Non - Commercial Transactions – Checklist

# / Nature of the subject / Document 1 / Document 2 / Document 3 / Other documents
1 / Change of address (Non KYC complied) / Form for COA / Request letter / Old address proof / New address proof / ID proof
2 / Change of bank details / Form for COB / Request letter / Old bank proof / New bank proof
3 / Bank details first time updation / Form for COB / Request letter / New bank proof / Investment proof / ID proof
4 / Bank details updation upon minor attaining majority / Form for COB / Request letter / New bank proof / Investment proof required if current value is above Rs.50,000 under the scheme /
  • ID Proof
  • Signature duly attested by banker

5 / Multiple bank mandate / Multiple bank mandate form / Existing / Default bank proof / New / Additional bank proof
6 / Updation of core banking account number / Form for core banking account numberupdation / New bank proof
7 / Change of name due to marriage / Form for change of name / Marriage certificate / ID proof / Signature duly attested by banker
8 / Change of name due to other reasons / Form for change of name / Gazette notification / ID proof / Signature duly attested by banker
9 / Change of name (minor to major) / Form for minor to major and change of name / ID proof /
  • Signature duly attested by banker
  • Proof of investment if current value is above Rs.50,000 under the scheme
  • Copy of birth certificate/ school leaving certificate
/
  • Up to Rs.50,000 current value for all schemes and Rs.5,00,000 current value for CCP –Bond of Indemnity CumAffidavit.
  • Up to Rs.50,000 for all schemes and up to Rs.5,00,000 for CCP Gazette is not required.
  • Above Rs.50,000 for all schemes and Rs.5,00,000 for CCP – Copy of Gazette notification is required

10 / Deletion of name due to death / Request letter duly signed by surviving holders / Copy of death certificate duly notarized or verified with original by Authorized persons / Original certificates if not converted or SOA / Cancelled cheque leaf if there is change in bank details
11 / Transmission of units (nominee registered) / Request letter signed by the nominee / Copy of death certificate duly notarized or verified with original by Authorized persons /
  • ID proof & KYC acknowledgement
  • Original certificates if not converted or SOA
  • Signature duly attested by banker
/ Cancelled cheque leaf for new bank details
12 / Transmission of units (nominee not registered) / Application for transmission of units (Form DC-1) / Copy of death certificate duly notarized or verified with original by Authorized persons /
  • Original unit certificate/ Membership advice / Account Statement
  • Unclaimed dividend warrants if any
  • Form for signature attestation
  • KYC acknowledgement where the claimant wishes to continue subject to scheme provisions and eligibility.
/ 1) Additional Legal documents – Individual investors
Registration of death of the single holder by the claimant/legal heir where nomination is NOT registered
  • As per the table given below:
2) Additional documents – Minor child
Agreement to indemnity (To be stamped as an agreement on stamp paper of the appropriate value as applicable at the place of execution.) Form DC-5
3) Additional documents – Death of Karta of HUF
Indemnity bond – certificate of Karta (Form DC-6)
  • Additional legal documents – Individual investors

Registration of death of the single holder by the claimant/legal heir where nomination is NOT registered

Under Relaxed Procedure for the value of units up to Rs.5 Lakh
Up to Rs.10,000 / Above Rs.10,000 and up to Rs.50,000 / Above Rs.50,000 and up to Rs.1 Lakh / Units above Rs. 1 Lakh and up to Rs.5 Lakh / above Rs.5 Lakh
Photo identity proof / Claim under Relaxed procedure (DC-2) / Claim under Relaxed procedure (DC-2) / Claim under relaxed procedure (DC-2) / Probated will orSuccession certificateorLetter of administration
Proof of address / Letter of Indemnity*(Form DC-3) / Letter of indemnity* (Form DC-3) / Letter of indemnity*(Form DC-3)
Claim under relaxed procedure (Form DC-2) / Letter of surety(Form DC-4) / Letter of surety(Form DC-4)
Legal heir ship certificate issued by revenue authorities

*To be stamped as an agreement on stamp paper of the appropriate value as applicable at the place of execution.