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Valuation Policy
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Statement of Additional Information
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ISIN List
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Disclosure of Commission
Soft Dollar Arrangements
There are no formal soft dollar arrangements with any of the brokers with whom the security trades of mutual fund schemes are being executed. Some brokers may provide hotline facility in dealing room for ease of trading with the dealers. However the quality of research inputs and market analysis given by the brokers is the sole parameter being used by investment team for allocation of business among brokers. The research inputs and hotlines provided by brokers are free of cost and are for the benefit of the investors. The business given to brokers and brokerage rates charged to the schemes are within the limits specified under SEBI (Mutual Funds) Regulations, 1996.
EUIN Registration Renewal
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Digital Factsheet
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List of Group Companies of the Sponsor Asset Management Company
List of Group Companies of the Sponsor Asset Management Company
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Letter to Investors Switch from IDCW Reinvestment to Growth Option
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Scheme Information Document SID and Key Information Memorandum KIM
Investor Complaint
Whistle Blower Policy
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Compensation paid in the form of units to Key Employees
PRC Matrix for Debt Schemes
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Transaction of Debt and Money Market Securities
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Scheme Summary Document
Roles and Responsibilities Of CXO's
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Risk-o-meter Disclosure
Mandatory Investment by AMC in schemes of Mutual Fund
Unit Allotment Grid
Unit Allotment Grid
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ETF & Index Fund Tracking Error
Tracking Error and Tracking Difference Monthly Report
Trading Plans
List of Holidays
Scheme wise disclosure of investments in terms of SEBI circular dated 25th Aug 2022
Scheme Dashboard
Risk Parameters in respect of Mid Cap and Small Cap equity schemes
Policy to protect the interest of investors of Kotak Small Cap Fund and Kotak Emerging Equity Fund
Stewardship and Engagement
Stewardship Policy
Stewardship Report
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Kotak Mutual Fund Voting Policy
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Quarterly Voting Outcome and Rationale
Voting Policy Reports
Quarterly Summary Of Vote Cast
Financials
Half Yearly
Annual Report
Average AUM
Transmission of Units
Transmission Matrix Latest
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TRANSMISSION OF UNITS ON DEATH OF A UNITHOLDER
Transmission of Units is a process whereby units held by a deceased unitholder are transferred either to the nominee or to the legal heirs of the deceased unitholder as the case may be. The detailed guidelines for Transmission of Units under various situations / scenarios and the forms/formats and supporting documents to be submitted by the claimants under each scenario is provided below.
TRANSMISSION OF UNITS TO SURVIVING UNIT HOLDER(S) IN CASE OF DEATH OF THE 1ST HOLDER
i. Transmission Request Form for Transmission of Units to the surviving unitholder/s.
ii. Death Certificate of the deceased unitholder(s) in original OR photocopy duly attested by a Notary Public or a Gazetted Officer.
iii. Copy of PAN Card of the Surviving Joint Holder(s) (if PAN is not provided already)
iv. Cancelled cheque of the new first unitholder, with the claimant’s name pre-printed OR Recent Bank Statement/Passbook (not more than 3 months old) of the new first holder.
v. KYC Acknowledgment OR KYC Form of the surviving unit holder(s), if not KYC compliant.
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DELETION OF NAMES OF THE DECEASED UNIT HOLDERS IN CASE OF DEATH OF 2ND AND/OR 3RD HOLDER
i. Request Form from surviving unitholder(s) requesting for Deletion of Name of Deceased 2nd and/or 3rd Holder.
ii. Death Certificate in original or photocopy duly attested by a Notary Public or a Gazetted Officer.
iii. Fresh Bank Mandate Form along with cancelled cheque of the new bank account (only if there is a change in existing bank mandate)
iv. Fresh Nomination Form in case there is no nomination or a change in existing nomination is desired by the surviving unit holders.
v. KYC Acknowledgment OR KYC Form of the surviving unit holder(s), if not KYC compliant.
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TRANSMISSION OF UNITS TO THE REGISTERED NOMINEE/S IN CASE OF DEATH OF SOLE OR ALL UNITHOLDERS
i. Transmission Request Form for Transmission of Units in favour of the Nominee(s).
ii. Death Certificate of the deceased unitholder(s) in original OR photocopy duly attested by a Notary Public or a Gazetted Officer.
iii. Copy of Birth Certificate, in case the Nominee is a minor.
iv. Copy of PAN Card of the Nominee(s) / Guardian (in case the Nominee is a minor)
v. KYC Acknowledgment OR KYC Form of the Nominee(s) / Guardian (where Nominee is a Minor)
vi. Cancelled cheque with the Nominee’s name pre-printed OR Copy of the Nominee’s recent Bank Statement/Passbook (which is not more than 3 months old).
vii. If the transmission amount is upto ₹2 Lakh, Nominee’s signature attested by the Bank Manager as per Annexure-Ia. In case the Nominee is a Minor, signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested. If the transmission amount is for more than ₹2 Lakh, as an operational risk mitigation measure, signature of the Nominee shall be attested by a Notary Public or a Judicial Magistrate First Class (JMFC) in the space provided for signature attestation in the TRF itself below the signature of the claimant.
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CHANGE OF KARTA UPON DEATH OF THE KARTA OF HINDU UNDIVIDED FAMILY (HUF)
If the case of a HUF, the property of the HUF is managed by the Karta and the HUF does not come to an end in the event of death of the Karta. In such a case, the members of the HUF will need to appoint a new Karta, who needs to submit following documents for transmission:
i. Request Form for change of Karta upon the demise of the registered Karta.
ii. Death Certificate of the deceased Karta in original OR photocopy duly attested by a Notary Public or a Gazette Officer.
iii. Bank’s letter certifying that the signature and details of new Karta have been updated in the bank account of the HUF & attesting the Signature of the new Karta as per Annexure-1b.
iv. KYC Acknowledgment OR KYC Form of the new Karta and the HUF, if not KYC compliant.
v. Indemnity Bond as per Annexure V signed by all surviving coparceners (including new Karta).
vi. If the transmission amount is upto ₹2 Lakh, any appropriate document evidencing relationship of the new Karta and the other coparceners with the deceased Karta.
vii. If the transmission amount is more than ₹2 Lakh, any one of the documents mentioned below –
. Notarized copy of Settlement Deed, or
. Notarized copy of Deed of Partition, or
. Notarized copy of Decree of the relevant competent court.
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TRANSMISSION OF UNITS TO THE CLAIMANT/S ON DEATH OF SOLE UNITHOLDER OR ALL UNITHOLDERS, WHERE THERE IS NO NOMINATION REGISTERED
i. Transmission Request Form for Transmission of Units to the Claimant
ii. Death Certificate of the deceased unitholder(s) in original OR photocopy duly attested by a Notary Public or a Gazette Officer.,
iii. Copy of Birth Certificate in case the Claimant is a minor.
iv. Copy of PAN Card of the Claimant / Guardian (in case the Claimant is a minor).
v. KYC Acknowledgment OR KYC Form of the Claimant / Guardian (in case the Claimant is a Minor)
vi. Cancelled cheque with the claimant’s name pre-printed OR Copy of the Claimant’s recent Bank Statement/Passbook (which is not more than 3 months old). If the transmission amount is up to ₹2 Lakh –
a. Bank Attestation of signature of the Claimant by the Bank Manager as per Annexure-Ia. In case the Claimant is a Minor, the signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested.
b. Any appropriate document evidencing relationship of the claimant/s with the deceased unitholder/s.
c. Bond of Indemnity - as per Annexure-II to be furnished by Legal Heirs for Transmission of Units without production of Legal Representation.
Provided that in case the legal heir(s)/claimant(s) is submitting the Succession Certificate or Probate of Will or Letter of Administration wherein the claimant is named as a beneficiary, an affidavit as per Annexure-III from such legal heir/claimant(s) alone would be sufficient; i.e., Bond of Indemnity is not required.
d. Individual Affidavits to be given by each legal heir as per Annexure-III
e. NOC from other Legal Heirs as per Annexure – IV, where applicable.
If the transmission amount is more than ₹2 Lakh –
a. Signature of the Claimant duly attested by a Notary Public or a Judicial Magistrate First Class (JMFC) in the space provided for signature attestation in the TRF itself below the signature of the claimant. In case the Claimant is a Minor, the signature of the Guardian (as per the bank account of the Minor or the joint account of the Minor with the Guardian) shall be attested.
b. Individual Affidavits to be given each legal heir as per Annexure-III
c. Any one of the documents mentioned below:
. Notarised copy of Probated Will; OR
. Succession Certificate issued by a competent court; OR
. Letter of Administration or court decree, in case of Intestate Succession.
TRANSMISSION OF UNITS TO THE CLAIMANTS UPON DEATH OF THE KARTA OF HUF WHERE THERE IS NO SURVIVING CO PARCENER OR THE HUF HAS BEEN DISSOLVED PARTITIONED AFTER DEMISE OF THE KARTA
i. Transmission Request Form (Form T5) for Transmission of Units to the Claimant.
ii. Death Certificate of the deceased Karta in original OR photocopy duly attested by a Notary Public or a Gazette Officer.
iii. Copy of Birth Certificate in case the Claimant is a minor.
iv. Copy of PAN Card of the Claimant(s) / Guardian (in case the Claimant is a minor)
v. KYC Acknowledgment OR KYC Form of the Claimant(s) / Guardian (in case the Claimant is a Minor)
vi. Cancelled cheque with the claimant’s name pre-printed OR Copy of the Claimant’s recent Bank Statement/Passbook (which is not more than 3 months old).
vii. If the transmission amount is upto ₹2 Lakh, attestation of signature of the claimant by Bank Manager as per Annexure-Ia. In case the claimant is a Minor, the signature of the Guardian (as per the Minor’s bank account / Minors joint account with the Guardian) shall be attested.
If the transmission amount is for more than ₹2 Lakh, signature of the claimant shall be attested by a Notary Public or a Judicial Magistrate First Class (JMFC) in the space provided for signature attestation in the TRF itself below the signature of the claimant.
viii. Bond of Indemnity to be furnished by the Claimant as per Annexure-VI.
ix. If the HUF has been dissolved/partitioned by the surviving members after demise of the Karta, the transmission of units should be effected only on the basis of any of the following documents:
. Notarized copy of Settlement Deed, OR
. Notarized copy of Deed of Partition, OR
. Notarized copy of Decree of the relevant competent Court.
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IMPORTANT POINTS TO NOTE
a. In case of death of the 1st holder, if there are two surviving joint holders, the surviving 2nd holder will be treated as the new primary / 1st holder.
b. PAN card copy of the nominee /claimant/s need not be insisted separately, if the same is available in KYC data. In case of residents of Sikkim, appropriate Id. proof shall be collected in lieu of PAN card.
c. Where the units are to be transmitted to a claimant who is a minor, various documents like KYC, PAN, Indemnity should be of the Guardian of the minor nominee / legal heir. Bank Attestation of the Signature of the Guardian of the minor shall be as per the bank account of the Minor or the joint account of the Minor with the Guardian.
d. In case of multiple nominees/ claimants, the monetary threshold of more than ₹2 lakh for the purpose of obtaining the Indemnity Bond shall be the determined on the basis of the aggregate value of the Units under all the folios for which the claim is being submitted as per the latest NAV as on the date of receipt of the claim, before dividing / splitting the claim amongst multiple nominees or claimants/ surviving co-parceners.
e. Also, where there are more than one nominees / legal heirs (claimants) in a folio or set of folios, the nominees / legal heirs should be encouraged / requested to submit the Transmission request together, so that all the Units held by the deceased unitholder(s) could be transmitted in one-go to for operational efficiency and convenience.
f. If the deceased unitholder(s) held units in several folios, as 1st holder(s) in some folios and as joint holder in other(s), a single claim form may be accepted for operational ease, provided the ALL the deceased holders are common across the multiple folios (irrespective of the order of names) AND the nominee(s) / claimant(s) is/are also common/same across ALL the folios.
g. Once a transmission request is received, it is incumbent upon the AMC/RTA to determine if the deceased unitholder had any unit holdings under any other scheme / folio, and put a flag in the system against all other folios of the deceased unitholder, basis PAN / PEKRN with a suitable communication to the surviving unitholders / nominee/s (if any, registered against the folios) to submit the claim form with reqd. documents in respect of the remaining folios.
h. In such cases where the deceased was the 1st holder in respect any one of the folios/funds, units in all other holdings across all other folios/schemes, where the deceased was the 1st unitholder shall be ‘Stop’ marked/blocked against any further transactions basis PAN or PEKRN.
i. The process and documentation for transmission of units where the claimant / nominee is a mentally unsound person, shall be the same as applicable to a Minor claimant, except that the Guardian shall be a court appointed guardian. Additionally, a Medical Certificate from an appropriate registered medical practitioner may be obtained regarding the Mentally unsound person.
j. Copies of all supporting documents submitted for settlement of the claim, such as the Death Certificate of the deceased, Birth certificate of the minor, Probate of Will, Succession Certificate, Letter of Administration shall be duly attested by a Notary Public or a Gazette Officer.
k. If the transmission amount is for more than ₹2 Lakh, as an operational risk mitigation measure, the signature of the Nominee/ Claimant shall be attested only by a Notary Public or a Judicial Magistrate First Class (JMFC) in lieu of banker’s attestation. For this purpose, space has been provided for signature in the TRF itself below the signature of the claimant.
l. While the list of documents mentioned above should be taken in all cases, in specific cases and situations related to transmission of units that are not enumerated in section 1 to 6 above, AMCs should adopt proper due diligence and request for appropriate documents depending on the circumstances of each case and apply the general principles enumerated in sections above before transmitting the units in favour of the claimant/s.
ANNEXURES
Corporate
Corporate Brochure
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Press Release
Press Release
Methodology of Calculating Sale Price and Repurchase Price for Mutual Fund Units
The Methodology of calculating the Sale price for mutual fund units (Purchase price for investors) is given below:
Sale price is the price at which investor can invest in units of mutual fund schemes. The entry load has been abolished with effect from August 01, 2009 vide SEBI Circular no. SEBI/IMD/CIR No. 4/ 168230/09 dated August 01, 2009. Hence, Sale price is equal to the applicable NAV.
The Methodology of calculating the Repurchase price (Redemption price) of units is given below:
Repurchase price is the price at which investor can redeem units of mutual fund schemes. While calculating repurchase price the exit load, as applicable, is deducted from the applicable NAV.
For example, If the applicable NAV is Rs. 10, exit load is 1% then repurchase price will be: Rs. 10* (1-0.01) = Rs. 9.90.
Investor Awareness Program
Investor Awareness Program
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A Mutual Fund Awareness Booklet
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Common Standard Operating Procedure by KRAs for reporting the demise of an investor
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Disclaimer
Disclaimer
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Terms and Conditions
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Privacy Policy
Privacy Policy
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Media Center
CNBC TV18 - RBI Governor Shaktikanta Das to address media at 10 am: Here's what to expect - 22-May-2020
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The Indian Express - Nilesh Shah: 'Until a medical solution emerges, markets will keep swinging from fear to hope' - 21-May-2020
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The Indian Express - E-xplained with Nilesh Shah on 'Uncertain Times, Uncertain Financial markets' - 16-May-2020
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Financial Express - Nilesh Shah hails govt intention, says execution of policies must follow - 16-May-2020
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Money Control - Meet the fund manager: Kotak's pharma fund shines among PMS schemes in April - 15-May-2020
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CNBC TV18 - Market experts expect volatility in near-term, rule out V-shaped recovery - 15-May-2020
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Morningstar - Nilesh Shah on how to invest in such a market - 14-May-2020
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The Indian Express - Nilesh Shah at E-XPLAINED session today - 14-May-2020
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The Economic Times - Govt stimulus must aim for maximum impact at minimum cost: Nilesh Shah - 13-May-2020
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India Today - Nilesh Shah Reacts To Rs 20 Lakh Crore COVID Relief Package Announced By PM Modi - 12-May-2020
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The Economic Times - Go overweight on equities, invest extra cash in a staggered way - 11-May-2020
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The Times of India - Indian economy has to cover $190 billion output loss due to lockdown: Nilesh Shah - 09-May-2020
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ET Now - Stay with leaders in each sector: Harsha Upadhyaya - 08-April-2020
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The Economic Times - We have seen a broadbased rally in pharma: Nilesh Shah - 07-May-2020
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The Economic Times - Focus on balance sheets than P&L accounts in stock selection: Nilesh Shah - 06-May-2020
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ET Now News - Markets worried about cost of restarting businesses, says Nilesh Shah - 06-May-2020
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Times Now News - Replace Made in China with Made in India to revive economy: Nilesh Shah - 06-May-2020
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The Economic Times - Market selloff indicating start of an earnings downgrade cycle: Kotak AMC - 04-May-2020
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The Economic Times - Gold sizzles as world economy fizzles: Will 2020 be the year of yellow metal? - 27-April-2020
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MoneyControl - Franklin Templeton impact | Flight to quality would be the theme for 2020: Lakshmi Iyer - 27-April-2020
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CNBC TV18 - RBI move aimed at building confidence, ensuring stability in MF industry: Nilesh Shah - 27-April-2020
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ET Now - Credit quality of our portfolio is fine, Franklin fiasco an isolated event: Nilesh Shah - 25-April-2020
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Yahoo Finance - Relative Impact Of Current Slowdown Will Be Lower For FMCG Firms: Harsha Upadhyaya - 23-April-2020
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Business Standard - Gold can rise further if China diverts some of its forex: Nilesh Shah - 22-April-2020
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Bloomberg Quint - Relative Impact Of Current Slowdown Will Be Lower For FMCG Firms: Harsha Upadhyaya - 22-April-2020
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ET Now - Expect telcos' profits to improve going forward: Shibani Sircar Kurian - 22-April-2020
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Business Today - Right time to pick equity bets? Here's what Nilesh Shah suggests - 21-April-2020
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MoneyControl - Markets are likely to remain volatile in near future: Harsha Upadhyaya - 21-April-2020
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Outlook India - Stock market to bottom only after corona vaccine or cure: Nilesh Shah - 21-April-2020
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CNBC TV18 - Interaction with Harsha Upadhyaya - 20-April-2020
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THE WEEK - Investing in times of COVID-19: Kotak AMC's Nilesh Shah explains - 16-April-2020
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ET Now - Market is trying to find a balance between hope and fear: Nilesh Shah - 15-April-2020
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NDTV - How has coronavirus impacted India's GDP, explains Nilesh Shah - 14-April-2020
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CNBC TV18 - Interaction with Shibani Kurian - 13-April-2020
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Cafe Mutual - Lockdown diaries: Tough times don't last, tough people do, Manish Mehta - 13-April-2020
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The Economic Times - The wealth creation opportunity on the way out of Corona crisis: Nilesh Shah - 09-April-2020
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Bloomberg Quint - Interaction with Lakshmi Iyer - 08-April-2020
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Value Research - One need not go for the boundaries and sixes at every ball, says Pankaj Tibrewal - 07-April-2020
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Business Today - Coronavirus: 'Look for opportunities in stock market debris,' says Kotak AMC MD Nilesh Shah - 04-April-2020
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CNBC TV18 - Coronavirus Impact | Looking at companies with steady cash flows: Kotak MF - 03-April-2020
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CNBC TV18 - Domestic equity inflows in March could be similar to those in Feb: Nilesh Shah - 02-April-2020
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Equity Communication
Valuation of shares of Reliance Strategic Investments Limited 20th July 2023
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Please don’t get mislead by the FAKE NOTE of Kotak India EQ Contra Fund, 1st July 2023
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Please don’t get mislead by the FAKE NOTE of Kotak India EQ Contra Fund
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Kotak Balanced Advantage Fund PE Oddities
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Debt Communication
Update after receipt of Funds on Investment In Inflation Indexed Bonds - June 06, 2023
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Update on Investment in Inflation Indexed Bonds - June 06, 2023
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Rationale for Valuation
Update on Investment in Yes Bank - January 22, 2023
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Update on investments in Future Lifestyle Fashions Limited - August 30, 2022
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Update on investments in Future Lifestyle Fashions Limited - July 26, 2022
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Update on investments in Future Lifestyle Fashions Limited - June 30, 2022
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Update on investments in Future Lifestyle Fashions Limited - April 25, 2022
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Update on Investment in Yes Bank - April 22, 2022
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Update on investments in Future Lifestyle Fashions Limited - April 01, 2022
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Update on Investment in Future Lifestyles Fashion Limited-September 2021
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Update on Investment in Future Lifestyles Fashion Limited 24 Apr, 2021
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Update on Investment in Yes Bank - March 07, 2020
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Update on Investment in Essel Group Companies September 25 2019
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Update on Investment in Essel Group Companies September 09 2019
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Update on Investment in DHFL September 2019
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Update on Investment in Essel Group Companies - August 02, 2019
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Update on Investment in DHFL June 2019
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Update on Investment in Essel Group Companies - April 12, 2019
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Update on Investment in Yes Bank
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Update on Investment in Future Lifestyles Fashion Limited 17 October
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Update on Investment in Future Lifestyles Fashion Limited 10 November
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ETF Communication
Disclosure On Liquidty
Monthly ETF and Index Funds exposure Report
Replacement of Stocks in indices for ETF schemes
Exclusion of Jio Financial Services Limited from Sensex Indices for ETF schemes
Exclusion of Jio Financial Services Limited from Nifty Indices for ETF schemes
GST - KOTAK MAHINDRA ASSET MANAGEMENT COMPANY LIMITED
GST Registration Detail - All Location
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Disclosures
Remuneration
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Site Map
Site Map
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Grievance Redressal/ Escalation Matrix
Grievance Redressal/ Escalation Matrix
We at Kotak Mahindra Mutual Fund (KMMF), strive to ensure that our investors are offered paramount services. We understand investors' grievance and shall endeavor to resolve it by ascertaining all facts and documents available to provide you a fair resolution. This shall also constitute as a Feedback Mechanism System, wherein apart from addressing investors' concern, it shall equally benefit us in terms of enhancing our quality, efficiency and services to strengthen our association & commitments towards our investors.
Do not forget to register your email address /mobile number with us to enable us respond quickly. Since, we shall reply you on your registered contact details only for security reasons. Kindly ignore if already registered.
LEVEL 1: You can let us know of your concerns through any of our touch points mentioned below:
Contact Number : 18003091490 (Mon to Fri.: 9:30 am to 6:00 pm & Sat: 9:30 am to 12:30 pm)
Email Address : mutual@kotak.com
You shall receive your Case ID as an auto response to your email. We shall respond to the same within 3 business days.
Escalation Matrix:
In case you are dis-satisfied with our response, you may follow the below Escalation Matrix for reporting your issue. Please ensure that you mention your Case ID in your Escalation Mail.
Compliance Officer
Name : Ms. Jolly Bhatt
Email : complianceofficer.kmamc@kotak.com
Investor Relations Officer
Name : Ms. Sushma Mata
Email : iro.kmamc@kotak.com
Managing Director Office
Name : Mr. Nilesh Shah
Email : MD.Kotakamc@kotak.com
Monthly Disclosure Of Investor Complaint
Investor Charter For Mutual Fund
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Lodge a complaint on SCORES
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Download SCORES App
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Circular for Online Resolution of Disputes
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ODR Portal
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Kotak Quant Fund Portfolio Construction Process and Value
Kotak Quant Model and NSE Equity Index Values
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Portfolio Construction Process and Rebalance Dates
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Fund Manager Performance
Harsha Upadhyaya
Testing 5 june
Test05Junjne2024
Subheader-Test05Junjne2024