+ Expand AllAccount Details

Currently only those Mutual funds holdings which are in Physical form can be converted to online formats.

• The investor needs to have an Active Online trading account with Kotak Securities.
• He needs to have unit balance in his Offline Portfolio. Portfolio with Nil Unit Balance cannot be converted into online mode.
• Details such as Investor Name, Holding pattern, holding mode, Tax Status, Address, Bank etc. need to be exactly the same as available in Trading Profile of Kotak Securities. E.g. Client having Trading Account in the name of N Ramesh and having offline investment in the name of Ramesh N or Nair Ramesh. In such a case there will be a Name Mismatch and the request will be rejected.

You need to submit a request in physical form to convert your holdings to online form. To make it easy & simple we have an online process which is as follows:

• Go to www.kotaksecurities.com > Mutual Fund > Offline to Online
• Focus on the first point i.e. "To transfer …." and click on adjoining link labeled as "click here"
• Client need to feed in appropriate details as asked on place request page and click on submit. Please note requests are placed AMC-wise.
• An order acknowledgement page appears display Reqeust number, please save the request number for tracking the order status. Two tabs will be displayed prompting if you wish to add more requests.
• On clicking "Yes" - you will be allowed to add more requests pertaining to other AMCs.
• On clicking "No" - you will be directed to a page from where you can generate Pre-printed request page.
• Download the pre-printed request letter on your local machine, take the print & Take signatures of all holders at the requisite places. Submit the signed document to our nearest branch.
• It takes minimum 7 working days to convert your holdings to an online portfolio. In case of exception & consolidation of folio cases, it may extend to 15 days.

No

No, client cannot transfer his offline SIP requests to Online. However, the units subscribed through such SIP requests till the conversion date can be transferred to online.

Yes. Client can check the status of the request online on www.kotaksecurities.com > Mutual Fund> Offline to Online

• You can place such request only if holding balance in online mutual funds portfolio is more than Zero

• Following documents need to be submitted to our nearest branch.

  • AMC wise request letter from mentioning your investment details and contact details duly signed by all the holders.
  • Pan card copy of all the holders.
  • AMC wise Offline Purchase request / Application Form duly signed by all the holders.

From the date of receiving the complete documents from investors, it takes 7 working days to process the conversion at the AMC's end.

You can check the status online on www.kotaksecurities.com > Mutual fund > Mutual Fund Portfolio Tracker. You shall also receive confirmation letter from the Registrar on behalf of AMC at the address mentioned on the request letter.

Once the portfolio is converted to offline / in case of direct investment, the client should contact the nearest branch of AMC/ Registrar directly. Please note that Kotak Securities Ltd will not able to help in these cases as AMC/ Registrar will not entertain enquiries post by 'Kotak securities Ltd' for the simple reason of not being registered as "Broker" to your investment.

The client needs to place a physical transaction request and submit it to the nearest collection centre of the AMC or its Registrar.

As per SEBI & AMFI norms AMC has an obligation to send transaction statements for the transactions made to every investor irrespective of the mode of investment.

- If you are Mutual funds KYC compliant, you need to send the address updation request to Point of Services appointed by CDSL Venture limited.

- If you are not KYC complaint, you need to send a request to our nearest branch mentioning the list of AMCs in which you wish to update your address. The request shall take 7 working days to get updated in AMC's records.

You need to submit a duly signed request letter by all the holders to nearest branch of Kotak Securities Ltd. For the request letter please follow the process below:

• Go to www.kotaksecurities.com > Customer service > Forms
• Click on "Application For Updating Bank Details" link.
• An application form will be displayed. Kindly save the Form on your local machine, take the print, Fill in the required details, take signature of all the
  holders and submit it to nearest Kotak Securities Ltd branch along with supported proofs.
  
  The following documentary proof is mandatory to update the bank details with AMC
  • a. Cancelled cheque leaf of Old bank account. If cheque leaf is not personalized then, Bank Statement or Bank Pass book copy or Banker verification.
  • b. Cancelled cheque leaf of new bank account. If cheque leaf is not personalized then, Bank Statement or Bank Pass book copy or Banker's verification letter from new bank.
  • c. Banker Verification letter with Banker's Name, employee code, designation, Banker's Seal & Stamp of Signature verified

No. Nomination details of your linked bank or demat account are not considered for your online mutual fund investments routed through www.kotaksecurities.com. You are required to make a separate nomination request for each of your mutual fund folios with AMC.

Investors in the Category of "Individuals" are permitted to make a nomination for their mutual fund units. Non-individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family and a holder of Power of Attorney cannot appoint a nominee to their investments .

Investors in the Category of "Individuals" are permitted to be appointed as nominee for mutual fund investments. However, Non-individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family and a holder of Power of Attorney cannot be appointed as a nominee to the mutual fund investments.

No. Nomination made in your existing mutual fund folios will not be automatically updated for new folios created for fresh mutual fund purchases made by you. For all new folios, you will be required to make a separate nomination request.

Nomination is registered at Folio number level at an AMC. Hence you need to register nomination at AMC at Folio level and not for each scheme within the same folio.

You can place a nomination request for only those Mutual fund investments that are registered with your online trading profile with Kotaksecurities.com

Step by step process to place nomination request

• - Go to www.kotaksecurities.com > Mutual funds > Service Requests
• - Click on "Add nominee for Existing"
• - Select folios nos to which you wish to assign nominee. Please nomination is assigned at AMC & Folio level.
• - Click on "ADD/MODIFY" button
• - Fill in the required details and click "APPLY" button.
• - Click GENERATE PDF button to generate request letter

Download the request, Take a print, sign by all holders & submit it at the nearest branch of Kotak Securities Ltd. It takes 7 working days to update nomination with the AMC.

Kotak Securities Limited shall endeavor to process your request on a best effort basis within a reasonable time (7 days from the date of receipt of the duly filled forms at our corporate office).

However, please note that Kotak Securities Limited cannot be held responsible for any delay in processing of your request or loss of documents for reasons beyond the control of Kotak Securities Limited.

You can check the status of your online nomination request on www.kotaksecurities.com>mutual funds > service request > view request status

The process to add joint holders to your future mutual funds holdings is dividend in two parts i.e. as follows:

• Register your trading linked Bank Account Holdings pattern details with Kotak Securities Ltd by the following steps:

  1. Go to www.kotaksecurities.com > Mutual funds > Service Request

  2. Click on "Add Joint Holder details"

  3. Fill in the requisite details

  4. Click on SUBMIT

  5. Click on GENERATE PDF tab to generate request letter.

  6. Sign the letter and submit the same with Banker verification letter, PAN copy & MF-KYC copy for all holders to HO / nearest branch for further processing.

• Creation of Holding pattern

  On receipt of complete set of documents for first part i.e. registering bank holding pattern; the other bank account holders will be activated for creating MF-holding pattern. You can place a holding pattern creation request as follows:

  a. Go to www.kotaksecurities.com > Mutual funds > Service Request

  b. Click on "Holding pattern Creation"

  c. You will be displayed 4 options of holding patterns of which the first one will be in Single holding mode which is created by default at the time of account opening.

  d. You need to select the Holders for holding pattern from drop down boxes.

  e. Click "SUBMIT" and then click on "GENERATE PDF" tab.

  f. Save & print the letter copy generated on "GENERATE PDF" tab.

  g. Important note : You should affix your latest Photograph on your request letter, Signed by all the holders of proposed holding pattern, attach the requested proofs & submit to HO/nearest branches.

  h. On Receipt of request letter HO shall process the request.

  i. If documents are in order the status changes to "Accepted by AMC" and thereafter you can view the Holding pattern with unique Holding-ID at place order for investment.

The mode of operation under the joint holding pattern registered with www.kotaksecurities.com will be 'Anyone or Survivor' only.

An individual;

- who is 18 years or above,

- who has a PAN card, and

- Is the holder in the bank account linked with your trading account;

Can be registered as Joint Holder to your online mutual funds account held with www.kotaksecurities.com.

Yes, it is mandatory that all the Joint holders are KYC Compliant as per CVL.

No. kotaksecurities.com will not accept any instruction, whether financial or non financial, from the joint holders as the trading account is held by you and not the joint holders.

The holder of the trading account will be the authorized person for all the registered joint holders and Kotak Securities Ltd will accept instructions only from the account holder.

No. All communications pertaining to the investments made through www.kotaksecurities.com, whether in Single name or Joint name, will be sent to you i.e. holder of the trading account only.

All the surviving Joint Holders (for each folio - separately) will have to inform the respective AMC/Registrar and Kotak Securities Ltd of the demise of the Joint Holder and will have to complete all the legal formalities as mandated by the respective AMC / Kotak Securities Ltd Kotak Securities Ltd will cancel all SIPs and pending purchases that are registered in joint name with the deceased Joint Holder.

No. You cannot add joint holders to your existing folios.

If your Residential Status has changed, please provide your change in Tax Status form at the below address. You need to provide a separate copy for each of the Funds (AMC) held by you in your kotaksecurities.com account. Please submit the letter at nearest branch office of Kotak Securities Ltd.

Please provide a Folio Consolidation Letter at the nearest branch or office of Kotak Securities Ltd.

To change the dividend option from normal payout to re-investment or vice -versa, you need to provide a request letter for Change in Dividend Option for every Scheme that you wish to update. The letter should be submitted at the nearest branch office of Kotak Securities Ltd.

If you have a demat account with Kotak Securities Limited, you need to fill-up a "Conversion Request Form", sign it, attach the latest statement of holdings & submit it to our nearest branch office. If you have a demat account with any other financial institution then you need to approach its branch office with the latest statement of holdings and submit it along with the duly filled & signed "Conversion Request Form".

If you have a demat account with Kotak Securities Limited you need to submit the duly filled & signed "Reconversion form" to our nearest branch office.

If you have a demat account with any other financial institution then you need to approach its branch office and submit the duly filled & signed "Reconversion form".

If you have a demat account with Kotak Securities Limited, you need to fill-up a "Repurchase form", sign it & submit it to our nearest branch office.

If you have a demat account with any other financial institution then you need to approach its branch office and submit the duly filled & signed "Repurchase form".