, such as price andvolume, volatility in the capital markets,interest rates, currency exchange rates,changes in policies of the Government,taxation laws or any other appropriateauthority policies and other political andeconomic developments which mayhave an adverse bearing on individualsecurities, a specific sector or all sectorsincluding equity and debt markets.

    Liquidity Risk: The liquidity of theScheme's investments is inherentlyrestricted by trading volumes in thesecurities in which it invests.

    Tracking Error risk (Volatility/

    Concentration risk): The performance

    of the Scheme may not be

    commensurate with the performance

    of the Underlying Index on any given

    day or over any given period.

    Risk Mitigants/Management Strategy

    Market risk is a risk which is inherentto an equity scheme. In order tomitigate the risk, the portfolio of theScheme will be constructed inaccordance with the investmentrestriction specified under theRegulations which would help inmitigating certain risks relating toinvestments in securities market.

    The Scheme will try to maintain aproper asset-liability match to ensureredemption payments are made ontime and not affected by illiquidity ofthe underlying stocks.

    The objective of the Scheme is that theNAV should closely track theperformance of the Underlying Indexover the same period subject to trackingerror. The Scheme would endeavor tomaintain a low tracking error by activelyaligning the portfolio in line with theindex. The tracking error on a longerterm is expected to be generally in therange of 0-2%. A large portion of thetracking error is from the cash positiontaken to reduce the impact cost due tosubscriptions & redemptions. However,there could be scenarios where themarkets moves up/ down sharply whichmay result in the instances where thetracking error could exceed 2%.

    Risks associated with Equity investment

    Liquidity risk: The liquidity of a security may change depending on marketconditions leading to changes in the liquidity premium linked to the price ofthe security. At the time of selling the security, the security can become illiquidleading to loss in the value of the portfolio.

    Risk management strategies: The Fund by utilizing a holistic risk managementstrategy will endeavor to manage risks associated with investing in debt markets.The risk control process involves identifying & measuring the risk through variousrisk measurement tools.

    The Fund has identified following risks of investing in various securities anddesigned risk management strategies, which are embedded in the investmentprocess to manage such risks.

    OPTIONS:

    Not applicable. The Trustees reserve the right to introduce/ alter/ extinguish any

    of the option at a later date.

    LIQUIDITY:

    Through Stock Exchange:

    The Scheme will be listed on National Stock Exchange (NSE). Buying or selling of

    units of the Scheme by investors can be done on all the Trading Days of the stock

    exchange. The minimum number of units that can be bought or sold is 1 (one)

    unit.

    Directly with the Mutual Fund:

    The Authorized Participant/Large Investor can subscribe/redeem the units of the

    Scheme directly with the Mutual Fund only in Creation Unit Size and in multiples

    thereof at the applicable NAV of the Scheme. The Fund may allow cash purchases/

    cash redemption of the units of the Scheme in Creation Unit Size by Large Investor/

    Authorized Participant. Purchase/redemption request shall be made by such investor

    to the Fund whereupon the Fund shall arrange to buy/sell the underlying portfolio

    of securities on behalf of the investor. In case of shares bought and sold by AMC

    on behalf of the investor, the profit/loss due to buy/sell of shares and transaction

    handling charges/costs would be borne by investor.

    Investors, other than Authorised Participants, can sell units in less than Creation

    Unit Size of the Scheme directly to the Mutual Fund in the following cases:

    if the traded price of the ETF units is at a discount of more than 3% to the

    NAV for continuous 30 days;

    if discount of bid price to applicable NAV is more than 3% over a period of 7

    consecutive trading days;

    if no quotes are available on exchange for 3 consecutive trading days;

    when the total bid size on the exchange(s) is less than half Creation Unit Size

    daily, averaged over a period of 7 consecutive trading days.

    Under these circumstances, investors as specified above can redeem units of the

    Scheme directly with the fund house without any payment of exit load.

  • -: 3 :-

    REDEMPTION PROCEEDS:

    With respect to the redemption request received directly by the Fund, the Fund

    shall dispatch redemption proceeds within 10 Business Days of receiving the

    redemption request.

    APPLICABLE NAV

    Net Asset Value per Unit of the Schemes as declared by the Fund and applicable for

    valid Purchase/Redemption requests of Units of the Scheme, based on the Business

    Day and Cut-off times at which the application is received and accepted. Please refer

    Scheme Information Document for details.

    MINIMUM APPLICATION AMOUNT:

    During NFO: Rs. 5,000 and in multiples of Re.1.

    Continuous Offer:

    On Exchange: Investors can buy/sell units of the Scheme on a continuous basis

    in the normal market segment of National Stock Exchange of India Limited (NSE)

    during the trading hours like any other publicly traded stock at prices which are

    quoted on NSE in round lot of 1 unit and in multiples thereof.

    Directly with the Mutual Fund: Authorised Participants/ Large Investors can buy/sell units of the Scheme in Creation Unit Size viz. 50,000 and in multiples thereof.

    Investors, other than Authorised Participants, can sell units in less than Creation

    Unit Size of the Scheme directly to the Mutual Fund in the following cases:

    if the traded price of the ETF units is at a discount of more than 3% to the

    NAV for continuous 30 days;

    if discount of bid price to applicable NAV is more than 3% over a period of

    7 consecutive trading days;

    if no quotes are available on exchange for 3 consecutive trading days;

    when the total bid size on the exchange(s) is less than half Creation Unit Size

    daily, averaged over a period of 7 consecutive trading days.

    Under these circumstances, investors as specified above can redeem units of

    the Scheme directly with the fund house without any payment of exit load.

    BENCHMARK INDEX:

    CNX Nifty Index

    DIVIDEND POLICY:

    The Trustee may approve the distribution of dividends by the AMC out of the net

    surplus of the Scheme. To the extent the net surplus is not distributed, the same

    will remain invested in the Scheme and be reflected in the NAV.

    NAME OF THE FUND MANAGER: Mr. Kayzad Eghlim

    NAME OF THE TRUSTEE COMPANY: ICICI Prudential Trust Limited

    PERFORMANCE OF THE SCHEME:

    The Scheme does not have any performance track record.

    HOW IS THE SCHEME DIFFERENT FROM OTHER SCHEMES

    Following para shows how the Scheme is different from the existing open ended

    exchange traded funds of the Mutual Fund (viz. SENSEX Prudential ICICI Exchange

    Traded Fund ("SPIcE") and ICICI Prudential Gold Exchange Traded Fund).

    SENSEX Prudential ICICI Exchange Traded Fund ("SPIcE")

    Asset Allocation as per SID (in %)

    Securities comprising the SENSEX: - 0 to 100%

    Money Market instruments, convertible bonds & other securities: 0 to 10%

    Investment Objective

    The investment objective of the "SPIcE" is to provide investment returns that,

    before expenses, closely correspond to the total returns of the securities as

    represented by the SENSEX. However, the performance of Scheme may differ

    from that of the Underlying Index due to tracking error. There can be no

    assurance or guarantee that the investment objective of the Plan will be achieved.

    Investment Strategy

    Principal Investment Strategies

    The AMC uses a ''passive'' or indexing approach to try and achieve Scheme's

    investment objective.

    The SENSEX ETF/ "SPIcE" will invest upto 100% of its total assets in the stocks

    of its Underlying Index. The SENSEX ETF/ "SPIcE" may hold upto 10% of their

    total assets in stocks not included in the corresponding Underlying Index. For

    example, the AMC may invest in stocks not included in the relevant Underlying

    Index in order to reflect various corporate actions (such as mergers) and other

    changes in the relevant Underlying Index (such as reconstitutions, additions,

    deletions and these holdings will be in anticipation and in the direction of

    impending changes in the Underlying Index). As long as a Scheme invests at

    least 90% of its total assets in the stocks of its Underlying Index, it may also

    invest its other assets in futures contracts, options on futures contracts, options,

    and swaps related to its Underlying Index, as well as cash and cash equivalents.

    In case of dissolution of the SENSEX, the Trustees reserve the right to modify/

    alter the terms of the Scheme to reflect any other index that may be deemed

    appropriate.

    Assets under Management (As at December 31, 2012): Rs. 0.92 crore

    No. of folios as on January 31, 2013: 2

    ICICI Prudential Gold Exchange Traded Fund

    Asset Allocation as per SID (in %)

    Gold bullion and instruments with Gold as underlying that may be specified by

    SEBI: 95 to 100%

    Debt & Money Market Instruments (including cash & cash equivalent)*: 0 to 5%

    *Investments in Securitised debt shall be limited to the maximum exposure

    allowed to the debt instruments as per above asset allocation.

    Investment Objective

    The objective of the Scheme is to seek to provide investment returns that, before

    expenses, closely track the performance of domestic prices of Gold derived from

    the LBMA AM fixing prices. However, the performance of the Scheme may differ

    from that of the underlying gold due to tracking error. There can be no assurance

    or guarantee that the investment objective of the Scheme will be achieved.

    The fund is not actively managed. It does not engage in any activities designed

    to obtain a profit from, or to ameliorate losses caused by, changes in the price

    of gold.

    Investment Strategy

    The AMC uses a "passive" approach to try and achieve Scheme investment

    objective. The Scheme invests in gold as an asset regardless of such

    investment merit.

    The Scheme will invest at least 95% of its total assets in the Gold or gold

    related securities. It may hold upto 5% of their total assets in debt or money

    market securities. Expectation is that, over time, the tracking error of the

    Scheme relative to the performance of the Underlying Index will be relatively

    low.

    The Investment Manager would monitor the tracking error of the Scheme on

    an ongoing basis and would seek to minimize tracking error to the maximum

    extent possible. There can be no assurance or guarantee that the Scheme

    will achieve any particular level of tracking error relative to performance of

    the benchmark Index.

    All the Investment decision will be taken by the designated Fund Manager

    under the supervision of Chief Investment Officer.

    Any other strategy notified by the regulators from time to time.

    Assets under Management (As at December 31, 2012): Rs. 201.22 crore

    No. of folios as on January 31, 2013: 4,775

    ICICI Prudential Nifty ETF

    Asset Allocation as per SID (in %) - Please refer para on 'ASSET ALLOCATIONPATTERN'.

    Investment Objective - Please refer para on 'INVESTMENT OBJECTIVE'.

    Investment Strategy - Please refer para on 'INVESTMENT STRATEGY'.

    Assets under Management (As at December 31, 2012) - N/A

    No. of folios as on January 31, 2013 - N/A

    EXPENSES OF THE SCHEME:

    Load Structure:

    Entry load: Not applicable. In terms of SEBI circular no. SEBI/IMD/CIR No.4/168230/09 dated October 07, 2009, no entry load will be charged to the investor

    effective August 1, 2009. 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.

    Exit load: There will be no exit load for units sold through the secondary marketon the NSE. Investors shall note that the brokerage on sales of the units of the

    Scheme on the stock exchanges shall be borne by the investors.

    Authorized Participant and Large Investor can redeem units directly with the Fund

    at Applicable NAV based prices. Currently there is no exit load applicable for the

    said transactions. However, the Trustees reserves right to introduce exit load at

    later date.

    Investors, other than Authorised Participants, can sell units in less than Creation

    Unit Size of the Scheme directly to the Mutual Fund in the following cases:

    if the traded price of the ETF units is at a discount of more than 3% to the

    NAV for continuous 30 days;

    if discount of bid price to applicable NAV is more than 3% over a period of

    7 consecutive trading days;

    if no quotes are available on exchange for 3 consecutive trading days;

    when the total bid size on the exchange(s) is less than half Creation Unit Size

    daily, averaged over a period of 7 consecutive trading days.

    Under these circumstances, investors as specified above can redeem units of

    the Scheme directly with the fund house without any payment of exit load.

    Recurring Expenses:

    As per the Regulations, the maximum recurring expenses that can be charged to

    the Scheme shall not exceed one and one half percent (1.5%) of daily net assets.

    In addition to the limits specified above the following costs or expenses may be

    charged to the Scheme, namely:

    (i) The AMC may charge service tax on investment and advisory fees to the

    Scheme of the Fund in addition to the maximum limit of total expenses

    ratio as prescribed in Regulation 52 of the Regulations, whereas service tax

    on other than investment and advisory fees, if any, shall be borne by the

    scheme within the maximum limit as per regulation 52 of the Regulations.

    (ii) expenses not exceeding of 0.30 per cent of daily net assets, if the new

    inflows from such cities as specified by the Securities and Exchange Board

    of India, from time to time are at least -

    30 per cent of the gross new inflows into the Scheme, or;

    15 per cent of the average assets under management (year to date)

    of the Scheme,

  • -: 4 :-

    whichever is higher;

    Provided that if inflows from such cities are less than the higher of the

    above, such expenses on daily net assets of the Scheme shall be charged

    on proportionate basis;

    Provided further that expenses charged under this clause shall be utilised

    for distribution expenses incurred for bringing inflows from such cities;

    Provided further that amount incurred as expense on account of inflows

    from such cities shall be credited back to the Scheme in case the said

    inflows are redeemed within a period of one year from the date of

    investment.

    (iii) Additional expenses, incurred towards different heads mentioned under sub-

    regulations (2) and (4) of Regulation 52 of the Regulations, not exceeding

    0.20 per cent of daily net assets of the Scheme.

    Additionally at least 2 basis points on daily net assets within the maximum limit

    of overall expense Ratio shall be annually set apart for investor education and

    awareness initiatives.

    Further, the brokerage and transaction cost incurred for the purpose of execution

    of trade may be capitalized to the extent of 12bps for cash market transactions.

    Any payment towards brokerage and transaction cost, over and above the said

    12 bps for cash market transactions may be charged to the Scheme within the

    maximum limit of Total Expense Ratio as prescribed under regulation 52 of the

    SEBI (Mutual Funds) Regulations, 1996. Service tax on brokerage and transaction

    cost paid for execution of trade, if any, shall be within the limit prescribed under

    regulation 52 of the Regulations.

    The expenses are fungible within the overall maximum limit prescribed under

    SEBI (Mutual Funds) Regulations. This means that mutual fund can charge

    expenses within overall limits, without any internal cap on the expenses head.

    The Scheme shall not incur any distribution expenses.

    Subject to Regulations, expenses over and above the prescribed limit shall be

    borne by the Asset Management Company.

    ACTUAL EXPENSES FOR THE PREVIOUS FINANCIAL YEAR:

    Not applicable as the Scheme is new.

    WAIVER OF LOAD FOR DIRECT APPLICATIONS:

    Not applicable.

    TAX BENEFITS OF INVESTING IN THE MUTUAL FUND:

    Investors are advised to refer to Statement of Additional Information (SAI)

    available on the website of AMC viz; www.icicipruamc.com and also

    independently refer to the tax advisor.

    PUBLICATION OF DAILY NET ASSET VALUE (NAV):

    The AMC will calculate and disclose the first NAV within 5 business days from the

    date of allotment. Subsequently, the NAV will be calculated and disclosed at the

    close of every business day. NAV shall be published at least in two daily newspapers

    having circulation all over India. NAV shall be made available at all Customer Service

    Centers of the AMC. AMC shall update the NAVs on the website of Association of

    Mutual Funds in India - AMFI (www.amfiindia.com) and AMC website

    (www.icicipruamc.com) by 9:00 p.m. on every Business Day.

    FOR INVESTOR GRIEVANCES PLEASE CONTACT:

    Name and Address of Registrar Name, address, telephone number, fax number,

    e-mail address of ICICI Prudential Mutual Fund

    Computer Age Management Ms. Kamaljeet Saini Investor Relations Officer

    Services Pvt. Ltd. ICICI Prudential Asset Management Company Ltd.Unit: ICICI Prudential Mutual Fund 2nd Floor, Block B-2, Nirlon Knowledge Park,New No 10. Old No. 178, Western Express Highway, Goregaon (East),Opp. to Hotel Palm Grove, Mumbai - 400 063.

    MGR Salai (K.H. Road), Phone: (91)(22) 26852000, Fax: (91)(22) 2686 8313Chennai - 600 034. e-mail: [email protected]

    UNITHOLDERS INFORMATION:

    The AMC shall disclose portfolio of all the schemes on the website

    www.icicipruamc.com alongwith ISIN on a monthly basis as on last day of each

    month, on or before tenth day of the succeeding month.

    The Fund shall before the expiry of one month from the close of each half year,

    that is as on March 31 and September 30, publish its scheme portfolios in one

    English daily newspaper having all India circulation and in a newspaper published

    in the language of the region where the Head Office of the AMC is situated in

    the prescribed format and update the same on AMC's website at

    www.icicipruamc.com and AMFI's website www.amfiindia.com.

    In terms of Regulations 59 and SEBI circular no. CIR/IMD/DF/21/2012 dated

    September 13, 2012, the AMC shall within one month from the close of each

    half year, that is on 31st March and on 30th September, host a soft copy of its

    unaudited financial results on their website. The half-yearly unaudited report shall

    contain details as specified in Twelfth Schedule and such other details as are

    necessary for the purpose of providing a true and fair view of the operations of

    the mutual fund. Further, the AMC shall publish an advertisement disclosing the

    hosting of such financial results on their website, in atleast one English daily

    newspaper having nationwide circulation and in a newspaper having wide

    circulation published in the language of the region where the Head Office of the

    mutual fund is situated.

    It is hereby notified that wherever the investor(s) has/have provided his/their e-

    mail address in the application form in any of the folio belonging to the

    investor(s), the Fund/ Asset Management Company reserves the right to use

    Electronic Mail (e-mail) as a default mode to send various communications for

    transactions done by the investor(s).

    TRANSACTION CHARGES

    Pursuant to SEBI Circular No. Cir/ IMD/ DF/13/ 2011 dated August 22, 2011transaction charge per subscription of Rs.10,000/- and above may be chargedin the following manner:

    i. The existing investors may be charged Rs.100/- as transaction charge persubscription of Rs.10,000/- and above;

    ii. A first time investor may be charged Rs.150/- as transaction charge persubscription of Rs.10,000/- and above.

    There shall be no transaction charge on subscription below Rs. 10,000/- andon transactions other than purchases/ subscriptions relating to new inflows.

    Investors may note that distributors can opt to receive transaction chargesbased on 'type of the Scheme'. Accordingly, the transaction charges would bededucted from the subscription amounts, as applicable.

    The aforesaid transaction charge shall be deducted by the Asset ManagementCompany from the subscription amount and paid to the distributor, as the

    case may be and the balance amount shall be invested in the relevant schemeopted by the investor.

    However, upfront commission to distributors will be paid by the investordirectly to the distributor, based on his assessment of various factors includingthe service rendered by such distributor.

    Transaction Charges shall not be deducted if:

    Purchase/Subscription made directly with the fund through any mode (i.e.

    not through any distributor/agent).

    Purchase/ subscription made through stock Exchange, irrespective of

    investment amount.

    CAS/ Statement of account shall state the net investment (i.e. gross

    subscription less transaction charge) and the number of units allotted againstthe net investment.

    ACCOUNT STATEMENT:

    As the units of the Scheme will be issued, traded and settled in dematerialized

    (electronic) form, the statement of holding of the beneficiary account holder will be

    sent by the respective Depository Participant periodically.

    MAILING OF SCHEME WISE ANNUAL REPORT OR ABRIDGED SUMMARY:

    Pursuant to Securities and Exchange Board of India (Mutual Funds) (Amendments)

    Regulations, 2011 dated August 30, 2011 read with SEBI circular No. Cir/ IMD/

    DF/16/ 2011 dated September 8, 2011, the unit holders are requested to note

    that scheme wise annual report and/or abridged summary of annual reports of

    the Schemes of the Fund shall be sent to the unit holders only by email at their

    email address registered with the Fund.

    Physical copies of the annual report or abridged summary of annual reports will

    be sent to those Unit holders whose email address is not available with the

    Fund and/or who have specifically requested or opted for the same.

    The unit holders are requested to update/ provide their email address to the

    Fund for updating the database.

    Physical copy of the scheme wise annual report or abridged summary will be

    available to the unit holders at the registered office of the Fund/AMC. A separate

    link to scheme annual report or abridged summary is available on the website

    of the Fund.

    As per regulation 56(3) of the Regulations, copy of Schemewise Annual Report

    shall be also made available to unitholder on payment of nominal fees. Further

    as per Securities and Exchange Board of India (Mutual Funds) (Third Amendment)

    Regulations, 2008

    Notification dated September 29, 2008 & SEBI Circular No. SEBI/IMD/CIR No. 10/141712/

    08 October 20, 2008, the schemewise Annual Report of a mutual fund or an abridged

    summary shall be mailed to all unitholders as soon as may be possible but not later

    than four months from the date of closure of the relevant accounts year.

    CASH INVESTMENTS IN THE SCHEME:

    Pursuant to SEBI circular dated September 13, 2012, it is permitted to accept

    cash transactions to the extent of Rs. 20,000/- subject to compliance with

    Prevention of Money Laundering Act, 2002 and Rules framed there under and

    the SEBI Circular(s) on Anti Money Laundering (AML) and other applicable AML

    rules, regulations and guidelines. Provided that the limit shall be applicable per

    investor for investments done in a financial year across all schemes of the Mutual

    Fund, subject to sufficient systems and procedures in place for such acceptance.

    However any form of repayment either by way of redemption, dividend, etc.

    with respect to such cash investment shall be paid only through banking channel.

    The Asset Management Company is in process of implementing adequate systems

    and controls to accept Cash Investment in the Scheme. Information in this regard

    will be provided to Investors as and when the facility is made available.

    RAJIV GANDHI EQUITY SAVINGS SCHEME:

    The Finance Act 2012 has introduced a new section viz., 80CCG to Income Tax

    Act, 1961 (the Act), on 'Deduction in respect of investment made under an equity

    savings scheme' to give tax benefits to new investors who invest up to Rs. 50,000

    and whose gross total annual income is less than or equal to Rs. 10 lakhs. The

    objective of the Scheme is to encourage flow of savings in the financial

    instruments and improve the depth of the domestic capital market.

    Further, vide notification dated November 23, 2012, Department of Revenue,

    Ministry of Finance (MoF) has notified Rajiv Gandhi Equity Savings Scheme, 2012

    (the RGESS guidelines). The RGESS guidelines deal with various provisions with

    respect to the said deduction under section 80CCG of the Act.

  • -: 5 :-

    Units issued under ICICI Prudential Nifty ETF qualify to be eligible security under

    the RGESS guidelines.

    Summary of the RGESS guidelines

    The deduction under the RGESS guidelines shall be available

    to a new retail investor who complies with the conditions of

    the RGESS guidelines and whose gross total income for the

    financial year in which the investment is made under the

    RGESS guidelines is less than or equal to Rs. 10 lakhs.

    Where "new retail investor" means the following resident

    individuals:-

    (a) any individual who has not opened a demat account and

    has not made any transactions in the derivative segment

    as on the date of notification of the RGESS guidelines;

    (b) any individual who has opened a demat account before

    the notification of the RGESS guidelines but has not made

    any transactions in the equity segment or the derivative

    segment till the date of notification of the RGESS

    guidelines, and any individual who is not the first account

    holder of an existing joint demat account shall be deemed

    to have not opened a demat account for the purposes of

    the RGESS guidelines.

    And;

    "eligible securities" means any of the following :-

    (a) equity shares, on the day of purchase, falling in the list

    of equity declared as "BSE-100" or "CNX-100" by the

    Bombay Stock Exchange and the National Stock

    Exchange, as the case may be;

    (b) equity shares of public sector enterprises which are

    categorised as Maharatna, Navratna or Miniratna by the

    Central Government;

    (c) Units of Exchange Traded Funds (ETFs) or Mutual Fund

    (MF) schemes with Rajiv Gandhi Equity Savings Scheme

    (RGESS) eligible securities as underlying, as mentioned

    in sub-clause (a) or sub-clause (b) above, provided they

    are listed and traded on a stock exchange and settled

    through a depository mechanism. As per the decision

    taken at the meeting between, SEBI, Ministry of Finance

    and representatives of various mutual funds, though

    mutual fund schemes are not traded on the Stock

    Exchanges, redemption through Exchanges will be

    accepted as conforming to this requirement;

    (d) Follow on Public Offer of sub-clauses (a) and (b) above;

    (e) New Fund Offers (NFOs) of sub-clause (c) above;

    (f) Initial Public Offer of a public sector undertaking wherein

    the government shareholding is at least fifty-one per cent.

    which is scheduled for getting listed in the relevant

    previous year and whose annual turnover is not less than

    four thousand crore rupees during each of the preceding

    three years;

    A new retail investor can make investments under the RGESS

    guidelines in the following manner:-

    a new retail investor may make investment in eligible

    securities in one or more than one transactions during

    the year in which the deduction has to be claimed;

    a new retail investor may make any amount of investment

    in the demat account but the amount eligible for

    deduction, under the RGESS guidelines shall not exceed

    fifty thousand rupees;

    the eligible securities brought into the demat account, as

    declared or designated by the new retail investor, will

    automatically be subject to lock-in during its first year,

    unless the new retail investor specifies otherwise and for

    such specification, the new retail investor shall submit a

    declaration, indicating that such securities are not to be

    included within the above limit of investment;

    a new retail investor who has claimed a deduction under

    sub- section (1) of section 80CCG of the Act, in any

    assessment year, shall not be allowed any deduction

    under the RGESS guidelines for any subsequent

    assessment year;

    a new retail investor can make investments in securities

    other than the eligible securities covered under the

    RGESS guidelines and such investments shall not be

    subject to the conditions of the RGESS guidelines nor

    shall they be counted for availing the benefit under the

    RGESS guidelines;

    the deduction claimed shall be withdrawn if the lock-in

    period requirements of the investment are not complied

    with or any other condition of the RGESS guidelines is

    violated.

    Eligibility

    Procedure for

    investment

    under the

    RGESS

    guidelines

    The above is provided only for general information purpose.

    Investors may note that, eligibility for deduction under section 80CCG shall be

    subject to complying with various provisions of the RGESS guidelines and other

    applicable tax laws. Investors are advised to consult with his or her own tax/

    financial consultant with respect to their participation in the Scheme.

    Note: The Scheme under this document was approved by the Directors of ICICIPrudential Trust Limited vide resolution passed by circulation dated November

    30, 2012.

    The Trustees have ensured that the Scheme approved by them is new products

    offered by ICICI Prudential Mutual Fund and is not a minor modification of the

    exiting Schemes.

    For and on behalf of the Board of Directors of

    ICICI Prudential Asset Management Company Limited

    Sd/-

    Place: Mumbai Nimesh ShahDate : February 15, 2013 Managing Director

    Period of

    holding

    requirements

    Consequences

    of non-

    compliance

    with the

    RGESS

    guidelines

    The period of holding of eligible securities shall be three

    years to be counted in the manner detailed in the RGESS

    guidelines.

    All eligible securities are required to be held for a period

    called fixed lock-in period which shall commence from

    the date of purchase of such securities in the relevant

    financial year and end one year from the date of purchase

    of the last set of eligible securities (in the same financial

    year) on which deduction is claimed under the RGESS

    guidelines.

    New retail investor shall not be permitted to sell, pledge

    or hypothecate any eligible security during the fixed lock-

    in period.

    A period of two years beginning immediately after the

    end of the fixed lock-in period shall be called the flexible

    lock-in period, wherein the new retail investor shall ensure

    that the demat account under the RGESS guidelines is

    compliant for a cumulative period of a minimum of two

    hundred and seventy days during each of the two years

    of the flexible lock-in period.

    New retail investor's demat account created under the

    RGESS guidelines shall, on the expiry of the period of

    holding of the investment, be converted automatically into

    an ordinary demat account.

    If a new retail investor fails to fulfill any of the provisions of

    the RGESS guidelines, the deduction originally allowed to him

    under sub-section (1) of section 80CCG of the Act for any

    previous year, shall be deemed to be the income of the

    assessee of such previous year and shall be liable to tax for

    the assessment year relevant to such previous year.

  • -: 6 :-

    INSTRUCTIONS TO INVESTORS

    I. GENERAL INSTRUCTIONS

    a) The application form is for Resident Investors/NRIs/FIIs and should becompleted in English in BLOCK Letters. Please read the Key InformationMemorandum and the terms of the Scheme Information Document of theScheme and Statement of Additional Information carefully before filling theApplication Form.

    b) The signature(s) should be in English or in any of the Indian languagesspecified in the eighth schedule of the constitution of India. Thumbimpressions must be attested by a Magistrate or a Notary Public or a SpecialExecutive Magistrate under his/her official seal. Applications by minors shouldbe signed by their guardians. In case of HUF, the Karta should sign on behalfof the HUF. In case of HUF investments done through Power of Attorney, allthe members of the HUF will have to sign the Power of Attorney.

    c) The application form number, the scheme name and the name of the applicantshould be mentioned on the reverse of the instrument that accompanies theapplication.

    d) The Application completed in all respects along with the cheque / demanddraft must be submitted to the nearest Customer Service Centre. Applicationsincomplete in any respect or not accompanied by a cheque or demand draftfor the amount payable are liable to be rejected and the money paid, if any,will be refunded without interest.

    e) No receipt will be issued for the application money. The Customer Service Centerswill stamp and return the acknowledgement slip in the application form, toacknowledge receipt of the application.

    II. UNITHOLDERS INFORMATION

    a) Existing Unitholders

    Investors already having an account in any of the ICICI Prudential Schemes shouldprovide their Folio Number. The names of the applicants, mode of holding etc.will be as per the folio number provided. Existing unitholders should mentionthe Folio Number and directly proceed to Step 4 after providing the PAN details,which are mandatory.

    b) New Applicant

    1. Name and address must be given in full (P.O. Box Address is not sufficient).In case of NRI/PIO/FII investors, an overseas address must be provided.

    2. Name of guardian must be mentioned if the investments are being made onbehalf of a minor. Date of Birth is mandatory in case of minor.

    Investments of the existing minor investor on minor attaining majority:Upon attaining majority, a minor has to write to the fund, giving his specimensignature duly authenticated by his banker as well his new bank mandate,PAN details, in order to facilitate the Fund to update its records and permitthe erstwhile minor to operate the account in his own right.

    3. Guardian in the folio(s) on behalf of the minor should either be a naturalguardian (i.e. father or mother) or a court appointed legal guardian.

    4. The information on the relationship/status of the guardian as father, motheror legal guardian will be mandatory.

    5. In case of natural guardian, the documents evidencing the relationship willhave to be submitted (if the same is not available as part of the documentssubmitted for proof of DOB).

    6. In case of court appointed legal guardian- a notorised photo copy of thecourt order should be submitted alongwith the application.

    7. Date of birth of the minor along with photocopies of supportingdocuments as enumerated below shall be mandatory while opening theaccount on behalf of minor:

    i) Birth certificate of the minor, or

    ii) School leaving certificate / Mark sheet issued by Higher SecondaryBoard of respective states, ICSE, CBSE etc., or

    iii) Passport of the minor, or

    iv) Any other suitable proof evidencing the date of birth of the minor.

    8. In case of an application under Power of Attorney or by a limited company,body corporate, registered society, trust or partnership, etc. the relevantPower of Attorney or the relevant resolution or authority to make theapplication as the case may be, or duly certified copy thereof, along with theMemorandum and Articles of Association/ bye-laws must be lodged alongwith the application form.

    Power of Attorney (POA): In case an investor has issued Power of Attorney(POA) for making investments, switches, redemptions etc. under his folio, boththe signature of the investor and the POA holder have to be clearly capturedin the POA document to be accepted as a valid document. At the time ofmaking redemption / switches the fund would not be in a position to processthe transaction unless, POA holders signature is available in the POA or proofof identity alongwith signature is produced along with the POA.

    9. PAN is mandatory: As per SEBI Circular MRD/Dop/Cir/-05/2007 dated May10, 2007 Permanent Account Number (PAN) has been made the soleidentification number for all participants transacting in the securities market,irrespective of the amount of transaction, w.e.f. July 02, 2007. PAN ismandatory for all mutual fund investments w.e.f. 1st January, 2008.

    Accordingly, any application not accompanied with the PAN is liable to berejected.

    10. Applicants should indicate their status by ticking the appropriate box.Applications without a tick in the Status box will be considered asinvestment by Others. Those who select the status as Others, they shouldspecify their status in the space provided.

    11. Applicants should specify the mode of holding. In case it is not mentioned,the default will be anyone or survivor. In the case of joint holders, thefirst named holder shall receive all the Account Statements, dividend/redemption/refund warrants and any other correspondence sent from timeto time.

    III. BANK DETAILS

    The first Unitholder should provide the name of the bank branch, completeaddress of the branch, account type and account number, which is mandatoryas per Securities and Exchange Board of India circular IIAMRP/MF/CIR/07/826/98dated April 15, 1998. Applications without this information will be deemed to beincomplete.

    Please quote 9 Digit MICR Code No. and 11 Digit IFSC Code of your Bank andBranch corresponding to Bank Account details. In case of At Par accounts, kindlyprovide the correct MICR number of the bank branch. (MICR code appears onevery leaf of your cheque book after your cheque number). Please attach a blankcancelled Cheque or a clear photocopy of a cheque issued by your bankverifying of the Code No.

    Maturity payment or dividend payment would be made as per the bank accountdetails available in BENPOS file.

    Change of Bank Mandate: Since units of the scheme will be issued in demat formonly, Investors are requested to approach their respective Depository Participantsfor any request for change of bank details.

    IV. INVESTMENT DETAILS

    Plans and Options:

    Not applicable. The Trustees reserve the right to introduce/alter/extinguish anyof the option at a later date.

    Minimum Application Amount:

    During NFO: Rs. 5,000 and in multiples of Re.1.

    Continuous Offer:

    On Exchange: Investors can buy/sell units of the Scheme on a continuous basisin the normal market segment of National Stock Exchange of India Limited (NSE)during the trading hours like any other publicly traded stock at prices whichare quoted on NSE in round lot of 1 unit and in multiples thereof.

    Directly with the Mutual Fund: Authorised Participants/ Large Investors canbuy/sell units of the Scheme in Creation Unit Size viz. 50,000 and in multiplesthereof.

    Investors can sell units of the Scheme directly to the Mutual Fund in thefollowing cases:

    if the traded price of the ETF units is at a discount of more than 3% to theNAV for continuous 30 days;

    if discount of bid price to applicable NAV is more than 3% over a period of7 consecutive trading days;

    if no quotes are available on exchange for 3 consecutive trading days;

    when the total bid size on the exchange(s) is less than half creation unitsize daily, averaged over a period of 7 consecutive trading days.

    Under these circumstances, investors can redeem units of the Scheme directlywith the fund house without any payment of exit load.

    V. MODE OF PAYMENT

    a) The cheque should be drawn in favour of ICICI Prudential Nifty ETF andcrossed Account Payee Only. The cheque/demand draft should be payableat the centre where the application is lodged. The cheque/demand draft shouldbe drawn on any bank which is situated at and is a member/sub-member ofthe Bankers Clearing House. Cheques/demand drafts drawn on a bank notparticipating in the Clearing House will not be accepted.

    b) Separate Cheque/Draft is required for each plan/option invested.

    c) Outstation Cheques/Demand Drafts will not be accepted.

    d) Payments by Stockinvest, Money Order, Cash, Postal Order, OutstationCheques, Post-dated Cheques and Demand Drafts will not be accepted.

    MICR cheques will be accepted till the end of business hours upto March14, 2013.

    Transfer cheques and Real Time Gross Settlement (RTGS) request willbe accepted till the end of business hours upto March 18, 2013.

    Switch-in requests from non-equity schemes will be accepted uptoMarch 18, 2013 till the cut-off time applicable for switches.

    Switch-in requests from equity schemes will be accepted upto March14, 2013 till the cut-off time applicable for switches.

  • -: 7 :-

    Switch-in request from ICICI Prudential US Bluechip Equity Fund willnot be accepted.

    Investors can also subscribe to the New Fund Offer (NFO) throughASBA facility.

    e) The Trustee shall have absolute discretion to accept/reject any applicationfor purchase of Units, if in the opinion of the Trustee, increasing the size ofSchemes Unit capital is not in the general interest of the Unitholders, or theTrustee for any other reason believes it would be in the best interest of theSchemes or its Unitholders to accept/reject such an application.

    f) NRI/FII/PIO Investors

    1. Repatriation basis: Payments by NRIs/FIIs/Persons of Indian Origin residingabroad, may be made either by way of Indian Rupee drafts or chequesby means of (i) inward remittance through normal banking channels; or(ii) out of funds held in NRE/FCNR account payable at par and payable atthe cities where the Customer Service Centres are located.

    In case of Indian Rupee drafts purchased through NRE/FCNR Account,an account debit certificate from the bank issuing the draft confirmingthe debit should also be enclosed.

    In case the debit certificate is not provided, the AMC reserves the rightto reject the application of the NRI investors.

    2. Non Repatriation basis: NRIs or Persons of Indian origin residing abroadinvesting on a non-repatriable basis may do so by issuing cheques/demand drafts drawn on Non-Resident Ordinary (NRO) account payableat the cities where the Customer Service Centres are located.

    3. FIRC certificate: In case of investments by Non Resident Indians (NRIs),if FIRC certificate was not submitted, CAMS/AMC will not provide FIRCoutward letters to banks.

    4. Payment of Maturity Proceeds: NRIs shall provide details of purchaseincluding contract notes on or before the maturity date. In the absence ofsuch details on or before the maturity date, TDS towards capital gain wouldbe done at higher applicable rate. For this purpose, the difference betweenallotment NAV and NAV applicable for Maturity payment is considered ascapital gains.

    The plan under the scheme shall be fully redeemed at the end of thematurity period of the respective Plan unless rolled over as per SEBIguidelines.

    VI. NOMINATION

    i) Since units of the scheme will be issued in demat form only, nomination detailsregistered with Depositories will be applicable to the units of the Scheme.

    ii) Nomination facility shall be governed by the rules and bye-laws ofDepositories.

    iii) Investors are requested to approach their respective Depository Participantsfor details.

    VII. DIRECT CREDIT OF DIVIDEND/REDEMPTION: ICICI Prudential AMC hadentered into an arrangement with certain banks; such as Axis Bank, Citibank N.A.,HDFC Bank, HSBC and ICICI Bank, for direct credit of redemption and dividendproceeds if the investors have a bank mandate any of the specified banks.However, the Fund reserves the right to issue a payment instrument in place ofthis direct credit facility, and will not be responsible for any delay on the part ofthe bank for executing the direct credit. The AMC may alter the list of the banksparticipating in direct credit arrangement from time to time / withdraw direct creditfacility from the banks, based on its experience of dealing with any of these banksor add / withdraw the name of the bank with which the direct credit facilityarrangements can be introduced/ discontinued, as the case may be.

    VIII. E-MAIL COMMUNICATION: Delivering service through the internet & web-based services such as e-mail is a more efficient delivery channel. When an investorhas communicated his / her e-mail address and provided consent for sendingcommunication only through email, the Mutual Fund / Registrars are not responsiblefor email not reaching the investor and for all consequences thereof. The Investorshall from time to time intimate the Mutual Fund / its transfer agents about any changesin the email address. In case of a large document, a suitable link would be providedand investor can download, save and print these documents. However, the investoralways has a right to demand a physical copy of any or all the service deliverables,and the Fund would arrange to send the same to the investor. Account statementswill be sent via email, by default, to investors who have provided their email ID, unlessspecified otherwise. It is deemed that the Unit holder is aware of all the security risksassociated with online communication, including the possibility of third partyinterception of the documents sent via email.

    IX. INVESTMENT/SUBSCRIPTION MADE THROUGH THIRD PARTY CHEQUE(S)WILL NOT BE ACCEPTED.

    Third party cheque(s) for this purpose are defined as: (i) Investment madethrough instruments issued from an account other than that of the beneficiaryinvestor, ii) in case the investment is made from a joint bank account, the firstholder of the mutual fund folio is not one of the joint holders of the bank accountfrom which payment is made.

    Third party cheque(s) for investment/subscription shall be accepted, only inexceptional circumstances, as detailed below:

    1) Payment by Parents/Grand-Parents/related persons on behalf of a minor inconsideration of natural love and affection or as gift for a value not exceedingRs.50,000/- (each regular purchase or per SIP instalment). However thisrestriction will not be applicable for payment made by a guardian whose nameis registered in the records of Mutual Fund in that folio.

    2) Custodian on behalf of a Foreign Institutional Investor (FII) or a client.

    3) Payment by Employer on behalf of employee under Systematic InvestmentPlans or lump sum/one-time subscription, through Payroll deductions. Assetmanagement companies should exercise extra due diligence in terms ofensuring the authenticity of such arrangements from a fraud prevention andKYC perspectives.

    The above mentioned exception cases will be processed after carrying outnecessary checks and verification of documents attached along with thepurchase transaction slip/application form, as stated below:

    1) Determining the identity of the Investor and the person making payment i.e.mandatory Know Your Client (KYC) for Investor and the person making thepayment.

    2) Obtaining necessary declaration from the Investor/unitholder and the personmaking the payment. Declaration by the person making the payment shouldgive details of the bank account from which the payment is made and therelationship with the beneficiary.

    3) Verifying the source of funds to ensure that funds have come from the drawer'saccount only.

    In case of investment/subscriptions made via Pay Order, Demand Draft, Banker'scheque, RTGS, NEFT, ECS, bank transfer, net banking etc. Following additionalchecks shall be carried out:

    1) If the investment/subscription is settled with pre-funded instruments such asPay Order, Demand Draft, Banker's cheque, etc., a Certificate from the Issuingbanker must accompany the purchase application, stating the Account holder'sname and the Account number which has been debited for issue of theinstrument. The funds should be debited from a pre-registered pay in accountavailable in the records of the Mutual fund, or from the account of the firstnamed unit holder. Additionally, if a pre-funded instrument issued by the Bankagainst cash, it shall not be accepted for investments of Rs.50,000/- or more.Such prefunded instrument issued against cash payment of less thanRs.50,000/- should be accompanied by a certificate from the banker givingname, address and PAN (if available) of the person who has requested for thedemand draft.

    2) If payment is made by RTGS, NEFT, ECS, bank transfer, etc., a copy of theinstruction to the bank stating the account number debited must accompanythe purchase application. The account number mentioned on the transferinstruction should be from pay in account available in the records, or fromthe account of the first named unit holder.

    Investors are requested to note that AMC reserves right to have additional checksof verification for any mode of payment received. AMC reserves the right to rejectthe transaction in case the payment is received in an account not belonging tothe first unit holder of the mutual fund.

    In case of investors with multiple accounts, in order to ensure smooth processingof investor transactions, it is advisable to register all such accounts, as theinvestments/subscriptions received from the said multiple accounts shall betreated as 1st party payments.

    Refer Third Party Payment Declaration form available on www.icicipruamc.comor at any of the AMCs branch offices.

    X. KNOW YOUR CUSTOMER (KYC) NORMS: With effect from 1st January, 2011,KYC (Know Your Customer) norms are mandatory for ALL investors for makinginvestments in Mutual Funds, irrespective of the amount of investment. Further,to bring uniformity in KYC process, SEBI has introduced a common KYCapplication form for all the SEBI registered intermediaries. With effect from 1stJanuary 2012, all the new investors are therefore requested to use the CommonKYC application form to apply for KYC and mandatorily undergo In PersonVerification (IPV) requirements with SEBI registered intermediaries. For CommonKYC Application Form please visit our website www.icicipruamc.com.

    XI. MODE OF HOLDING:

    Dematerialization:

    As the units of the Scheme will be issued, traded and settled in dematerialized(electronic) form, the statement of holding of the beneficiary account holder willbe sent by the respective Depository Participant periodically. Applicants must ensurethat the sequence of names as mentioned in the application form matches withthat of the account held with the Depository Participant. If the details mentioned inthe application are incomplete/incorrect or not matched with the Depository data,the application shall be treated as invalid and shall be liable to be

    rejected.Allotment letters would be sent to investors who are allotted units in dematmode. The application form should mandatorily accompany the latest Client investormaster/ Demat account statement.

    1. Units of the Scheme will be available only in the Dematerialized form.

    2. The applicant under the Scheme will be required to have a beneficiary accountwith a Depository Participant of NSDL/CDSL and will be required to indicatein the application the DPs name, DP ID Number and its beneficiary accountnumber with DP.

  • -: 8 :-

    3. The units of the Scheme are to be issued/ repurchased and traded compulsorilyin dematerialized form, no request for rematerialisation of units of the Schemewill be accepted.

    4. Applications without relevant details of their depository account are liable tobe rejected.

    XII. PLEDGE/LIEN :

    The Units can be pledged by the Unitholders as security for raising loans subjectto the conditions of the lending institution and the terms and conditions laid downby the Depositories. The Registrar will take note of such pledge /charge in itsrecords.

    XIII. TRANSACTION CHARGES

    Pursuant to SEBI Circular No. Cir/ IMD/ DF/13/ 2011 dated August 22, 2011transaction charge per subscription of Rs.10,000/- and above may be chargedin the following manner:

    i. The existing investors may be charged Rs.100/- as transaction charge persubscription of Rs.10,000/- and above;

    ii. A first time investor may be charged Rs.150/- as transaction charge persubscription of Rs.10,000/- and above.

    There shall be no transaction charge on subscription below Rs. 10,000/- andon transactions other than purchases/ subscriptions relating to new inflows.

    Investors may note that distributors can opt to receive transaction chargesbased on 'type of the Scheme'. Accordingly, the transaction charges wouldbe deducted from the subscription amounts, as applicable.

    The aforesaid transaction charge shall be deducted by the Asset ManagementCompany from the subscription amount and paid to the distributor, as thecase may be and the balance amount shall be invested in the relevant schemeopted by the investor.

    However, upfront commission to distributors will be paid by the investordirectly to the distributor, based on his assessment of various factors includingthe service rendered by such distributor.

    Transaction Charges shall not be deducted if:

    Purchase/Subscription made directly with the fund through any mode (i.e.not through any distributor/agent).

    Purchase/ subscription made through stock Exchange, irrespective ofinvestment amount.

    CAS/Statement of account shall state the net investment (i.e. grosssubscription less transaction charge) and the number of units allotted againstthe net investment.

    XIV. EMPLOYEE UNIQUE IDENTIFICATION NUMBER (EUIN) : Investors procuringadvisory services from non Individual distributors are requested to note that EUINwould assist in tackling the problem of misselling even if the employee/relationshipmanager/sales person leave the employment of the distributor.

  • Occupation [Please ]

    Application No.

    1 FOR EXISTING UNITHOLDERS [Refer to Instruction II(a)] FolioNo.

    Mode of holding [Please ]PAN & KYC [Please refer the instruction Nos.II-b(9), X] (Mandatory)

    Name of Third Applicant

    Name of Second Applicant

    If you have an existing folio with PAN validation & KYC validation, please mention the folio number in the space provided and proceed to Step 4.

    2 ABOUT YOU Date:

    Date of Birth (Mandatory)

    D D M M Y Y Y Y

    Overseas Address (in case of NRIs/FIIs)

    Name of Sole/First Applicant

    Mr. Ms. M/s.

    Please tick () if you wish to receive Account Statement/Annual Report/other statutory information via physical documents instead of email.

    Tax Status [Please tick ()]

    Minor

    NRI/PIO

    Resident Individual

    HUF

    Sole Proprietorship

    Partnership Firm

    Trust

    Bank/FI

    AOP/BoI

    Club/Society

    Company

    FII

    Others (Please specify)

    _________________________

    Name of Parent or Legal Guardian (in case of minor) / Contact Person (In case of non-individual investors)

    Communication: Account Statement/Annual Report/other statutory information will be sent by email to the above mentioned email ID.

    Contact Details

    Please refer to instruction no. II-b(7) for the list of documents to be submitted along with the application in case the first applicant is minor.

    Relationshipwith the Minor Applicant: Father Mother Legal Guardian (For documents to be submitted, refer instruction no. II (b).

    New Fund Offer Opens on March 01, 2013

    New Fund Offer Closes on March 18, 2013ICICI Prudential Nifty ETF(Application to be filled in BLOCK LETTERS in ENGLISH only)

    In case the purchase / subscription amount is Rs. 10,000 or more and your Distributor has opted to receive Transaction Charges, the same are deductible asapplicable from the purchase/subscription amount and payable to the Distributor. Units will be issued against the balance amount invested.

    (An open-ended Index Exchange Traded Fund)

    Single

    Anyone or Survivor

    Joint

    Professional

    Business

    Retired

    Others (Please specify)

    Housewife

    Service

    Student

    PAN (Please attach proof)

    KYC acknowledgement /Copy enclosed

    KYC acknowledgement /Copy enclosed

    KYC acknowledgement /Copy enclosed

    KYC acknowledgement /Copy enclosed

    Know Your Customer (KYC) (Please )

    1st Applicant

    Guardian (in case 1stapplicant is minor)

    2nd Applicant

    3rd Applicant

    APPLICANT DETAILS

    (Default option: Anyone orSurvivor)

    I confirm that I am a First time investor across Mutual Funds.(Rs. 150 deductible as Transaction Charge and payable to the Distributor)

    I confirm that I am an existing investor in Mutual Funds.(Rs. 100 deductible as Transaction Charge and payable to the Distributor)

    TRANSACTION CHARGES FOR APPLICANTS THROUGH DISTRIBUTORS ONLY [Refer Instruction XIII and please tick () any one]

    Mailing Address (Please provide full address) (Mandatory)

    Country

    City(Mandatory)

    State(Mandatory)

    P IN(Mandatory)

    Tel.(Res.)

    E-Mail

    Tel.(Off.) Mobile

    City

    State

    ZIP/P IN(Mandatory)

    Country(Mandatory)

    Mr. Ms.

    Mr. Ms.

    ICICI PRUDENTIAL NIFTY ETFACKNOWLEDGEMENT SLIP (To be filled in by the Investor)

    Received from:

    Signature, Stamp & Date

    Application No.

    Address

    ICICI PRUDENTIAL NIFTY ETF

    Folio No.______________________

    MA

    ND

    AT

    OR

    Y

    3 BANK ACCOUNT DETAILS OF FIRST APPLICANT (Please Refer to Instruction No. III) Mandatory information If left blank the application is liable to be rejected.

    Name of Bank

    Account NumberAccount Type NRE NRO Savings Current FCNR

    Branch Name

    9 Digit MICR code 11 Digit IFSC Code

    Branch City

    Application Form for Resident Indians and NRIs/PIOs. Investor must read Key Information Memorandum and Instructions before completing this form. All sections to becompleted in ENGLISH in BLACK / BLUE COLOURED INK and in BLOCK LETTERS.

    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.

    BROKER CODE (ARN)SERIAL NUMBER, DATE & TIME OF RECEIPT

    FOR OFFICIAL USE ONLYSUB-BROKER CODE Employee Unique Identification No. (EUIN)

    I/We hereby confirm that where the EUIN space has been left blank by me/us, the transaction is an execution-only transaction.

    Mr. Ms.

    0010

  • -: 10 :-

    ICICI Prudential Nifty ETF ACKNOWLEDGEMENT SLIP (To be filled in by the Investor)

    Investment Plan Cheque/DD No. Dated Amount (Rs.) Drawn on (Name of Bank & Branch)

    Amount Invested

    Bank Name & Branch

    Rs.

    City

    NRO

    Account Type (For NRI Investors)

    NRE FCNR

    Cheque/DD Date

    D D M M Y Y

    Cheque/DD No.

    5 YOUR INVESTMENT DETAILS UNDER ICICI PRUDENTIAL NIFTY ETF

    The cheque/demand draft should be drawn in favour of ICICI Prudential Nifty ETF and crossed AccountPayee Only. The cheque/demand draft should be payable at the centre where the application is lodged. Forthird party investment, refer instruction no. IX.

    4 DEMAT ACCOUNT DETAILS OF FIRST APPLICANT (Please refer Instruction No. XI) - (Mandatory)

    Depository Participant (DP) ID (NSDL only) Beneficiary Account Number (NSDL only) Depository Participant (DP) ID (CDSL only)

    The application form should mandatorily accompany the latest Client investor

    master/ Demat account statement. NSDL OR CDSL (Please )

    REGISTRAR

    Computer Age Management Services Pvt. Ltd.New No 10. Old No. 178, Opp. to Hotel Palm Grove, MGR Salai (K.H. Road), Chennai - 600 034.

    The Trustee, ICICI Prudential Mutual Fund, I/We have read and understood the SID/Key Information Memorandum of ICICI Prudential Nifty ETF. I/We apply for the units of the ICICI Prudential Nifty ETF and I/we agree to abide by the terms, conditions, rules and regulations of the scheme. I/We confirm to have understood the terms & conditions. Its investment objectives, investment pattern, fundamental objectivesand risk factors applicable to the Plan under the Scheme. I/We agree to abide by the terms, conditions, rules and regulations of the Scheme. I/We have understood the details of the scheme and I/we have notreceived nor been induced by any rebate or gifts, directly or indirectly, in making this investment. I/We agree to abide by the terms, conditions, rules, regulations and other statutory requirements of SEBI, AMFI,Prevention of Money Laundering Act, 2002 and such other regulations as may be applicable from time to time. I/We declare that the amount invested in the Scheme is through legitimate sources only and is notdesigned for the purpose of contravention or evasion of any Act, Regulation, Rule, Notification, Directions or any other applicable laws enacted by the Government of India or any Statutory Authority. I/We agreethat in case my/our investment in the Scheme is equal to or more than 25% of the corpus of the plan, then ICICI Prudential Asset Management Co. Ltd. (the 'AMC') has full right to refund the excess to me/us to bring my/our investment below 25%. I/We hereby confirm that I/we have not been offered/communicated any indicative portfolio and/or any indicative yield for this investment. I/We herebydeclare that I am/we are not US Person(s). The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of variousMutual Funds from amongst which the Scheme is being recommended to me/us. I/We interested in receiving promotional material from the AMC via mail, SMS, telecall, etc. If you do not wish to receive, please callon tollfree no. 1800 222 999 (MTNL/BSNL) or 1800 200 6666 (Others)

    6 INVESTOR(S) DECLARATION & SIGNATURE(S)

    SIGNATURE OF SOLE / FIRST APPLICANT SIGNATURE OF SECOND APPLICANT SIGNATURE OF THIRD APPLICANT

  • APPLICATION SUPPORTED BY BLOCKED AMOUNT (ASBA) FORMfor Demat Account Holders

    ICICI Prudential Nifty ETF

    New Fund Offer Opens on: March 01, 2013

    New Fund Offer Closes on: March 18, 2013

    ICICI Prudential Mutual Fund2nd Floor, Block B-2, Nirlon Knowledge Park, Western ExpressHighway, Goregaon (East), Mumbai 400 063.Tel: (91) (22) 26852000, Fax: (91)(22) 2686 8313.

    Please read the instructionscarefully before investing.

    Date:

    D D M M Y Y Y Y

    ASBA Application No. ____________________________

    SCB/ASBA BANK ACCOUNT DETAILS OF FIRST APPLICANT FOR BLOCKING OF FUND (Refer Terms & Conditions No.7 on the reverse side of this form)

    Account Number Account Type If Mandatory Details are not provided,your application is liable to be rejected.NRENRO SavingsCurrent

    Name of the Bank

    Branch Address

    City

    INVESTMENT DETAILS OF ICICI PRUDENTIAL NIFTY ETF (For scheme details, please read the Key Information Memorandum/Scheme Information Document of the Scheme)

    Total Amount to be blocked [Rs. in figures]

    Rs.

    Total Amount to be blocked [Rs. in words]

    UNDERTAKING BY ASBA INVESTOR

    1) l/We hereby undertake that l/We am/are an ASBA lnvestor as per the applicable provisions of the SEBl (lssue of Capital and Disclosure Requirements), Regulations 2009 (SEBl Regulations) as amendedfrom time to time. 2) ln accordance with ASBA process provided in the SEBl Regulations and as disclosed in this application, l/We authorize (a) the SCSB to do all necessary acts including blocking ofapplication money towards the Subscription of Units of the Scheme, to the extent mentioned above in the SCSB / ASBA Account details or unblocking of funds in the bank account maintained with theSCSB specified in this application form, transfer of funds to the Bank account of the Scheme/ICICI Prudential Mutual Fund on receipt of instructions from the Registrar and Transfer Agent after the allotmentof the Units entitling me/us to receive Units on such transfer of funds, etc. (b) Registrar and Transfer Agent to issue instructions to the SCSB to remove the block on the funds in the bank account specifiedin the application, upon allotment of Units and to transfer the requisite money to the Schemes account / Bank account of ICICI Prudential Mutual Fund. 3) ln case the amount available in the bank accountspecified in the application is insufficient for blocking the amount equivalent to the application money towards the Subscription of Units, the SCSB shall reject the application. 3) lf the DP lD, BeneficiaryAccount No. or PAN furnished by me/us in the application is incorrect or incomplete or not matching with the depository records, the application shall be rejected and the ICICI Prudential Mutual Fundor ICICI Prudential Asset Management Company Limited or ICICI Prudential Trustee Company Limited or SCSBs shall not be liable for losses, if any. All future communication in connection with NFOshould be addressed to the SCSB/RTA/AMC quoting the full name of the Sole/First Applicant, NFO Application Number, ASBA Application Number, Despository Account details [if it has been provided],Amount applied for and the account number from where NFO amount was blocked. 4) The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode),payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us.Applicable to NRIs only: I/We confirm that I am/we are non-resident of Indian Nationality/origin and I/we hereby confirm that the funds for subscription, have been remitted from abroad through normalbanking channels or from funds in my/our non-resident external/ordinary account/FCNR account. I/We am/are not prohibited from accessing capital markets under any order/ruling/judgement etc. of anyregulation, including SEBI. I/We am/are confirm that my application is in compliance with applicable Indian and Foreign laws.

    ACKNOWLEDGEMET SLIP [To be filled in and attached by the applicant with the NFO Application Form]

    ICICI Prudential Mutual Fund, 2nd Floor, Block B-2, Nirlon Knowledge Park, Western Express Highway,Goregaon (East), Mumbai 400 063. Tel: (91) (22) 26852000, Fax: (91)(22) 2686 8313.

    Date: D D M M Y Y Y Y

    Received from Mr. / Ms. /M/s. __________________________________________________________________________________

    Address _________________________________________________________________________________________________

    ASBA Application No.:

    SCSB A/c. No.____________________ Bank Name __________________________ Branch Name ____________________________

    ICICI Prudential Nifty ETF

    Rs. (in figures) ____________________ Rupees (in words) ____________________________________________________________

    SCSB Stamp, Signature,Date & Time of Receipt

    SIGNATURE OF BANK ACCOUNT HOLDERS

    First/Sole Applicant Second Applicant Third Applicant

    BROKER/AGENT INFORMATION

    Name & AMFI Regn. No.Sub-Broker

    Name & Code

    FOR OFFICE USE ONLY

    SCSB(Name & Code)

    SCSB IFSC Code(11 digit code)

    Syndicate Member Code(Name & Code)

    S. No.

    Mr. / Ms. / M/s.

    Existing Folio No.(Pleasefill in your folio no., if any)

    Name of First Applicant(As in Demat account)

    DEMAT ACCOUNT DETAILS OF FIRST APPLICANT (Mandatory - Refer Terms & Conditions No.10 on the reverse side of this form)

    Depository Name (Please tick any) National Securities Depository Ltd. (NSDL) Central Depository Services [India] Ltd. (CDSL)

    DepositoryParticipant Name

    BeneficiaryAccount No.

    DepositoryParticipant (DP) ID

    1st Applicant Guardian (in case 1stapplicant is minor)

    PERMANENT ACCOUNT NUMBER (PAN) (Please attach proof) (Mandatory)

    EUIN(Employee UIN)

    I/We hereby confirm that where the EUIN space has been left blank by me/us, the transaction is an execution-only transaction.

    0010

  • -: 12 :-

    Terms and Conditions

    1) An ASBA investor, intending to subscribe to a public, shall submit a completed ASBA form to a Self Certified Syndicate Bank (SCSB), withwhom the bank account to be blocked, is maintained, through one of the following modes ?

    (i) Submit the form physically with the Designated Branches (DBs) of the SCSB (Physical ASBA);

    (ii) Submit the form electronically through the internet banking facility offered by the SCSB (Electronic ASBA).

    2) ASBA Facility is provided only for Demat Account Holders

    3) From one bank account more than five applications will not be allowed

    4) Investors shall note that the NFO units will be credited in the demat account specified in the ASBA cum application form and hence these

    details are mandatory.

    5) To ensure that NFO units are allotted, Investors to ensure that their demat accounts are active i.e. not frozen or suspended.

    6) Investors to note that if the DP-ID, beneficiary account and the PAN provided in the form are incomplete, incorrect or do not match with thedepository records of NSDL or CDSL, the application shall be rejected.

    7) Bank account details provided in the application will be the bank account number from where the NFO application amount is authorized to

    be blocked, Bid amount, bank and branch name shall be given in this block.

    8) Investors will ensure that sufficient balance is maintained in the bank account mentioned in the form, else the application shall be liable to be

    rejected.

    9) In case an ASBA investor wants to withdraw his/her ASBA during the bidding / offer period,