this product is suitable for investors who are seeking*

Scheme Information Document SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”)

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SCHEME INFORMATION DOCUMENTSCHEME INFORMATION DOCUMENTSCHEME INFORMATION DOCUMENTSCHEME INFORMATION DOCUMENT

SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”)SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”)SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”)SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”)

((((An openAn openAn openAn open----ended, exchange listed, index linked growth schemeended, exchange listed, index linked growth schemeended, exchange listed, index linked growth schemeended, exchange listed, index linked growth scheme))))

Units issued under SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”) qualify to be eligible security under Rajiv Gandhi Equity Savings Scheme, 2012 (“RGESS guidelines”) (Please refer pages 57 to 60 for provisions of RGESS guidelines)

Continuous offer for units at NAV based pricesContinuous offer for units at NAV based pricesContinuous offer for units at NAV based pricesContinuous offer for units at NAV based prices. Units of the Scheme are listed on Bombay Stock Exchange (BSE) . Units of the Scheme are listed on Bombay Stock Exchange (BSE) . Units of the Scheme are listed on Bombay Stock Exchange (BSE) . Units of the Scheme are listed on Bombay Stock Exchange (BSE)

and National and National and National and National Stock Exchange (NSE).Stock Exchange (NSE).Stock Exchange (NSE).Stock Exchange (NSE).

This Product is suitable for investors who are seeking*: RiskometerRiskometerRiskometerRiskometer

• Long term wealth creation solution

• An Exchange Traded Fund that aims to provide returns that closely correspond to the returns of the securities represented by S&P BSE SENSEX, subject to tracking error.

*Investors should consult their financial advisers if in doubt about whether the product is suitable for them.

Name of Mutual Fund : ICICI Prudential Mutual FundICICI Prudential Mutual FundICICI Prudential Mutual FundICICI Prudential Mutual Fund Name of Asset Management Company : ICICI Prudential Asset Management Company LimitedICICI Prudential Asset Management Company LimitedICICI Prudential Asset Management Company LimitedICICI Prudential Asset Management Company Limited Corporate Identity Number : U99999DL1993PLC054135U99999DL1993PLC054135U99999DL1993PLC054135U99999DL1993PLC054135 Name of Trustee Company : ICICI Prudential Trust LimitedICICI Prudential Trust LimitedICICI Prudential Trust LimitedICICI Prudential Trust Limited Corporate Identity Number : U74899DL1993PLC054134U74899DL1993PLC054134U74899DL1993PLC054134U74899DL1993PLC054134

INVESTMENT MANAGERINVESTMENT MANAGERINVESTMENT MANAGERINVESTMENT MANAGER ICICI PrudentialICICI PrudentialICICI PrudentialICICI Prudential Asset Management Company LimitedAsset Management Company LimitedAsset Management Company LimitedAsset Management Company Limited

Registered OfficeRegistered OfficeRegistered OfficeRegistered Office: 12th Floor, Narain Manzil, 23, Barakhamba Road, New Delhi – 110 001 www.icicipruamc.com

CoCoCoCorporate Officerporate Officerporate Officerporate Office: 3rd Floor, Hallmark Business Plaza, Sant Dyaneshwar Marg, Bandra (East), Mumbai – 400051

Central Service Office: Central Service Office: Central Service Office: Central Service Office: 2nd Floor, Block B-2, Nirlon Knowledge Park, Western Express Highway, Goregaon (East), Mumbai – 400 063 website:www.icicipruamc.com, email id: [email protected]

The particulars of SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”) (the Scheme) have been prepared in The particulars of SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”) (the Scheme) have been prepared in The particulars of SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”) (the Scheme) have been prepared in The particulars of SENSEX Prudential ICICI Exchange Traded Fund (“SPIcE”) (the Scheme) have been prepared in accordance with the Securities and Exchange Board of India (Mutual Funds) Regulations 1996, (haccordance with the Securities and Exchange Board of India (Mutual Funds) Regulations 1996, (haccordance with the Securities and Exchange Board of India (Mutual Funds) Regulations 1996, (haccordance with the Securities and Exchange Board of India (Mutual Funds) Regulations 1996, (hereinafter ereinafter ereinafter ereinafter referred to as SEBI (MF) Regulations) as amended till date, and filed with SEBI, along with a Due Diligence referred to as SEBI (MF) Regulations) as amended till date, and filed with SEBI, along with a Due Diligence referred to as SEBI (MF) Regulations) as amended till date, and filed with SEBI, along with a Due Diligence referred to as SEBI (MF) Regulations) as amended till date, and filed with SEBI, along with a Due Diligence Certificate from the AMC. The units being offered for public subscription have not been approved or Certificate from the AMC. The units being offered for public subscription have not been approved or Certificate from the AMC. The units being offered for public subscription have not been approved or Certificate from the AMC. The units being offered for public subscription have not been approved or recommended by SEBI nor has SEBI certrecommended by SEBI nor has SEBI certrecommended by SEBI nor has SEBI certrecommended by SEBI nor has SEBI certified the accuracy or adequacy of the Scheme Information Document.ified the accuracy or adequacy of the Scheme Information Document.ified the accuracy or adequacy of the Scheme Information Document.ified the accuracy or adequacy of the Scheme Information Document. The Scheme Information Document sets forth concisely the information about the scheme that a prospective investor ought to know before investing. Before investing, investors should also ascertain about any further changes to this Scheme Information Document after the date of this Document from the Mutual Fund / Investor Service Centres / Website / Distributors or Brokers.


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The investors are advised to refer to the Statement of Additional InThe investors are advised to refer to the Statement of Additional InThe investors are advised to refer to the Statement of Additional InThe investors are advised to refer to the Statement of Additional Information (SAI) for details of ICICI Prudential formation (SAI) for details of ICICI Prudential formation (SAI) for details of ICICI Prudential formation (SAI) for details of ICICI Prudential Mutual Fund, Tax and Legal issues and general information on www.icicipruamc.comMutual Fund, Tax and Legal issues and general information on www.icicipruamc.comMutual Fund, Tax and Legal issues and general information on www.icicipruamc.comMutual Fund, Tax and Legal issues and general information on www.icicipruamc.com

SAI is incorporated by reference (is legally a part of the Scheme Information Document). For a free copy of the SAI is incorporated by reference (is legally a part of the Scheme Information Document). For a free copy of the SAI is incorporated by reference (is legally a part of the Scheme Information Document). For a free copy of the SAI is incorporated by reference (is legally a part of the Scheme Information Document). For a free copy of the current SAI, current SAI, current SAI, current SAI, please contact your nearest Investor Service Centre or log on to our website. please contact your nearest Investor Service Centre or log on to our website. please contact your nearest Investor Service Centre or log on to our website. please contact your nearest Investor Service Centre or log on to our website.

The Scheme Information Document should be read in conjunction with the SAI and not in isolation.The Scheme Information Document should be read in conjunction with the SAI and not in isolation.The Scheme Information Document should be read in conjunction with the SAI and not in isolation.The Scheme Information Document should be read in conjunction with the SAI and not in isolation.

This Scheme Information Document is dated July 22, 2015 Disclaimer by BSE LiDisclaimer by BSE LiDisclaimer by BSE LiDisclaimer by BSE Limited:mited:mited:mited: “The "S&P BSE SENSEX" is a product of AIPL, a joint venture among affiliates of S&P Dow Jones Indices LLC (“SPDJI”) and BSE Limited (“BSE”), and has been licensed for use by ICICI Prudential Asset Management Company Limited. Standard & Poor’s® and S&P® are registered trademarks of Standard & Poor’s Financial Services LLC (“S&P”); BSE® and SENSEX® are registered trademarks of BSE Limited; Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”); and these trademarks have been licensed for use by AIPL and sublicensed for certain purposes by ICICI Prudential Asset Management Company Limited. SENSEX Prudential ICICI Exchange Traded Fund is not sponsored, endorsed, sold or promoted by SPDJI, BSE, Dow Jones, S&P or their respective affiliates and none of such parties make any representation regarding the advisability of investing in such product(s) nor do they have any liability for any errors, omissions, or interruptions of the SENSEX.” “The “S&P BSE SENSEX" (the “Index”) is published by Asia Index Private Limited (“AIPL”), which is a joint venture among affiliates of S&P Dow Jones Indices LLC (“SPDJI”) and BSE Limited (“BSE”), and has been licensed for use by ICICI Prudential Asset Management Company Limited (“Licensee”). Standard & Poor’s® and S&P® are registered trademarks of Standard & Poor’s Financial Services LLC (“S&P”) and Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”). BSE® and SENSEX® are registered trademarks of BSE. The trademarks have been licensed to AIPL and have been sublicensed for use for certain purposes by Licensee. Licensee’s SENSEX Prudential ICICI Exchange Traded Fund” (the “Product”) is/are not sponsored, endorsed, sold or promoted by AIPL, SPDJI, Dow Jones, S&P, any of their respective affiliates (collectively, “S&P Dow Jones Indices”) or BSE. None of AIPL, S&P Dow Jones Indices or BSE makes any representation or warranty, express or implied, to the owners of the Product or any member of the public regarding the advisability of investing in securities generally or in the Product particularly or the ability of the Index to track general market performance. AIPL’s, S&P Dow Jones Indices’ and BSE’s only relationship to Licensee with respect to the Index is the licensing of the Index and certain trademarks, service marks and/or trade names of AIPL, S&P Dow Jones Indices, BSE and/or their licensors. The S&P BSE SENSEX is determined, composed and calculated by AIPL or its agent without regard to Licensee or the Product. None of AIPL, S&P Dow Jones Indices or BSE are responsible for and have not participated in the determination of the prices, and amount of the Product or the timing of the issuance or sale of the Product or in the determination or calculation of the equation by which the Product is to be converted into cash, surrendered or redeemed, as the case may be. AIPL, S&P Dow Jones Indices and BSE have no obligation or liability in connection with the administration, marketing or trading of the Product. There is no assurance that investment products based on the Index will accurately track index performance or provide positive investment returns. AIPL and S&P Dow Jones Indices LLC are not investment advisors. Inclusion of a security within an index is not a recommendation by AIPL, S&P Dow Jones Indices or BSE to buy, sell, or hold such security, nor is it considered to be investment advice. AIPL, S&P DOW JONES INDICES, BSE AND THEIR THIRD PARTY LICENSORS DO NOT GUARANTEE THE ADEQUACY, ACCURACY, TIMELINESS AND/OR THE COMPLETENESS OF THE INDEX OR ANY DATA RELATED THERETO. AIPL, S&P DOW JONES INDICES, BSE AND THEIR THIRD PARTY LICENSORS SHALL NOT BE SUBJECT TO ANY DAMAGES OR LIABILITY FOR ANY ERRORS, OMISSIONS, OR DELAYS THEREIN. AIPL, S&P DOW JONES INDICES, BSE AND THEIR THIRD PARTY LICENSORS MAKE NO EXPRESS OR IMPLIED WARRANTIES, AND EXPRESSLY DISCLAIM ALL WARRANTIES, OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE OR AS TO RESULTS TO BE OBTAINED BY LICENSEE, OWNERS OF THE PRODUCT, OR ANY OTHER PERSON OR ENTITY FROM THE USE OF THE INDEX OR WITH RESPECT TO ANY DATA RELATED THERETO. WITHOUT LIMITING ANY OF THE FOREGOING, IN NO EVENT WHATSOEVER SHALL


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AIPL, S&P DOW JONES INDICES, BSE OR THEIR THIRD PARTY LICENSORS BE LIABLE FOR ANY INDIRECT, SPECIAL, INCIDENTAL, PUNITIVE, OR CONSEQUENTIAL DAMAGES INCLUDING BUT NOT LIMITED TO, LOSS OF PROFITS, TRADING LOSSES, LOST TIME OR GOODWILL, EVEN IF THEY HAVE BEEN ADVISED OF THE POSSIBLITY OF SUCH DAMAGES, WHETHER IN CONTRACT, TORT, STRICT LIABILITY, OR OTHERWISE. THERE ARE NO THIRD PARTY BENEFICIARIES OF ANY AGREEMENTS OR ARRANGEMENTS BETWEEN AIPL AND LICENSEE, OTHER THAN THE LICENSORS OF AIPL (INCLUDING S&P DOW JONES INDICES AND/OR BSE).” Disclaimer by NSE Limited: "As required, a copy of this Scheme Information Document has been submitted to National Stock Exchange of India Limited (hereinafter referred to as NSE). NSE has given vide its letter NSE/LIST/242474-T dated June 23, 2014 permission to the Mutual Fund to use the Exchange's name in this Scheme Information Document as one of the stock exchanges on which the Mutual Fund's units are proposed to be listed subject to, the Mutual Fund fulfilling various criteria for listing. The Exchange has scrutinized this Scheme Information Document for its limited internal purpose of deciding on the matter of granting the aforesaid permission to the Mutual Fund. It is to be distinctly understood that the aforesaid permission given by NSE should not in any way be deemed or construed that the Scheme Information Document has been cleared or approved by NSE; nor does it in any manner warrant, certify or endorse the correctness or completeness of any of the contents of this Scheme Information Document; nor does it warrant that the Mutual Fund's units will be listed or will continue to be listed on the Exchange; nor does it take any responsibility for the financial or other soundness of the Mutual Fund, its sponsors, its management or any scheme of the Mutual Fund. Every person who desires to apply for or otherwise acquire any units of the Mutual Fund may do so pursuant to independent inquiry, investigation and analysis and shall not have any claim against the Exchange whatsoever by reason of any loss which may be suffered by such person consequent to or in connection with such subscription /acquisition whether by reason of anything stated or omitted to be stated herein or any other reason whatsoever."


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TABLE OF TABLE OF TABLE OF TABLE OF CONTENTSCONTENTSCONTENTSCONTENTS HIGHLIGHTS/SUMMARY OF THE SIGHLIGHTS/SUMMARY OF THE SIGHLIGHTS/SUMMARY OF THE SIGHLIGHTS/SUMMARY OF THE SCHEME CHEME CHEME CHEME .................................................................................................................................................................................................................................................................................................................................... 5555 Investment objective: ................................................................................................................................................................................................................................................................................................................................................................................................................................................................................ 5555 Liquidity: ............................................................................................................................................. 5 Benchmark: ........................................................................................................................................ 5 Transparency/NAV Disclosure: ......................................................................................................... 7 Loads: ................................................................................................................................................. 7 Minimum Application Amount .......................................................................................................... 7 Options ............................................................................................................................................... 8 Repatriation ........................................................................................................................................ 8 Eligibility for Trusts ............................................................................................................................ 8 INTRODUCTIONINTRODUCTIONINTRODUCTIONINTRODUCTION ................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................ 9999

A. RISK FACTORS .......................................................................................................................... 9 B. REQUIREMENT OF MINIMUM INVESTORS IN THE SCHEME .............................................. 13 C. SPECIAL CONSIDERATIONS, if any ....................................................................................... 13 D. DEFINITIONS – ........................................................................................................................ 13 E. DUE DILIGENCE BY THE ASSET MANAGEMENT COMPANY .............................................. 18

II. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEME ................................................................................................................................................................................................................................................................................................................................................ 19191919 A. TYPE OF THE SCHEME ........................................................................................................... 19 B. WHAT IS THE INVESTMENT OBJECTIVE OF THE SCHEME? ............................................... 20 C. HOW WILL THE SCHEME ALLOCATE ITS ASSETS? ............................................................ 21 D. WHERE WILL THE SCHEME INVEST? .................................................................................... 24 E. WHAT ARE THE INVESTMENT STRATEGIES? ...................................................................... 24 F: FUNDAMENTAL ATTRIBUTES ............................................................................................... 26 G. HOW WILL THE SCHEME BENCHMARK ITS PERFORMANCE? ........................................... 28 H. WHO MANAGES THE SCHEME? ........................................................................................... 28 I. WHAT ARE THE INVESTMENT RESTRICTIONS?.................................................................... 28 J. HOW HAS THE SCHEME PERFORMED? ................................................................................ 30

K. HOW IS THE SCHEME DIFFERENT FROM OTHER SCHEME? 33 III. UNITS AND OFFERIII. UNITS AND OFFERIII. UNITS AND OFFERIII. UNITS AND OFFER .................................................................................................................................................................................................................................................................................................................................................................................................................................................................... 33333333

A. NEW FUND OFFER DETAILS – NOT APPLICABLE. ............................................................... 33 B. ONGOING OFFER DETAILS .................................................................................................... 33 C. PERIODIC DISCLOSURES ....................................................................................................... 54 D. COMPUTATION OF NAV ........................................................................................................ 56

IV. FEES AND EXPENSESIV. FEES AND EXPENSESIV. FEES AND EXPENSESIV. FEES AND EXPENSES ................................................................................................................................................................................................................................................................................................................................................................................................................................................ 61616161 A. NEW FUND OFFER (NFO) EXPENSES ................................................................................... 61 B. ANNUAL SCHEME RECURRING EXPENSES ......................................................................... 61 C. LOAD STRUCTURE ................................................................................................................. 63 D. WAIVER OF LOAD FOR DIRECT APPLICATIONS .................................................................. 64

V. RIGHTS OF UNITHOLV. RIGHTS OF UNITHOLV. RIGHTS OF UNITHOLV. RIGHTS OF UNITHOLDERSDERSDERSDERS .................................................................................................................................................................................................................................................................................................................................................................................................................... 64646464 VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR

INVESTIGATIONS FOR WHICH ACTION MAY HAVE BEEN TAKEN OR IS IN THE PROCESS INVESTIGATIONS FOR WHICH ACTION MAY HAVE BEEN TAKEN OR IS IN THE PROCESS INVESTIGATIONS FOR WHICH ACTION MAY HAVE BEEN TAKEN OR IS IN THE PROCESS INVESTIGATIONS FOR WHICH ACTION MAY HAVE BEEN TAKEN OR IS IN THE PROCESS OF BEING TAKEN BY ANY REGULATORY AOF BEING TAKEN BY ANY REGULATORY AOF BEING TAKEN BY ANY REGULATORY AOF BEING TAKEN BY ANY REGULATORY AUTHORITYUTHORITYUTHORITYUTHORITY .................................................................................................................................................................................................................................... 64646464


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HIGHLIGHTS/SUMMARY OF THE SCHEME HIGHLIGHTS/SUMMARY OF THE SCHEME HIGHLIGHTS/SUMMARY OF THE SCHEME HIGHLIGHTS/SUMMARY OF THE SCHEME –––– Investment objective: Investment objective: Investment objective: 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 S&P BSE 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 Scheme will be achieved. LiquidiLiquidiLiquidiLiquidity: ty: ty: ty:

As “SPIcE” is listed on BSE Limited (BSE) and the National Stock Exchange of India Limited (NSE), buying or selling of units of SPIcE by investors can be made from the secondary market on the BSE and NSE. The trading will be as per the normal settlement cycle. The minimum number of units that can be bought or sold is 1 (one) unit. Authorised Participant and large Institutional Investors can directly buy/sell in blocks from the Fund in ‘Creation Unit’ Size, as defined in this document. DirectlyDirectlyDirectlyDirectly withwithwithwith thethethethe MutualMutualMutualMutual FundFundFundFund a.a.a.a. Subscription (Purchase)/SwitchSubscription (Purchase)/SwitchSubscription (Purchase)/SwitchSubscription (Purchase)/Switch----inininin The Fund may allow purchases of units of the Scheme in ‘Creation Unit’ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component by Large Investors/Authorised Participants. b.b.b.b. Redemption (Sale)/SwitchRedemption (Sale)/SwitchRedemption (Sale)/SwitchRedemption (Sale)/Switch----outoutoutout The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: The terms ‘Cash’ used above means RTGS, NEFT or transfer Cheque. 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; or

• if discount of bid price to applicable NAV is more than 3% over a period of 7 consecutive trading days; or

• if no quotes are available on exchange for 3 consecutive trading days; or • when the total bid size on the exchange(s) is less than half of 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:Benchmark:Benchmark:Benchmark:

The corpus of the Scheme will be invested predominantly in stocks constituting the S&P BSE SENSEX subject to tracking errors, the Scheme would endeavour to attain returns comparable to S&P BSE SENSEX. This would be done by investing in almost all the stocks comprising the S&P BSE SENSEX in approximately in the same weightage that they represent in the S&P BSE SENSEX. In view of the same, the performance of the Scheme will be benchmarked with S&P BSE SENSEX. The Trustee reserves the right to change the benchmark for performance of the Scheme by suitable notification to the investors to this effect. The performance will be placed before the


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Investment Committee as well as the Board of Directors of the AMC and the Trustee Company in each of their meetings. The Managing Director / Deputy Managing Director brings to the notice of the Board specific factors, if any, which are impacting the performance of any individual scheme. The Board on consideration of all relevant factors may, if necessary, give directions to AMC. Similarly, the performance of the schemes is submitted to the Trustees. The Managing Director explains to the Trustees the details on Scheme performance vis-à-vis the benchmark returns.


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Transparency/NAV Disclosure:Transparency/NAV Disclosure:Transparency/NAV Disclosure:Transparency/NAV Disclosure:

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. The Mutual Fund shall disclose the full portfolio of the Scheme at least on a half-yearly basis on the website of AMC and AMFI. The AMC shall also disclose portfolio of all the Schemes on the AMC website i.e. 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. AMC shall update the NAVs on the website of Association of Mutual Funds in India - AMFI (www.amfiindia.com) and mutual fund website (www.icicipruamc.com) by 9:00 p.m. every Business Day. In case of any delay, the reasons for such delay would be explained to AMFI and SEBI by the next day. If the NAVs are not available before commencement of business hours on the following day due to any reason, the Fund shall issue a press release providing reasons and explaining when the Fund would be able to publish the NAVs.

Loads:Loads:Loads:Loads: Entry Load Entry Load Entry Load Entry Load Not Applicable. In terms of SEBI circular no. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009 has notified that, w.e.f. August 01, 2009 there will be no entry load charged to the schemes of the Mutual Fund and the upfront commission to distributors will be paid by the investor directly to the distributor, based on his assessment of various factors including the service rendered by the distributor.

Exit LoadExit LoadExit LoadExit Load

There will be no exit load on “SPIcE” for units sold through the secondary market on the BSE/NSE. Investors shall note that the brokerage on sales of the units of the schemes on the stock exchanges shall be borne by the investors. Investors other than Authorised Participants can sell units 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 can redeem units of the Scheme directly with the fund house without any payment of exit load. Minimum Application Amount Minimum Application Amount Minimum Application Amount Minimum Application Amount Directly with the Mutual Fund: Directly with the Mutual Fund: Directly with the Mutual Fund: Directly with the Mutual Fund: Authorised Participants/ Large investors can buy/sell units of the Scheme in Creation Unit Size and in multiples thereof. On ExchangeOn ExchangeOn ExchangeOn Exchange: An investor can buy / sell units on a continuous basis in the normal market segment of BSE / NSE during the trading hours like any other publicly traded stock at prices which may be close to the actual NAV of the Scheme. There is no minimum investment, although units are to be purchased in lots of 1.


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Plan/Plan/Plan/Plan/Options Options Options Options Currently there are no plans/options under the Schemes. However, the Trustees reserve the right to introduce/ alter/ extinguish any of the option at a later date.

Repatriation Repatriation Repatriation Repatriation Repatriation benefits would be available to NRIs/PIOs/FIIs, subject to applicable Regulations notified by Reserve Bank of India from time to time. Repatriation of these benefits will be subject to applicable deductions in respect of levies and taxes as may be applicable in present or in future. RedemptionRedemptionRedemptionRedemption Proceeds to NRI Proceeds to NRI Proceeds to NRI Proceeds to NRI investorsinvestorsinvestorsinvestors NRI investors shall submit Foreign Inward Remittance Certificate (FIRC) along with Broker contract note of the respective broker through whom the transaction was effected, for releasing redemption proceeds. Redemption proceeds shall not be remitted until the aforesaid documents are submitted and the AMC/Mutual Fund/Registrar shall not be liable for any delay in paying redemption proceeds. In case of non-submission of the aforesaid documents the AMC reserves the right to deduct the tax at the highest applicable rate without any intimation by AMC/Mutual Fund/Registrar. Eligibility for TrustsEligibility for TrustsEligibility for TrustsEligibility for Trusts Religious and Charitable Trusts are eligible to invest in the schemes, if the provisions of the respective constitution under which they are established permits to invest, under the Scheme under the provisions of Section 11(5)(xii) of the Income Tax Act, 1961 read with Rule 17C of Income-tax Rules, 1962.


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INTRODUCTIONINTRODUCTIONINTRODUCTIONINTRODUCTION A. RISK FACTORSA. RISK FACTORSA. RISK FACTORSA. RISK FACTORS

Standard Risk Standard Risk Standard Risk Standard Risk FactorsFactorsFactorsFactors::::

• Investment in Mutual Fund Units involve investment risks such as trading volumes, settlement risks, liquidity risks, default risks, including the possible loss of principal.

• Mutual Funds and securities investments are subject to market risks and there is no assurance or guarantee that the objectives of the Scheme will be achieved.

• As with any securities investment, the NAV of the Units issued under the Scheme can go up or down depending on the factors and forces affecting the capital markets.

• Past performance of the Sponsors, AMC/Fund does not indicate the future performance of the Schemes of the Fund.

• The Sponsors are not responsible or liable for any loss resulting from the operation of the Scheme beyond the contribution of an amount of Rs 22.2 lakhs collectively made by them towards setting up the Fund and such other accretions and additions to the corpus set up by the Sponsors.

• SENSEX Prudential ICICI Exchange Traded Fund /“SPIcE” is only the name of the Scheme and does not in any manner indicate either the quality of the Scheme or its future prospects and returns.

• SENSEX ETF/“SPIcE” is an Exchange Traded Fund (ETFs). There can be no assurance that an active secondary market will develop or be maintained.

• The NAV of the Scheme may be affected by changes in the general level of interest rates and trading volumes.

• The NAV of the Scheme may be affected by settlement periods and transfer procedures.

• In the event of receipt of inordinately large number of redemption requests or of a restructuring of the Scheme’s portfolios, there may be delays in the redemption of Units.

• The Liquidity of the Scheme’s investments is inherently restricted by trading volumes.

• Investors in the Scheme are not being offered any guaranteed returns.

• Mutual funds being vehicles of securities investments are subject to market and other risks and there can be no guarantee against loss resulting from investing in the Schemes. The various factors which impact the value of the Scheme’s investments include, but are not limited to, fluctuations in interest rates, prevailing political and economic environment, changes in government policy, factors specific to the issuer of the securities, tax laws, liquidity of the underlying instruments, settlement periods, trading volumes etc.

• The past performance of the mutual funds managed by the Sponsors and their affiliates/associates is not indicative of the future performance of the Schemes.

• Investment decisions made by the AMC may not always be profitable.

• From time to time and subject to the Regulations, the Sponsors, the Mutual Funds and investment companies managed by them, their affiliates, their associate companies, subsidiaries of the Sponsors, and the AMC may invest either directly or indirectly in any or all the Schemes. The funds managed by these affiliates, associates, the Sponsors, subsidiaries of the Sponsors and /or the AMC may acquire a substantial portion of the Scheme’s Units and collectively constitute a major investor in the Scheme. Accordingly, redemption of Units held by such funds, affiliates/associates and Sponsors might have an adverse impact on the Units of the Schemes because the timing of such redemption may impact the ability of other Unit holders to redeem their Units.

• As per the Regulations, in case the AMC invests in any of the Schemes managed by it, it shall not be entitled to charge any fees on such investments.

• As the price / value / interest rates of the securities in which the Scheme invests fluctuates, the value of your investment in the Scheme may go up or down

• The present scheme is not a guaranteed or assured return scheme.


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Scheme Specific Risk FactorsScheme Specific Risk FactorsScheme Specific Risk FactorsScheme Specific Risk Factors The Scheme is subject to the principal risks described below. Some or all of these risks may adversely affect Scheme’s NAV, trading price, yield, total return and/or its ability to meet its objectives. Market RiskMarket RiskMarket RiskMarket Risk The Scheme’s NAV will react to the stock market movements. The Investor could lose money over short periods due to fluctuation in the Scheme’s NAV in response to factors such as economic and political developments, changes in interest rates and perceived trends in stock prices market movements, and over longer periods during market downturns.

Market Trading RisksMarket Trading RisksMarket Trading RisksMarket Trading Risks

• Absence of Prior Active MarketAbsence of Prior Active MarketAbsence of Prior Active MarketAbsence of Prior Active Market: Although “SPIcE” described in this Document are to be listed on the Exchange, there can be no assurance that an active secondary market will develop or be maintained.

• Lack of Market LiquidityLack of Market LiquidityLack of Market LiquidityLack of Market Liquidity: Trading in “SPIcE” on the Exchange may be halted because of market conditions or for reasons that in the view of the Market Authorities or SEBI, trading in “SPIcE” is not advisable. In addition, trading in “SPIcE” is subject to trading halts caused by extraordinary market volatility and pursuant to BSE and SEBI ‘‘circuit filter’’ rules. There can be no assurance that the requirements of the Market necessary to maintain the listing of “SPIcE” will continue to be met or will remain unchanged.

• “SPIcE” may trade at Prices Other than NAVSPIcE” may trade at Prices Other than NAVSPIcE” may trade at Prices Other than NAVSPIcE” may trade at Prices Other than NAV: “SPIcE” may trade above or below its NAV. The NAV of “SPIcE” will fluctuate with changes in the market value of Scheme’s holdings. The trading prices of “SPIcE” will fluctuate in accordance with changes in their NAVs as well as market supply and demand of “SPIcE”. However, given that “SPIcE” can be created and redeemed only in Creation Units directly with the fund, it is expected that large discounts or premiums to the NAVs of “SPIcE” will not sustain due to arbitrage possibility available.

• Regulatory RiskRegulatory RiskRegulatory RiskRegulatory Risk: Any changes in trading regulations by the Stock Exchange/s or SEBI may affect the ability of market maker to arbitrage, resulting into wider premium/ discount to NAV.

• Right to Limit RedemptionsRight to Limit RedemptionsRight to Limit RedemptionsRight to Limit Redemptions: The Trustee, in the general interest of the Unit holders of the Scheme offered in this Document and keeping in view the unforeseen circumstances / unusual market conditions, may limit the total number of Units which can be redeemed on any Business Day depending on the total “Saleable Underlying Stock” available with the fund.

Redemption RiskRedemption RiskRedemption RiskRedemption Risk

Investors may note that even though this is an open-ended scheme, the scheme would ordinarily repurchase units in creation unit size. Thus unit holdings less than the creation unit size can only be sold through the secondary market unless no quotes are available on the exchange for 3 trading days consecutively.


11

Asset Class RiskAsset Class RiskAsset Class RiskAsset Class Risk

The returns from the types of securities in which a Scheme invests may under perform returns from the various general securities markets or different asset classes. Different types of securities tend to go through cycles of out-performance and under performance in comparison of the general securities markets.

Passive InvestmentsPassive InvestmentsPassive InvestmentsPassive Investments

The Scheme is not actively managed. The Scheme may be affected by a general decline in the Indian markets relating to its Underlying Index. The Scheme invests in the securities included in its Underlying Index regardless of their investment merit. The AMC does not attempt to individually select stocks or to take defensive positions in declining markets.

Tracking Error RiskTracking Error RiskTracking Error RiskTracking Error Risk Factors such as the fees and expenses of the Scheme, Corporate Actions, Cash balance, changes to the Underlying Indices and regulatory policies may affect AMC’s ability to achieve close correlation with the Underlying Index of each Scheme. The Scheme’s returns may therefore deviate from those of its Underlying Index. “Tracking Error” is defined as the standard deviation of the difference between daily returns of the index and the NAV of the Scheme. Tracking Error may arise due to the following reasons: - 1. Expenditure incurred by the Scheme. 2. The funds may not be invested at all times as it may keep a portion of the funds in cash to

meet redemptions or for corporate actions of securities in the index. 3. Securities trading may halt temporarily due to circuit filters. 4. Corporate actions such as rights, merger, change in constituents etc. 5. Rounding off quantity of shares underlying the index 6. Dividend payout.

Given the structure of SENSEX ETF/ “SPIcE”, the AMC expects the tracking error to be lower. The AMC will endeavor to keep the tracking error as low as possible. Under normal circumstances, such tracking errors are not expected to exceed 2% per annum. However this may vary when the markets are very volatile. Risks aRisks aRisks aRisks associatedssociatedssociatedssociated with with with with investinginvestinginvestinginvesting inininin derivativesderivativesderivativesderivatives: The Scheme will not invest in derivatives instruments. Risk associated with Investing in securitised debtRisk associated with Investing in securitised debtRisk associated with Investing in securitised debtRisk associated with Investing in securitised debt The scheme will not invest in securitised debt. Risks attached with investments in ADRs/GDRs/Risks attached with investments in ADRs/GDRs/Risks attached with investments in ADRs/GDRs/Risks attached with investments in ADRs/GDRs/ overseas securitiesoverseas securitiesoverseas securitiesoverseas securities The Scheme will not invest in ADR/GDR/Foreign Securities. Political RisksPolitical RisksPolitical RisksPolitical Risks Whereas the Indian market was formerly restrictive, a process of deregulation has been taking place over recent years. This process has involved removal of trade barriers and protectionist measures, which could adversely affect the value of investments. It is possible that the future changes in the Indian political situation, including political, social or economic instability, diplomatic developments and changes in laws and regulations could have an effect on the


12

value of investments. Expropriation, confiscatory taxation or other relevant developments could affect the value of investments. Tax IssuesTax IssuesTax IssuesTax Issues: Conversion of the underlying stocks to “SPIcE” may attract capital gains tax depending on acquisition cost and holding period of each individual stock to the investor. Repurchase of “SPIcE” by the Fund or sale of “SPIcE” on the Stock Exchange may attract short or long term capital gain tax depending upon the holding period of the units. Due care is normally taken to ensure that the Servicer enjoys highest credit rating on stand alone basis to minimize Co-mingling risk. Investors are urged to study the terms of the Scheme Information Document carefully before investing in this Scheme, and to retain this Offer Document for future reference. Risks associated with Short Selling and Securities Lending:Risks associated with Short Selling and Securities Lending:Risks associated with Short Selling and Securities Lending:Risks associated with Short Selling and Securities Lending: The Scheme will not do any short selling and securities lending activities

• Risk management strategiesRisk management strategiesRisk management strategiesRisk management strategies The Fund by utilizing a holistic risk management strategy will endeavor to manage risks associated with investing in equity markets. The risk control process involves identifying & measuring the risk through various risk measurement tools. The Fund has identified following risks of investing in equity and designed risk management strategies, which are embedded in the investment process to manage such risks.

Risk and DescriptionRisk and DescriptionRisk and DescriptionRisk and Description Risk mitigants / management strategyRisk mitigants / management strategyRisk mitigants / management strategyRisk mitigants / management strategy

Risks associated with Equity investmentRisks associated with Equity investmentRisks associated with Equity investmentRisks associated with Equity investment

Market RiskMarket RiskMarket RiskMarket Risk The scheme is vulnerable to movements in the prices of securities invested by the scheme, which could have a material bearing on the overall returns from the scheme. The value of the Scheme’s investments, may be affected generally by factors affecting securities markets, such as price and volume, volatility in the capital markets, interest rates, currency exchange rates, changes in policies of the Government, taxation laws or any other appropriate authority policies and other political and economic developments which may have an adverse bearing on individual securities, a specific sector or all sectors including equity and debt markets.

Market risk is a risk which is inherent to an equity scheme. In order to mitigate the risk, the portfolio of the Scheme will be constructed in accordance with the investment restriction specified under the Regulations which would help in mitigating certain risks relating to investments in securities market.

Liquidity riskLiquidity riskLiquidity riskLiquidity risk The liquidity of the Scheme’s investments is inherently restricted by trading volumes in the securities in which it invests.

The Scheme will try to maintain a proper asset-liability match to ensure redemption payments are made on time and not affected by illiquidity of the underlying stocks.

Tracking Error risk (Volatility/ ConceTracking Error risk (Volatility/ ConceTracking Error risk (Volatility/ ConceTracking Error risk (Volatility/ Concentration risk): ntration risk): ntration risk): ntration risk): The performance of the Scheme may not be commensurate with the performance of the S&P BSE SENSEX on any given day or over any given period.

Tracking Error risk (Volatility/ Tracking Error risk (Volatility/ Tracking Error risk (Volatility/ Tracking Error risk (Volatility/ Concentration risk):Concentration risk):Concentration risk):Concentration risk): The fund will not seek to outperform the S&P BSE SENSEX. The objective is that the performance of the NAV of the fund should closely track the performance of the SENSEX over the same period subject to tracking error. The fund would


13

endeavor to maintain a low tracking error by actively aligning the portfolio in line with the index. The tracking error on a longer term is expected to be generally in the range of 0-2%. A large portion of the tracking error is from the cash position taken to reduce the impact cost due to subscriptions & redemptions. However, there could be scenarios where the markets moves up/ down sharply which may result in the instances where the tracking error could exceed 2%.

B. REQUIREMENT OF MINIMUM INVESTORS IN THE SCHEME B. REQUIREMENT OF MINIMUM INVESTORS IN THE SCHEME B. REQUIREMENT OF MINIMUM INVESTORS IN THE SCHEME B. REQUIREMENT OF MINIMUM INVESTORS IN THE SCHEME

As the Schemes are exchange traded fund, the provisions of minimum number of Investors and maximum holding of the Investors are not applicable as per SEBI guidelines. C. SPECIAL CONSIDERATIONS, if anyC. SPECIAL CONSIDERATIONS, if anyC. SPECIAL CONSIDERATIONS, if anyC. SPECIAL CONSIDERATIONS, if any

• Investors in the Scheme are not being offered any guaranteed returns. Investors in the Scheme are not being offered any guaranteed returns. Investors in the Scheme are not being offered any guaranteed returns. Investors in the Scheme are not being offered any guaranteed returns.

• Investors are advised to consult theirInvestors are advised to consult theirInvestors are advised to consult theirInvestors are advised to consult their Legal /Tax and other Professional Advisors in regard Legal /Tax and other Professional Advisors in regard Legal /Tax and other Professional Advisors in regard Legal /Tax and other Professional Advisors in regard to tax/legal implications relating to their investments in the Scheme and before making to tax/legal implications relating to their investments in the Scheme and before making to tax/legal implications relating to their investments in the Scheme and before making to tax/legal implications relating to their investments in the Scheme and before making decision to invest in or redeem the Units. decision to invest in or redeem the Units. decision to invest in or redeem the Units. decision to invest in or redeem the Units.

D. DEFINITIONS D. DEFINITIONS D. DEFINITIONS D. DEFINITIONS ––––

In this Scheme Information Document, the following words and expressions shall have the meaning specified herein, unless the context otherwise requires:

Asset Management Company or Asset Management Company or Asset Management Company or Asset Management Company or AMC or Investment ManagerAMC or Investment ManagerAMC or Investment ManagerAMC or Investment Manager

ICICI Prudential Asset Management Company Ltd., the Asset Management Company incorporated under the Companies Act, 1956, and registered with SEBI to act as an Investment Manager for the schemes of ICICI Prudential Mutual Fund.

Applicable NAV forApplicable NAV forApplicable NAV forApplicable NAV for redemption, if redemption, if redemption, if redemption, if lodged with the Fund lodged with the Fund lodged with the Fund lodged with the Fund

The Scheme is an Exchange Traded Fund (ETF) and the units of the Scheme are listed on the stock exchanges. In the interest of the investors/ unitholders, the operational processes of the Scheme with respect to all the provisions of “Uniform cut-off timings for applicability of Net Asset Value (NAV)” issued by SEBI from time to time shall stand modified. Applicable NAV:Applicable NAV:Applicable NAV:Applicable NAV: Net Asset Value per Unit of the Scheme as declared by the Fund and applicable for valid Purchase/Redemption/Switch of Units of the Scheme, based on the Business Day and Cut-off time at which the application is received and accepted and also subject to compliance with other conditions as mentioned in this document.

‘Authorised Participant’‘Authorised Participant’‘Authorised Participant’‘Authorised Participant’ ‘Authorised Participant’ means the Member of Stock Exchange who is appointed by the AMC/Fund to act as Authorised Participant or any other person appointed


14

by AMC/Fund to act as Authorised Participant.

BSEBSEBSEBSE BSE Limited

Business Day Business Day Business Day Business Day A day other than (1) Saturday and Sunday or (2) a day on which the BSE Limited and National Stock Exchange are closed whether or not the Banks in Mumbai are open. (3) a day on which the Sale and Redemption of Units is suspended by the Trustee/AMC.

However, the AMC reserves the right to declare any day as a non-business day at any of its locations at its sole discretion.

Cash Component for CreatCash Component for CreatCash Component for CreatCash Component for Creation Unition Unition Unition Unit The Cash Component represents the difference between the applicable net asset value of a Creation Unit and the market value of the Portfolio deposit. This difference may include accrued dividends, accrued annual charges including management fees and residual cash in the scheme. In addition, the Cash Component may include transaction cost as charged by the Custodian/Depository Participant, equalization of dividend, effect of rounding-off of number of shares in portfolio Deposit and other incidental expenses for Creating Units. The cash component will vary from time to time and will be computed and announced by the AMC on its website every Business Day.

Creation UnitCreation UnitCreation UnitCreation Unit It is a fixed number of “SPIcE”, which is exchanged for a predefined basket of shares underlying the index fund called the “Portfolio Deposit” and a “Cash Component”. For redemption of units it is vice versa, i.e. a fixed number of “SPIcE” will always be exchanged for Portfolio Deposit and cash component. The Portfolio Deposit and Cash Component may change from time to time. The minimum number of “SPIcE” units that can be created/redeemed by Authorized Participants is 10000 units and in multiples thereof.

Custodian Custodian Custodian Custodian ‘Custodian’ means HDFC Bank Ltd., which has been granted a certificate of registration by SEBI under the SEBI (Custodian of Securities) Regulations 1996 and for the time being appointed by the Fund for rendering custodial services for the Scheme in accordance with the Regulations.

Customer Service CentreCustomer Service CentreCustomer Service CentreCustomer Service Centre The Customer Service Centres as may be designated by the Mutual Fund.

CutCutCutCut----offoffoffoff timetimetimetime forforforfor subscriptionssubscriptionssubscriptionssubscriptions //// redemptions/ Switchesredemptions/ Switchesredemptions/ Switchesredemptions/ Switches

The Scheme is an Exchange Traded funds (ETFs) and the units of the Scheme are listed on the stock exchanges. In the interest of the investors/ unitholders, the operational processes of the Scheme with respect to all the provisions of “Uniform cut-off timings for applicability of Net Asset Value (NAV)” issued by SEBI from time to time shall stand modified. CutCutCutCut----Off Timing for Subscriptions/ Redemptions/ Off Timing for Subscriptions/ Redemptions/ Off Timing for Subscriptions/ Redemptions/ Off Timing for Subscriptions/ Redemptions/ SSSSwitches for the Schemes:witches for the Schemes:witches for the Schemes:witches for the Schemes: The Fund may allow subscription/redemption/switches in ‘Creation Unit’ Size and in multiples thereof by large investors/authorised participants based on the Portfolio Deposit/equivalent amount of Cash and Cash


15

Component as defined by the Fund for that respective Business Day. The Cut-off time for receipt of valid application for subscriptions/ redemptions/ switches is 3.00 p.m. on any business day. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque.

DepositoryDepositoryDepositoryDepository Depository as defined in the Depositories Act, 1996.

Entry Load/Purchase LoadEntry Load/Purchase LoadEntry Load/Purchase LoadEntry Load/Purchase Load Load on Purchase of Units.

Exchange Traded Fund/ETFExchange Traded Fund/ETFExchange Traded Fund/ETFExchange Traded Fund/ETF ‘Exchange Traded Fund’/’ETF’ means a fund whose units are listed/ traded on an exchange and can be bought/sold at prices, which may be close to the NAV of the Scheme.

ETFs (Exchange Traded Funds) are listed securities representing an underlying fund, which replicates a benchmark index. They just trade like stocks so they are essentially index stocks that combine the benefits of a mutual fund with a listed stock. They are passively managed funds providing exposure to the performance of that index. They offer the best features of open and close ended funds.

Exit Load / Redemption LoadExit Load / Redemption LoadExit Load / Redemption LoadExit Load / Redemption Load Load on Redemption/Repurchase of Units

FII FII FII FII Foreign Institutional Investors registered with SEBI under Securities and Exchange Board of India (Foreign Institutional Investors) Regulations, 1995, as amended from time to time.

ICICI Bank ICICI Bank ICICI Bank ICICI Bank ICICI Bank Limited

Investment Management Investment Management Investment Management Investment Management AgreAgreAgreAgreementementementement

The Agreement dated September 3, 1993 entered into between ICICI Prudential Trust Limited and ICICI Prudential Asset Management Company Limited as amended from time to time.

Large Institutional InvestorsLarge Institutional InvestorsLarge Institutional InvestorsLarge Institutional Investors ‘Large Institutional Investor’ means an Investor who is eligible to invest in the Scheme and who would be creating units of the Schemes in Creation Unit size by depositing Portfolio Deposit and Cash Component. Further Large Investor would also mean those Investors who would be redeeming units of the Schemes in Creation Unit size.

NAVNAVNAVNAV Net Asset Value of the Units of the Scheme, calculated on every Business Day in the manner provided in this Scheme Information Document or as may be prescribed by Regulations from time to time.

NRINRINRINRI Non-Resident Indian.

NSENSENSENSE National Stock Exchange of India Limited

Offer Price for onOffer Price for onOffer Price for onOffer Price for on----going going going going subscriptionssubscriptionssubscriptionssubscriptions

Based on the Applicable NAV of the Scheme linked to the S&P BSE SENSEX, subject to entry load provisions.

Portfolio DepositPortfolio DepositPortfolio DepositPortfolio Deposit This is a pre-defined basket of securities that represent the S&P BSE SENSEX and will be defined and announced by the Fund on allotment date and on all Business Days thereafter. Portfolio Deposit can change from time to time.

Prudential Prudential Prudential Prudential Prudential plc, of the U.K. and includes, wherever the context so requires, its wholly owned subsidiary Prudential Corporation Holdings Limited.


16

RBIRBIRBIRBI Reserve Bank of India, established under the Reserve Bank of India Act, 1934, as amended from time to time.

RedemptionRedemptionRedemptionRedemption Redemption of Units of the Scheme at the Applicable NAV.

Saleable Underlying StockSaleable Underlying StockSaleable Underlying StockSaleable Underlying Stock Saleable Underlying Stock means the securities of the underlying index, which form part of the holdings of the Scheme, as certified by the Custodian and can be readily sold.

Scheme Information DocumentScheme Information DocumentScheme Information DocumentScheme Information Document This document issued by ICICI Prudential Mutual Fund, offering Units of SENSEX Prudential ICICI Exchange Traded Fund

SEBISEBISEBISEBI Securities and Exchange Board of India established under Securities and Exchange Board of India Act, 1992, as amended from time to time.

SENSEX/ SENSEX/ SENSEX/ SENSEX/ UnUnUnUnderlying Indexderlying Indexderlying Indexderlying Index The Index Cell of BSE Limited does the day-to-day maintenance of S&P BSE SENSEX within the broad index policy framework set by the Index Committee. The Index Cell takes special care to ensure that S&P BSE SENSEX maintains its benchmark properties by striking a delicate balance between high turnover in Index scrips and its representative character. The Index Committee of the Exchange has experts from different fields related to the capital markets. They include Academicians, Fund-managers from leading Mutual Funds, Finance - Journalists, Market Participants, Independent Governing Board members, and Exchange administration. The Index Committee meets every quarter to review S&P BSE SENSEX. In case of a revision in the S&P BSE SENSEX constituent scrips, the announcement of the incoming and outgoing scrips is made six weeks in advance of the actual revision of the SENSEX.

SENSEX Prudential ICICI Exchange SENSEX Prudential ICICI Exchange SENSEX Prudential ICICI Exchange SENSEX Prudential ICICI Exchange Traded Fund/ the Scheme/ SENSEX Traded Fund/ the Scheme/ SENSEX Traded Fund/ the Scheme/ SENSEX Traded Fund/ the Scheme/ SENSEX Exchange Traded Fund/ SPIcE/ Exchange Traded Fund/ SPIcE/ Exchange Traded Fund/ SPIcE/ Exchange Traded Fund/ SPIcE/ SENSEX ETFSENSEX ETFSENSEX ETFSENSEX ETF

SENSEX Prudential ICICI Exchange Traded Fund including, any other option that may be introduced later on by the Trustees.

The Fund or Mutual FundThe Fund or Mutual FundThe Fund or Mutual FundThe Fund or Mutual Fund ICICI Prudential Mutual Fund, a trust set up under the provisions of the Indian Trusts Act, 1882. The Fund is registered with SEBI vide Registration No.MF00393/6 dated October 13, 1993 as ICICI Mutual Fund and has obtained approval from SEBI for change in name to ICICI Prudential Mutual Fund vide SEBI’s letter dated April 02, 2007.

The TrusteeThe TrusteeThe TrusteeThe Trustee ICICI Prudential Trust Limited, a company set up under the Companies Act, 1956, and approved by SEBI to act as the Trustee for the schemes of ICICI Prudential Mutual Fund

The Regulations The Regulations The Regulations The Regulations Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 as amended from time to time.

TracTracTracTracking Errorking Errorking Errorking Error “Tracking Error” is defined as the standard deviation of the difference between daily returns of the index and the NAV of the Scheme.

Trust DeedTrust DeedTrust DeedTrust Deed The Trust Deed dated August 25, 1993 establishing ICICI Mutual Fund (subsequently renamed ICICI Prudential Mutual Fund), as amended from time to time.

Trust FundTrust FundTrust FundTrust Fund Amounts settled/contributed by the Sponsors towards the corpus of the ICICI Prudential Mutual Fund and


17

additions/accretions thereto.

UnitUnitUnitUnit The interest of an investor, which consists of, one undivided share in the Net Assets of the Scheme.

Unitholder(s)Unitholder(s)Unitholder(s)Unitholder(s) A holder of Units in the Scheme of SENSEX Prudential ICICI Exchange Traded Fund as contained in this Scheme Information Document.


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E. DUE DILIGENCE BY THE ASSET MANAGEMENT COMPANYE. DUE DILIGENCE BY THE ASSET MANAGEMENT COMPANYE. DUE DILIGENCE BY THE ASSET MANAGEMENT COMPANYE. DUE DILIGENCE BY THE ASSET MANAGEMENT COMPANY

DUE DILIGEDUE DILIGEDUE DILIGEDUE DILIGENCE CERTIFICATENCE CERTIFICATENCE CERTIFICATENCE CERTIFICATE It is confirmed that: (i) the Scheme Information Document forwarded to SEBI is in accordance with the SEBI (Mutual Funds) Regulations, 1996 and the guidelines and directives issued by SEBI from time to time. (ii) all legal requirements connected with the launching of the scheme as also the guidelines, instructions, etc., issued by the Government and any other competent authority in this behalf, have been duly complied with. (iii) the disclosures made in the Scheme Information Document are true, fair and adequate to enable the investors to make a well informed decision regarding investment in the proposed scheme. (iv) the intermediaries named in the Scheme Information Document and Statement of Additional Information are registered with SEBI and their registration is valid, as on date. Place : Mumbai

Date : July 17, 2015 sd/-

Supriya Sapre Head – Compliance and Legal

Note: The Due Diligence Certificate Note: The Due Diligence Certificate Note: The Due Diligence Certificate Note: The Due Diligence Certificate dateddateddateddated JulyJulyJulyJuly 17171717, 201, 201, 201, 2015555 is is is is submitted to SEBIsubmitted to SEBIsubmitted to SEBIsubmitted to SEBI....


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II. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEMEII. INFORMATION ABOUT THE SCHEME A. TYPE OF THE SCHEME A. TYPE OF THE SCHEME A. TYPE OF THE SCHEME A. TYPE OF THE SCHEME An open-ended, exchange listed, index linked growth scheme seeking to track the returns of the S&P BSE SENSEX through investment in a basket of stocks drawn from the constituents of S&P BSE SENSEX. SENSEX Prudential ICICI Exchange Traded Fund, an exchange traded fund will track the S&P BSE-30 Sensitive Index (the S&P BSE SENSEX). The units issued under the scheme will be referred to as “SPIcE”. The advantages of “SPIcE” units over the equity funds including passively managed index funds are: 1. Its units can be traded like a share and therefore it provides the ability to buy and sell

them quickly at the ruling market price unlike the units of other open-ended funds that can be traded only once a day.

2. Price at which these units are traded reflects the net asset value throughout the trading day. Thus, the premium and discount that are associated with close-ended funds may be avoided.

3. Its cost of management is lesser than both actively managed funds and passively managed Index funds as the fund does not normally bear an impact cost and also other costs including management fees, etc. are minimal.

4. Units of “SPIcE” will be issued (created) and repurchased (redeemed/cancelled) by ICICI Prudential Mutual Fund by swapping them with a mix of predefined securities and/ or cash or vice-versa. In the secondary market, “SPIcE” will be traded like any other equity shares on BSE Limited and NSE where they will be listed.

About the Index:About the Index:About the Index:About the Index: S&P BSE SENSEX, first compiled in 1986, was calculated on a "Market Capitalization-Weighted" methodology of 30 component stocks representing large, well-established and financially sound companies across key sectors. The base year of SENSEX was taken as 1978-79. Since September 1, 2003, SENSEX is being calculated on a free-float market capitalization methodology. The "free-float market capitalization-weighted" methodology is a widely followed index construction methodology The Index Committee of SENSEX meets every quarter to review the SENSEX. In case of a revision in the index constituent scrips, the announcement of the incoming and outgoing scrips is made six weeks in advance of the actual revision of the Index. This method of compilation has the advantage that it has the necessary flexibility to adjust for price changes caused by various corporate actions. During trading hours, value of the Index is calculated and disseminated on real time basis. This is done automatically on the basis of prices at which trades in Index constituents are executed. Attributes of the indexAttributes of the indexAttributes of the indexAttributes of the index: The SENSEX comprising of, at present, thirty equity securities, the composition and the criteria of which are determined by BSE Limited from time to time.


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Constituents of SENSEXConstituents of SENSEXConstituents of SENSEXConstituents of SENSEX 30 constituents of SENSEX as on June 30, 30 constituents of SENSEX as on June 30, 30 constituents of SENSEX as on June 30, 30 constituents of SENSEX as on June 30, 2015201520152015

Sr No. COMPANY

1 Axis Bank Ltd

2 Bajaj Auto Ltd

3 Bharat Heavy Electricals Ltd

4 Bharti Airtel Ltd

5 Cipla Ltd/India

6 Coal India Ltd

7 Dr Reddy's Laboratories Ltd

8 Gail India Ltd

9 HDFC Bank Ltd

10 Hero MotoCorp Ltd

11 Hindalco Industries Ltd

12 Hindustan Unilever Ltd

13 Housing Development Finance Corp

14 ICICI Bank Ltd

15 ITC Ltd

16 Infosys Ltd

17 Larsen & Toubro Ltd

18 Lupin Ltd

19 Mahindra & Mahindra Ltd

20 Maruti Suzuki India Ltd

21 NTPC Ltd

22 Oil & Natural Gas Corp Ltd

23 Reliance Industries Ltd

24 State Bank of India

25 Sun Pharmaceutical Industries Ltd

26 Tata Consultancy Services Ltd

27 Tata Motors Ltd

28 Tata Steel Ltd

29 Vedanta Ltd

30 Wipro Ltd

B. WHAT IS THE INVESTMENT OBJECTIVE OF THE SCHEME?B. WHAT IS THE INVESTMENT OBJECTIVE OF THE SCHEME?B. WHAT IS THE INVESTMENT OBJECTIVE OF THE SCHEME?B. WHAT IS THE INVESTMENT OBJECTIVE OF THE SCHEME? Investment Objective: Investment Objective: Investment Objective: 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 S&P BSE 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 Scheme will be achieved.


21

C.HOW WILL THE SCHEME ALLOCATE ITS ASSETS?C.HOW WILL THE SCHEME ALLOCATE ITS ASSETS?C.HOW WILL THE SCHEME ALLOCATE ITS ASSETS?C.HOW WILL THE SCHEME ALLOCATE ITS ASSETS?

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

InstruInstruInstruInstrumentsmentsmentsments

Indicative allocations Indicative allocations Indicative allocations Indicative allocations (% of total assets)(% of total assets)(% of total assets)(% of total assets)

Risk Profile Risk Profile Risk Profile Risk Profile

MaximumMaximumMaximumMaximum MinimumMinimumMinimumMinimum High/Medium/LowHigh/Medium/LowHigh/Medium/LowHigh/Medium/Low

Securities comprising the SENSEX 100% 95% Medium to High

Money Market Instruments having residual maturity upto 91 days

5% 0% Low

Investors may note that securities, which endeavors to provide higher returns typically, display higher volatility. Accordingly, the investment portfolio of the Scheme would reflect moderate to high volatility in its equity and equity related investments and low to moderate volatility in its debt and money market investments.

Change in Investment PatternChange in Investment PatternChange in Investment PatternChange in Investment Pattern

The above percentages would be adhered to at the point of investment. In case of any variation of the portfolio from the above asset allocation, the portfolio shall be rebalanced within 2 Business Days to ensure adherence to the above norms. Subject to the Regulations, the asset allocation pattern indicated above may change from time to time, keeping in view market conditions, market opportunities, applicable regulations and political and economic factors. Provided further and subject to the above, any change in the asset allocation affecting the investment profile of the Scheme shall be effected only in accordance with the provisions of sub regulation (15A) of Regulation 18 of the Regulations, as detailed later in this document.

Tracking ErrorTracking ErrorTracking ErrorTracking Error The performance of the Scheme may not be commensurate with the performance of S&P BSE SENSEX on any given day or over any given period. Such variations are commonly referred to as the tracking error. Tracking errors as defined elsewhere in this Scheme Information Document may result from a variety of factors including but not limited to:

• any delay experienced in the purchase or sale of shares due to illiquidity of the market, settlement and realisation of sale proceeds and the registration of any securities transferred and any delays in receiving cash and scrip dividends and resulting delays in reinvesting them.

• the S&P BSE SENSEX reflect the prices of securities at close of business hours. However, the Fund may buy or sell the securities at different points of time during the trading session at the then prevailing prices which may not correspond to the closing prices on the BSE.

• BSE Limited undertakes the periodical review of the scrips that comprise the S&P BSE SENSEX and may either drop or include new securities. In such an event, the Fund will endeavour to reallocate its portfolio but the available investment/ disinvestment opportunities may not permit precise mirroring of the S&P BSE SENSEX immediately.

• the potential for trades to fail which may result in the Scheme not having acquired shares at a price necessary to track the index.

• the holding of a cash position and accrued income prior to distribution and accrued expenses.

• Disinvestments to meet redemptions, recurring expenses, dividend payouts etc.


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Under norUnder norUnder norUnder normal circumstances, such tracking errors are not expected to exceed 2% per annum. mal circumstances, such tracking errors are not expected to exceed 2% per annum. mal circumstances, such tracking errors are not expected to exceed 2% per annum. mal circumstances, such tracking errors are not expected to exceed 2% per annum. However, this may vary when the markets are very volatile.However, this may vary when the markets are very volatile.However, this may vary when the markets are very volatile.However, this may vary when the markets are very volatile.

Issue of UnitsIssue of UnitsIssue of UnitsIssue of Units

1. Each unit of SENSEX ETF/“SPIcE” will be approximately equal to 1/100th of the S&P BSE

SENSEX closing on the date of allotment. 2. As SENSEX ETF/ “SPIcE” is listed on BSE and NSE, subsequent buying or selling by investors

can be made from the secondary market on the BSE and NSE. The minimum number of units that can be bought or sold is 1 (one) unit. Alternatively Authorised Participant and large Institutional Investors can directly buy / sell in blocks from the fund in ‘Creation Unit’ Size, as defined below.

Rounding off of Units:Rounding off of Units:Rounding off of Units:Rounding off of Units:

‘Creation Unit’ is a fixed number of SENSEX ETF/ “SPIcE”, which is exchanged for a predefined basket of shares underlying the index called the “Portfolio Deposit” and a “Cash Component”. The facility of creating / redeeming units in Creation Unit size is available to the Authorised Participants and large Institutional Investors. The number of SENSEX ETF/ “SPIcE” units, that investors can create / redeem in exchange of the Portfolio Deposit and Cash Component, is 10,000 Units and in multiples thereof. The Portfolio Deposit and Cash Component are defined as follows:-

a. PortfolioPortfolioPortfolioPortfolio DepositDepositDepositDeposit: This is a pre-defined basket of securities that represent the S&P BSE SENSEX

and will be defined and announced by the Fund on allotment date and on all Business Days thereafter. Portfolio Deposit can change from time to time.

b. Cash Component Cash Component Cash Component Cash Component for Creation Unit:for Creation Unit:for Creation Unit:for Creation Unit: The Cash Component represents the difference between

the applicable net asset value of a Creation Unit and the market value of the Portfolio deposit. This difference may include accrued dividends, accrued annual charges including management fees and residual cash in the scheme. In addition the Cash Component may include transaction cost as charged by the Custodian/Depository Participant, equalization of dividend, effect of rounding-off of number of shares in portfolio Deposit and other incidental expenses for Creating Units. The cash component will vary from time to time and will be computed and announced by the AMC on its website every Business Day.

c. Cash Component for Redemption in Creation Unit SizeCash Component for Redemption in Creation Unit SizeCash Component for Redemption in Creation Unit SizeCash Component for Redemption in Creation Unit Size: The Cash Component represents the

difference between the applicable net asset value of a creation unit and the market value of the Portfolio deposit. This difference may include accrued dividend, accrued annual charges including management fees and residual cash in the scheme. Any transaction cost charged by the Custodian/DP, equalization of dividend and other incidental expenses for redeeming units may also form part of Cash Component. The cash component for redemption may vary from time to time and will be computed and announced by the AMC on its website. Example of Creation and Redemption of UnitsExample of Creation and Redemption of UnitsExample of Creation and Redemption of UnitsExample of Creation and Redemption of Units As explained above, the Creation Unit is made up of 2 components i.e. the Portfolio Deposit and the Cash Component. The Portfolio Deposit will be determined by the Fund as per the weightages of each security in the S&P BSE SENSEX. The value of this portfolio deposit will change due to change in prices during the day. The number of shares of each security that constitute the portfolio deposit will remain constant unless there is any corporate action in the S&P BSE SENSEX/ change in the constituents of the S&P BSE SENSEX.


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Column AColumn AColumn AColumn A ColumnColumnColumnColumn BBBB Column CColumn CColumn CColumn C Column Column Column Column DDDD

Column Column Column Column EEEE

Column Column Column Column FFFF

Column GColumn GColumn GColumn G

Name

Weightage in S&P BSE SENSEX (%)

Value of Each Company’s stock in basket (Rs.)

Closing prices (Rs.)

No of shares in 1 lot of 10000 ETF units

Rounded off to lower side

Actual value of shares to be bought / sold for creation / redemption Bottom of Form

HDFC Bank Ltd 8.55% 2,40,276.92 1,067.45 225.09 225 2,40,176.25

Housing Development Finance Corp 8.36% 2,34,945.76 1,296.45 181.22 181 2,34,657.45

Infosys Ltd 7.79% 2,18,673.00 985.35 221.92 221 2,17,762.35

ICICI Bank Ltd 7.32% 2,05,569.97 308.00 667.43 667 2,05,436.00

ITC Ltd 7.24% 2,03,321.91 315.05 645.36 645 2,03,207.25

Reliance Industries Ltd 6.76% 1,89,916.22 1,000.45 189.83 189 1,89,085.05

Larsen & Toubro Ltd 5.97% 1,67,822.31 1,782.75 94.14 94 1,67,578.50

Tata Consultancy Services Ltd 5.32% 1,49,498.60 2,552.20 58.58 58 1,48,027.60

Sun Pharmaceutical Industries Ltd 3.88% 1,08,882.88 874.20 124.55 124 1,08,400.80

Axis Bank Ltd 3.86% 1,08,329.09 558.65 193.91 193 1,07,819.45

Tata Motors Ltd 3.34% 93,837.55 434.55 215.94 215 93,428.25

State Bank of India 3.34% 93,769.68 262.80 356.81 356 93,556.80

Hindustan Unilever Ltd 2.68% 75,269.04 916.45 82.13 82 75,148.90

Mahindra & Mahindra Ltd 2.41% 67,729.76 1,281.20 52.86 52 66,622.40

Bharti Airtel Ltd 2.41% 67,571.95 419.90 160.92 160 67,184.00

Oil & Natural Gas Corp Ltd 2.28% 63,989.74 309.65 206.65 206 63,787.90

Maruti Suzuki India Ltd 2.19% 61,498.89 4,022.70 15.29 15 60,340.50

Coal India Ltd 2.18% 61,179.48 421.05 145.30 145 61,052.25

Dr Reddy's Laboratories Ltd 1.86% 52,163.52 3,550.55 14.69 14 49,707.70

Lupin Ltd 1.84% 51,741.79 1,886.85 27.42 27 50,944.95

Wipro Ltd 1.49% 41,726.30 544.15 76.68 76 41,355.40

Bajaj Auto Ltd 1.38% 38,821.53 2,535.65 15.31 15 38,034.75

Cipla Ltd/India 1.28% 35,859.28 616.30 58.18 58 35,745.40

Hero MotoCorp Ltd 1.24% 34,787.17 2,524.30 13.78 13 32,815.90

NTPC Ltd 1.16% 32,672.27 137.80 237.10 237 32,658.60

Bharat Heavy Electricals Ltd 0.92% 25,817.02 247.85 104.16 104 25,776.40

Tata Steel Ltd 0.84% 23,486.15 304.70 77.08 77 23,461.90

Vedanta Ltd 0.78% 21,940.99 173.90 126.17 126 21,911.40

Gail India Ltd 0.75% 21,164.16 392.05 53.98 53 20,778.65

Hindalco Industries Ltd 0.59% 16,493.06 112.00 147.26 147 16,464.00

100.00%100.00%100.00%100.00% 28,08,756.0028,08,756.0028,08,756.0028,08,756.00 27,92,926.7527,92,926.7527,92,926.7527,92,926.75


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S&P BSE SENSEX closing value as on June 30, 2015 is 27,780.83, value of 1 ETF being 1/100th of S&P BSE SENSEX = Rs. 277.8083. In a Lot of “Creation Unit size no. of units would be 10,000. So value of 1 Lot of 10,000 ETFs = Rs 27,78,083. Based on the Scrips’ weightages in S&P BSE SENSEX (as per column B), value of each scrip is ascertained from a value of 1 lot of 10000 ETFs (i.e. Rs. 28,08,756) as calculated in column C above. Further based on the closing price of the scrip on June 30, 2015, no. of shares in 1 Lot of 10,000 ETFs are arrived at in column F. Based on rounded off number of shares, total Value of Shares to be bought/sold for creation/redemption of ETFs (calculated from above table) is Rs. 27,92,926.75 (as per column G above) In view of the above, the Value of Cash Component (arising out of rounding off of shares) = Rs. 15,829.25 (will be defined by the Fund everyday). In addition, Investors shall also pay charges payable to depositories / exchanges for creation / redemption of units as part of Cash Component.

D. D. D. D. Where will the scheme invest?Where will the scheme invest?Where will the scheme invest?Where will the scheme invest?

The Scheme invests in the securities included in its Underlying Index regardless of their investment merit. The AMC does not attempt to individually select stocks or to take defensive positions in declining markets. E. E. E. E. WHAT ARE THE INVESTMENT STRATEGIES?WHAT ARE THE INVESTMENT STRATEGIES?WHAT ARE THE INVESTMENT STRATEGIES?WHAT ARE THE INVESTMENT STRATEGIES? Principal Investment StrategiesPrincipal Investment StrategiesPrincipal Investment StrategiesPrincipal 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. A very small portion (0-5% of the Net Assets) of the fund may be kept liquid to meet the liquidity and expense requirements. The Scheme would endeavor to track the performance of Sensex. In the event of involuntary corporate action as listed in SEBI Circular CIR/MRD/DP/32/2012 dated December 6, 2012, the fund shall dispose the security not forming part of the Underlying index within 30 days from the date of allotment/ listing. The corpus of the Scheme will be invested in stocks constituting the Underlying Index in the same proportion as in the Index. 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. Implementation of PoliciesImplementation of PoliciesImplementation of PoliciesImplementation of Policies The Scheme, in general, will hold all of the securities that comprise the underlying Index in the same proportion as the index. 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 Underlying Index.


25

Investment ProcessInvestment ProcessInvestment ProcessInvestment Process The Scheme will track S&P BSE SENSEX and is a passively managed scheme. The investment Decisions will be determined as per S&P BSE SENSEX. In case of any change in the index due to corporate actions or change in the constituents of S&P BSE SENSEX (as communicated by BSE), relevant investment decisions will be determined considering the composition of the S&P BSE SENSEX. The Investment decision of the Fund will be carried out by the designated Fund Manager appropriate. Portfolio TurnoverPortfolio TurnoverPortfolio TurnoverPortfolio Turnover Generally, turnover will be confined to rebalancing of portfolio on account of change in the composition and corporate actions of S&P BSE SENSEX. Procedure followed for Investment decisions Procedure followed for Investment decisions Procedure followed for Investment decisions Procedure followed for Investment decisions

a) The Fund Manager of each scheme is responsible for making buy/sell decisions in respect of the securities in the respective scheme portfolios.

b) The AMC has an Internal Investment Committee comprising of the Managing Director,

Chief Investment Officer - Fixed Income , Chief Investment Officer - Equity and Fixed Income (CIO), , all Fund Managers and all analysts who meet at periodic intervals. The Investment Committee, at its meetings, reviews the performance of the schemes and general market outlook and formulates broad investment strategy. The Managing Director attends the meeting at his discretion.

c) The CIO who chairs the Investment Committee Meetings guides the deliberations at

Investment Committee. He, on an ongoing basis, reviews the portfolios of the schemes and gives directions to the respective fund managers, where considered necessary. It is the ultimate responsibility of the CIO to ensure that the investments are made as per the internal/Regulatory guidelines, Scheme investment objectives and in the best interest of the unitholders of the respective schemes.

d) The Managing Director makes a presentation to the Board of AMC at each of its

meetings indicating the performance of the schemes.

e) For SENSEX Prudential ICICI Exchange Traded Fund (SPICE), the performance of the scheme will be benchmarked with S&P BSE SENSEX. The performance of the Scheme is reviewed by the Board with the benchmark as also the performance of the schemes of the competitions. The Trustee reserves right to change the benchmark for performance of any of the scheme by suitable notification to the investors to this effect.

f) The Managing Director brings to the notice of the Board specific factors, if any, which

are impacting the performance of any individual scheme. The Board on consideration of all relevant factors may, if necessary, give directions to AMC. Similarly, the performance of the schemes is submitted to the Trustees. The Managing Director explains to the Trustees the details on Schemes’ performance vis-à-vis the benchmark returns.

g) Subsequent to the issue of Circular No.MFD/CIR/9/120/2000 dated November 24, 2000,

the Board has constituted a Committee to approve the investment in un-rated debt securities. All such investments, as and when are made, will be placed before the Board of Directors of AMC for its review.


26

h) The AMC has been recording investment decisions since the receipt of instructions from SEBI, in terms of SEBI’s circular no. MFD/CIR/6/73/2000 dated July 27, 2000.

i) The Chief Executive Officer of the AMC shall ensure that the mutual fund complies with

all the provisions of SEBI (Mutual Fund) Regulations, 1996, as amended from time to time, including all guidelines, circulars issued in relation thereto from time to time and that the investments made by the fund managers are in the interest of the unit holders and shall also be responsible for the overall risk management function of the mutual fund.

j) The Fund managers shall ensure that the funds of the Scheme/ schemes are invested to

achieve the investment objectives of the schemes and in the interest of the unit holders. F: FUNDAMENTAL ATTRIBUTESF: FUNDAMENTAL ATTRIBUTESF: FUNDAMENTAL ATTRIBUTESF: FUNDAMENTAL ATTRIBUTES Following are the Fundamental Attributes of the scheme, in terms of Regulation 18 (15A) of the SEBI (MF) Regulations: (A)(A)(A)(A) Type of a schemeType of a schemeType of a schemeType of a scheme An open-ended, exchange listed, index linked growth scheme seeking to track the returns of the S&P BSE SENSEX through investment in a basket of stocks drawn from the constituents of SENSEX. SENSEX Prudential ICICI Exchange Traded Fund, an exchange traded fund will track the S&P BSE-30 Sensitive Index (the S&P BSE SENSEX). The units issued under the scheme will be referred to as “SPIcE”. The advantages of “SPIcE” units over the equity funds including passively managed index funds are: 1. Its units can be traded like a share and therefore it provides the ability to buy and sell them

quickly at the ruling market price unlike the units of other open-ended funds that can be traded only once a day.

2. Price at which these units are traded reflects the net asset value throughout the trading day. Thus, the premium and discount that are associated with close-ended funds may be avoided.

3. Its cost of management is lesser than both actively managed funds and passively managed Index funds as the fund does not normally bear an impact cost and also other costs including management fees, etc. are minimal.

4. Units of “SPIcE” will be issued (created) and repurchased (redeemed/cancelled) by ICICI Prudential Mutual Fund by swapping them with a mix of predefined securities and/ or cash or vice-versa. In the secondary market, “SPIcE” will be traded like any other equity shares on BSE Limited and NSE Limited where they are proposed to be listed.

(B) (i) (B) (i) (B) (i) (B) (i) Investment Objective: Investment Objective: Investment Objective: 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 S&P BSE 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 Scheme will be achieved.

(ii) Investment Pattern: (ii) Investment Pattern: (ii) Investment Pattern: (ii) Investment Pattern: Please refer to section on “How will the Scheme allocate its assets”

(iii)iii)iii)iii) Terms of IssueTerms of IssueTerms of IssueTerms of Issue


27

• LiquidityLiquidityLiquidityLiquidity As “SPIcE” is listed on BSE Limited (BSE) and the National Stock Exchange of India Limited (NSE), buying or selling of units of SPIcE by investors can be made from the secondary market on the BSE and NSE. The trading will be as per the normal settlement cycle. The minimum number of units that can be bought or sold is 1 (one) unit. Authorised Participant and large Institutional Investors can directly buy/sell in blocks from the Fund in ‘Creation Unit’ Size, as defined in this document. DirectlyDirectlyDirectlyDirectly withwithwithwith thethethethe MutualMutualMutualMutual FundFundFundFund c.c.c.c. Subscription (Purchase)/SwitchSubscription (Purchase)/SwitchSubscription (Purchase)/SwitchSubscription (Purchase)/Switch----inininin The Fund may allow purchases of units of the Scheme in ‘Creation Unit’ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component by Large Investors/Authorised Participants. d.d.d.d. Redemption (Sale)/SwitchRedemption (Sale)/SwitchRedemption (Sale)/SwitchRedemption (Sale)/Switch----outoutoutout The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: The terms ‘Cash’ used above means RTGS, NEFT or transfer Cheque. 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 no quotes are available on exchange for 3 consecutive trading days; or • when the total bid size on the exchange(s) is less than half of 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.

• ListingListingListingListing

SENSEX ETF is listed and traded on BSE and NSE.

• Aggregate fees and expenses charged to the scheme: Aggregate fees and expenses charged to the scheme: Aggregate fees and expenses charged to the scheme: Aggregate fees and expenses charged to the scheme: The provisions in respect of fees and expenses as indicated in this scheme information document.

• Any safety net or guarantee provided:Any safety net or guarantee provided:Any safety net or guarantee provided:Any safety net or guarantee provided: The present scheme is not a guaranteed or assured return scheme

Changes in Fundamental AttributesChanges in Fundamental AttributesChanges in Fundamental AttributesChanges in Fundamental Attributes In accordance with Regulation 18(15A) of the SEBI (MF) Regulations, the Trustees shall ensure that no change in the fundamental attributes of the Scheme(s) and the Option(s) thereunder, if any or the trust or fee and expenses payable or any other change which would modify the Scheme(s) and the Option(s) thereunder, if any and affect the interests of Unitholders is carried out unless:

• A written communication about the proposed change is sent to each Unitholder and an advertisement is given in one English daily newspaper having nationwide circulation as well


28

as in a newspaper published in the language of the region where the Head Office of the AMC is situated; and

• The Unitholders are given an option for a period of 30 days to exit at the prevailing Net Asset Value without any exit load.

G. HOW WILL THE SCHEME BENCHMARK ITS PERG. HOW WILL THE SCHEME BENCHMARK ITS PERG. HOW WILL THE SCHEME BENCHMARK ITS PERG. HOW WILL THE SCHEME BENCHMARK ITS PERFORMANCE?FORMANCE?FORMANCE?FORMANCE? The corpus of SENSEX Prudential ICICI Exchange Traded Fund will be invested predominantly in stocks constituting the S&P BSE SENSEX and subject to tracking errors, the Scheme would endeavour to attain returns comparable to S&P BSE SENSEX. This would be done by investing in almost all the stocks comprising the S&P BSE SENSEX in approximately in the same weightage that they represent in the S&P BSE SENSEX. In view of the same, for S&P BSE SENSEX Prudential ICICI Exchange Traded Fund, the performance of the scheme will be benchmarked with S&P BSE SENSEX. H. WHO MANAGES THE SCHEME?H. WHO MANAGES THE SCHEME?H. WHO MANAGES THE SCHEME?H. WHO MANAGES THE SCHEME? The investments under the Scheme will be managed by Mr. Kayzad Eghlim. His qualifications and experience are as under:

Name of the Name of the Name of the Name of the Fund Fund Fund Fund Manager Manager Manager Manager

AgeAgeAgeAge QualificationQualificationQualificationQualification ExpeExpeExpeExperiencerienceriencerience Other schemes managed Other schemes managed Other schemes managed Other schemes managed

Kayzad Eghlim 49 Years B.Com and M.Com

About 20 Years as Equity Dealer & Fund Management

1) ICICI Prudential Index Fund

2) ICICI Prudential Blended Plan A - Equity Portion

3) ICICI Prudential Equity – Arbitrage Fund – Equity Portion

4) ICICI Prudential Nifty Junior Index Fund

5) ICICI Prudential Nifty ETF 6) ICICI Prudential CNX 100

ETF 7) ICICI Prudential Blended

Plan – Plan B – Equity Portion

I. WHAT ARE THE INVESTMENT RESTRICTIONS?I. WHAT ARE THE INVESTMENT RESTRICTIONS?I. WHAT ARE THE INVESTMENT RESTRICTIONS?I. WHAT ARE THE INVESTMENT RESTRICTIONS?

Pursuant to the Regulations and amendments thereto, the following investment restrictions are presently applicable to the Scheme:

1) The Fund under all its schemes shall not own more than 10% of any company’s paid up capital carrying voting rights.

2) Transfer of investments from one scheme to another scheme in the same Mutual Fund

is permitted provided: a) Such transfers are done at the prevailing market price for quoted instruments on

spot basis (spot basis shall have the same meaning as specified by a Stock Exchange for spot transactions); and

b) The securities so transferred shall be in conformity with the investment objective of the scheme to which such transfer has been made.

Further the inter scheme transfer of investments shall be in accordance with the provisions contained in clause Inter-Scheme transfer of investments, contained in


29

Statement of Additional Information.

3) The Fund shall get the securities purchased transferred in the name of the Fund on

account of the concerned scheme, wherever investments are intended to be of a long-term nature.

4) The Fund may buy and sell securities on the basis of deliveries and shall in all cases of

purchases, take delivery of relative securities and in all cases of sale, deliver the securities and will not make any short sales or engage in carry forward transaction or badla finance.

5) No loans for any purpose can be advanced by the Scheme. 6) No mutual fund scheme shall make any investments in;

a) any unlisted security of an associate or group company of the sponsor; or b) any security issued by way of private placement by an associate or group company

of the Sponsor; or c) the listed securities of group companies of the Sponsor which is in excess of 25%

of the net assets of the scheme of the Mutual Fund d) Fund of funds Scheme.

7) The Fund shall not borrow except to meet temporary liquidity needs of the Fund for the

purpose of repurchase/ redemption of units or payment of interest and dividend to the Unitholders. Such borrowings shall not exceed more than 20% of the net assets of the individual scheme and the duration of the borrowing shall not exceed a period of 6 months.

8) In accordance with SEBI Circular no SEBI/IMD/CIR No. 1/91171/07 dated 16th April 2007

and SEBI/IMD/CIR No. 7 / 12959 /08 June 23, 2008, following guidelines shall be followed for parking of funds in short term deposits of Scheduled commercial Banks pending deployment, for a maximum period of 7 working days.

a. “Short Term” for such parking of funds by mutual funds shall be treated as a period not exceeding 91 days.

b. Such short term deposits shall be held in the name of the concerned scheme. c. No mutual fund scheme shall park more than 15% of the net assets in Short term

deposit(s) of all the scheduled commercial Banks put together. However, it may be raised to 20% with prior approval of the trustees. Also, parking of funds in short term deposits of associate and sponsor scheduled commercial Banks together shall not exceed 20% of total deployment by the mutual fund in short term deposits.

d. No mutual fund scheme shall park more than 10% of the net assets in short term deposit(s), with any one scheduled commercial Bank including its subsidiaries.

e. Trustees shall ensure that no funds of a scheme may be parked in short term deposit of a Bank which has invested in that scheme.

f. Asset Management Company (AMC) shall not be permitted to charge any investment management and advisory fees for parking of funds in short term deposits of scheduled commercial Banks in case of liquid and debt oriented schemes.

g. All funds parked in short term deposit(s) shall be disclosed in half yearly portfolio statements under a separate heading. Details such as name of the Bank, amount of funds parked, percentage of NAV may be disclosed.

h. Trustees shall certify in the half-yearly reports that the provision of the Regulation pertaining to parking of funds in short term deposits - pending deployment is being complied with at all points of time. Further the AMC shall also certify the same in its bi-monthly compliance test report.


30

10) The Mutual Fund having an aggregate of securities which are worth Rs.10 crores or more, as on the latest balance sheet date, shall subject to such instructions as may be issued from time to time by the Board, settle their transactions entered on or after January 15, 1998 only through dematerialised securities. Further, all transactions in government securities shall be in dematerialised form.

The Trustee may alter the above restrictions from time to time to the extent that changes in the Regulations may allow or as deemed fit in the general interest of the Unitholders. J. HOW HAS THE SCHEME PERFORMED?J. HOW HAS THE SCHEME PERFORMED?J. HOW HAS THE SCHEME PERFORMED?J. HOW HAS THE SCHEME PERFORMED?

Performance Record Performance Record Performance Record Performance Record –––– (As on (As on (As on (As on June June June June 30, 20130, 20130, 20130, 2015555) ) ) )

Compounded Annualised Returns as on Compounded Annualised Returns as on Compounded Annualised Returns as on Compounded Annualised Returns as on June June June June 30, 20130, 20130, 20130, 2015555

Scheme Returns %Scheme Returns %Scheme Returns %Scheme Returns %

Benchmark Returns %Benchmark Returns %Benchmark Returns %Benchmark Returns % (S&P BSE SENSEX)(S&P BSE SENSEX)(S&P BSE SENSEX)(S&P BSE SENSEX)

Returns for the last 1 year 10.42 9.31

Returns for the last 3 years 17.84 16.79

Returns for the last 5 years 10.98 9.43

Returns since inception 19.49 18.45

Past performance may or may not be sustained in the future. Returns are calculated on the basis of CAGR. Benchmark is S&P BSE SENSEX. Returns are computed without considering load. Date of inception – January 10, 2003. Absolute Returns for each Financial Year for last 5 Years

Past performance may or may not be sustained in future. Absolute returns are provided for the above mentioned financial years. Benchmark is S&P BSE SENSEX. Returns are computed without considering load. Date of inception – January 10, 2003. POSITION OF EQUITY MARKETPOSITION OF EQUITY MARKETPOSITION OF EQUITY MARKETPOSITION OF EQUITY MARKETSSSS IN INDIAIN INDIAIN INDIAIN INDIA The Indian stock market is the world’s third largest stock market on the basis of investor base and has a collective pool of about 20 million investors. There are two leading stock exchanges in India, i.e. BSE Limited (BSE) and National Stock Exchange of India Limited (NSE). BSE was established in 1875 and is the oldest stock exchange


31

in Asia. NSE, a more recent establishment which came into existence in 1992, is the largest and most advanced stock market in India and is also the third biggest stock exchange in Asia in terms of transactions. It is among the 5 biggest stock exchanges in the world in terms of transactions volume. NSE's flagship index, CNX NIFTY, is used extensively by investors in India and around the world to take exposure to the Indian equities market. BSE has the largest number of scrips which are listed. The Indian stock market scene really picked up after the opening up of the economy in the early nineties. NSE changed the way the Indian markets function, in the early nineties, by replacing floor based trading with nationwide screen based electronic trading, which took trading to the doorstep of the investor. NSE was mainly set up to bring in transparency in the markets. Instead of trading membership being confined to a group of brokers, NSE ensured that anyone who was qualified, experienced and met minimum financial requirements was allowed to trade. The price information which could earlier be accessed only by a handful of people could now be seen by a client in a remote location with the same ease. The paper based settlement was replaced by electronic depository based accounts and settlement of trades was always done on time. One of the most critical changes was that a robust risk management system was set in place, so that settlement guarantees could protect investors against broker defaults. The corporate governance rules were gradually put in place which initiated the process of bringing the listed companies at a uniform level. Since inception, NSE and BSE have launched many indices, tracking various sectors and market capitalisation. Recently, the capital market regulator, SEBI granted license to MCX to become to become a full-fledged stock exchange. Movement of CNX Nifty Index since inception:*Movement of CNX Nifty Index since inception:*Movement of CNX Nifty Index since inception:*Movement of CNX Nifty Index since inception:*

*Source for the chart is www.nseindia.com and the data is as on June 30, 2015.

POSITIOPOSITIOPOSITIOPOSITION OF DEBT MARKETN OF DEBT MARKETN OF DEBT MARKETN OF DEBT MARKETSSSS IN INDIAIN INDIAIN INDIAIN INDIA Indian debt markets, in the early nineties, were characterised by controls on pricing of assets, segmentation of markets and barriers to entry, low levels of liquidity, limited number of players, near lack of transparency, and high transactions cost. Financial reforms have significantly changed the Indian debt markets for the better. Most debt instruments are now priced freely on the markets; trading mechanisms have been altered to provide for higher levels of transparency, higher liquidity, and lower transactions costs; new participants have entered the markets, broad basing the types of players in the markets; methods of security issuance, and innovation in the structure of instruments have taken place; and there has been a significant improvement in the dissemination of market information. There are three main segments in the


32

debt markets in India, viz., Government Securities, Public Sector Units (PSU) bonds, and corporate securities. A bulk of the debt market consists of Government Securities. Other instruments available currently include Corporate Debentures, Bonds issued by Financial Institutions, Commercial Paper, Certificates of Deposits and Securitized Debt. Securities in the Debt market typically vary based on their tenure and rating. Government Securities have tenures from one year to thirty years whereas the maturity period of the Corporate Debt now goes upto sixty years and more (perpetual). Perpetual bonds are now issued by banks as well. Securities may be both listed and unlisted and there is increasing trend of securities of maturities of over one year being listed by issuers. While in the corporate bond market, deals are conducted over telephone and are entered on principal to principal basis, due to the introduction of the Reserve Bank of India's NDS- Order Matching system a significant proportion of the government securities market is trading on the new system. The yields and liquidity on various securities as on June 30, 2015 are as under:

IssuerIssuerIssuerIssuer InstrumentInstrumentInstrumentInstrument MaturiMaturiMaturiMaturitytytyty Yields (%)Yields (%)Yields (%)Yields (%) LiquidityLiquidityLiquidityLiquidity GOI Treasury Bill 91 days 7.64 -7.68 High GOI Treasury Bill 364 days 7.71 -7.72 High GOI Short Dated 1-3 Yrs 7.69 -7.87 High GOI Medium Dated 3-5 Yrs 7.87 -8.06 High GOI Long Dated 5-10 Yrs 8.06 -7.86 High Corporates Taxable Bonds (AAA) 1-3 Yrs 8.34 -8.47 Medium Corporates Taxable Bonds (AAA) 3-5 Yrs 8.47 -8.64 Low to medium Corporates CPs (A1+) 3 months 8.15 Medium to High


33

K. HOWK. HOWK. HOWK. HOW ISISISIS THETHETHETHE SCHEMESCHEMESCHEMESCHEME DIFFERENTDIFFERENTDIFFERENTDIFFERENT FROMFROMFROMFROM OTHEROTHEROTHEROTHER SCHEMESCHEMESCHEMESCHEME

The Scheme is an Exchange Traded Fund (ETF) and ETFs by their nature invest in basket of securities which may be index baskets or commodity baskets. In the category of ETFs, Fund offers four schemes, out of which three schemes are Index ETFs and one is Gold Exchange Traded Fund (Commodity ETF) as given below:

Name of the ETFName of the ETFName of the ETFName of the ETF Index/ Commodity which is trackedIndex/ Commodity which is trackedIndex/ Commodity which is trackedIndex/ Commodity which is tracked

ICICI Prudential Nifty ETF CNX Nifty Index

ICICI Prudential CNX 100 ETF CNX 100 ETF

SENSEX Prudential ICICI Exchange Traded Fund S&P BSE Sensex Index

ICICI Prudential Gold Exchange Traded Fund Gold

III. UNITS AND OFFERIII. UNITS AND OFFERIII. UNITS AND OFFERIII. UNITS AND OFFER This section provides details you need to know for investing in the scheme. A. New Fund Offer DetailsA. New Fund Offer DetailsA. New Fund Offer DetailsA. New Fund Offer Details

This section does not apply to the Scheme, as the ongoing offer of the Scheme has commenced after the NFO and the units are available for continuous subscription and redemption.

B. ONGOING OFFER DETAILSB. ONGOING OFFER DETAILSB. ONGOING OFFER DETAILSB. ONGOING OFFER DETAILS


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Ongoing Offer PeriodOngoing Offer PeriodOngoing Offer PeriodOngoing Offer Period This is the date from which the scheme will reopen for subscriptions/redemptions after the closure of the NFO period.

Directly with the Fund:Directly with the Fund:Directly with the Fund:Directly with the Fund: a. Subscriptiona. Subscriptiona. Subscriptiona. Subscription (Purchase)/Switch(Purchase)/Switch(Purchase)/Switch(Purchase)/Switch----inininin The Fund may allow purchases of units of the Schemes in ‘Creation Unit’ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of cash and Cash Component by Large Investors/Authorised Participants. b. Redempb. Redempb. Redempb. Redemption (Sale)/Switchtion (Sale)/Switchtion (Sale)/Switchtion (Sale)/Switch----outoutoutout The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque. The subscription & redemption of units would be based on the portfolio deposit & cash component as defined by the fund for the respective business day. Investors can sell units in less than Creation Unit Size of the Scheme directly to the Mutual Fund in the following cases:





Under these circumstances, investors, as specified above, can redeem units of the Scheme directly with the fund house without any payment of exit load. On Stock Exchange:On Stock Exchange:On Stock Exchange:On Stock Exchange: Currently, the units of the Scheme are listed on NSE/BSE to provide liquidity through secondary market. The Scheme may also be listed on any other exchanges subsequently. All categories of Investors may purchase the units through secondary market on any Trading Day at the prevailing price (plus transaction handling charges) on the stock exchanges.

OngoingOngoingOngoingOngoing pricepricepriceprice forforforfor subscriptionsubscriptionsubscriptionsubscription bybybyby investinvestinvestinvestors.ors.ors.ors. This is the price you need to pay for purchase/ switch in. Example: If the applicable NAV is Rs. 10, then sales price will be: Rs. 10

Directly with the Fund:Directly with the Fund:Directly with the Fund:Directly with the Fund: a. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switch----inininin The Fund may allow purchases of units of the Scheme in ‘Creation Unit’ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of cash and Cash Component by Large Investors/Authorised Participants. b. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switch----outoutoutout


35

The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque. The subscription & redemption of units would be based on the portfolio deposit & cash component as defined by the fund for the respective business day. Investors can sell units in less than Creation Unit Size of the Scheme directly to the Mutual Fund in the following cases:





Under these circumstances, investors, as specified above, can redeem units of the Scheme directly with the fund house without any payment of exit load. On Stock Exchange:On Stock Exchange:On Stock Exchange:On Stock Exchange: Currently, the units of the Scheme are listed on NSE/BSE to provide liquidity through secondary market. The Scheme may also be listed on any other exchanges subsequently. All categories of Investors may purchase the units through secondary market on any Trading Day at the prevailing price (plus transaction handling charges) on the stock exchanges.

Ongoing price for redemption Ongoing price for redemption Ongoing price for redemption Ongoing price for redemption (sale) /switch outs (to other (sale) /switch outs (to other (sale) /switch outs (to other (sale) /switch outs (to other schemes of the Mutual Fund) by schemes of the Mutual Fund) by schemes of the Mutual Fund) by schemes of the Mutual Fund) by investors.investors.investors.investors. This is the price you will receive for redemptions/ switch out. This is the price you will receive for redemptions. Example: If the applicable NAV is Rs. 10, exit load is 2% then redemption price will be: Rs. 10* (1-0.02) = Rs. 9.80

Directly with the Fund:Directly with the Fund:Directly with the Fund:Directly with the Fund: a. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switch----inininin The Fund may allow purchases of units of the Scheme in ‘Creation Unit’ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of cash and Cash Component by Large Investors/Authorised Participants. b. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switch----outoutoutout The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque. The subscription & redemption of units would be based on the portfolio deposit & cash component as defined by the fund for the respective business day.


36

Investors can sell units in less than Creation Unit Size of the Scheme directly to the Mutual Fund in the following cases:





Under these circumstances, investors, as specified above, can redeem units of the Scheme directly with the fund house without any payment of exit load. On Stock Exchange:On Stock Exchange:On Stock Exchange:On Stock Exchange: Currently, the units of the Scheme are listed on NSE/BSE to provide liquidity through secondary market. The Scheme may also be listed on any other exchanges subsequently. All categories of Investors may purchase the units through secondary market on any Trading Day at the prevailing price (plus transaction handling charges) on the stock exchanges. The Fund shall ensure that the Redemption Price is not lower than 93% of the NAV and the Purchase Price is not higher than 107% of the NAV, provided that the difference between the Redemption Price and Purchase Price of the Units shall not exceed the permissible limit of 7% of the Purchase Price, as provided for under the Regulations. Suspension of acceptance of subscription: Suspension of acceptance of subscription: Suspension of acceptance of subscription: Suspension of acceptance of subscription: In the interest of the investors and in order to protect the portfolio from market volatility, the Trustees reserve the right to discontinue subscriptions under the scheme for a specified period of time or till further notice. Suspension of Sale and Redemption of UnitsSuspension of Sale and Redemption of UnitsSuspension of Sale and Redemption of UnitsSuspension of Sale and Redemption of Units The Trustee and the Board of Directors of the AMC may decide to temporarily suspend determination of NAV of the Scheme offered under this Document, and consequently sale and redemption of Units, in any of the following events: 1. When one or more stock exchanges or markets,

which provide basis for valuation for a substantial portion of the assets of the Scheme are closed otherwise than for ordinary holidays.

2. When, as a result of political, economic or monetary events or any circumstances outside


37

the control of the Trustee and the AMC, the disposal of the assets of the Scheme is not reasonable, or would not reasonably be practicable without being detrimental to the interests of the Unitholders.

3. In the event of breakdown in the means of communication used for the valuation of investments of the Scheme, without which the value of the securities of the Scheme cannot be accurately calculated.

4. During periods of extreme volatility of markets, which in the opinion of the AMC are prejudicial to the interests of the Unitholders of the Scheme.

5. In case of natural calamities, strikes, riots and bandhs.

6. In the event of any force, majeure or disaster that affects the normal functioning of the AMC or the Registrar.

7. If so directed by SEBI. In the above eventualities, the time limits indicated above, for processing of requests for purchase and redemption of Units will not be applicable. Suspension or restriction of repurchase/ redemption facility under any scheme of the mutual fund shall be made applicable only after obtaining the approval from the Boards of Directors of the AMC and the Trustees. After obtaining the approval from the AMC Board and the Trustees, intimation would be sent to SEBI in advance providing details of circumstances and justification for the proposed action shall also be informed. Right to Limit RedemptionsRight to Limit RedemptionsRight to Limit RedemptionsRight to Limit Redemptions After complying with the regulatory requirements, the Trustee and the Board of Directors of the AMC may, in the general interest of the Unitholders of the Scheme offered under this Scheme Information Document (SID) and keeping in view the unforeseen circumstances/unusual market conditions, limit the total number of Units which may be redeemed on any Business Day to 5% of the total number of Units then in issue, or such other percentage as the Trustee may determine. Any Units, which by virtue of these limitations are not redeemed on a particular Business Day, will be carried forward for Redemption to the next Business Day, in order of receipt. Redemptions so carried forward will be priced on the basis of the Applicable NAV (subject to the prevailing load) of the Business Day on which Redemption is made. Under such circumstances, to the extent multiple Redemption requests are received at the same time on a single Business Day, Redemptions


38

will be made on pro-rata basis, based on the size of each Redemption request, the balance amount being carried forward for Redemption to the next Business Day(s). Suspension or restriction of repurchase/ redemption facility under any scheme of the mutual fund shall be made applicable only after obtaining the approval from the Boards of Directors of the AMC and the Trustees. After obtaining the approval from the AMC Board and the Trustees, intimation would be sent to SEBI in advance providing details of circumstances and justification for the proposed action shall also be informed. Payment of ProceedsPayment of ProceedsPayment of ProceedsPayment of Proceeds All redemption requests received prior to the cut-off time on any Business Day at the Official Points of Acceptance of Transactions will be considered accepted on that Business Day, subject to the redemption requests being complete in all respects, and will be priced on the basis of Redemption Price for that day. Requests received after the cut-off time will be treated as though they were accepted on the next Business Day.

As per the Regulations, the Fund shall dispatch redemption proceeds within 10 Business Days (working days) of receiving the redemption request. Trustees reserve the right to alter or modify the number of days taken for redemption of Units under the Fund after taking into consideration the actual settlement cycle, when announced, as also the changes in the settlement cycles that may be announced by the Principal Stock Exchanges from time to time. As per the guidelines issued by SEBI, in the event of failure to dispatch the redemption or repurchase proceeds within 10 working days, the AMC is liable to pay interest to the Unit holders @ 15% p.a. SEBI has further advised the mutual funds that in the event of payment of interest to the Unit holders, such Unit holders should be informed about the rate and the amount of interest paid to them. If the Unitholder fails to provide the Bank mandate, the request for redemption would be considered as not valid and the Fund retains the right to reject/withhold the redemption until a proper bank mandate is furnished by the Unitholder and the provision with respect of penal interest in such cases will not be applicable/ entertained. The mode of payment may be direct


39

credit/ECS/cheque or any other mode as may be decided by AMC in the interest of investors.

Settlement of Purchase / Sale of Settlement of Purchase / Sale of Settlement of Purchase / Sale of Settlement of Purchase / Sale of “SPIcE” on the “SPIcE” on the “SPIcE” on the “SPIcE” on the BSE/BSE/BSE/BSE/NNNNSESESESE

Buying / Selling “SPIcE” on the BSE/NSE is just like buying / selling any other normal listed security. If an investor has bought units, an investor has to pay the purchase amount to the broker / sub-broker such that the amount paid is realised before the funds pay-in day of the settlement cycle on the BSE/NSE. If an investor has sold units, an investor has to deliver the units to the broker / sub-broker before the securities pay-in day of the settlement cycle on the BSE/NSE. The units (in the case of units bought) and the funds (in the case of units sold) are paid out to the broker on the pay-out day of the settlement cycle on the BSE/NSE. The Stock Exchange regulations generally stipulate that the trading member should pay the money or units to the investor within 48 hours of the pay-out. If an investor has bought units, he should give Standing Instructions for ‘Delivery-In’ to his/her DP for accepting units in his/her beneficiary account. An investor should give the details of his/ her beneficiary account and the DP-ID of his/her DP to his/her trading member. The trading member will transfer the units directly to his/her beneficiary account on receipt of the same from the Clearing House. An investor who has sold units should instruct his/her Depository Participant (DP) to give ‘Delivery Out’ instructions to transfer the units from his/her beneficiary account to the Pool Account of his/her trading member through whom he/she have sold the units. The details of the Pool A/C (CM-BP-ID) of his/her trading member to which the units are to be transferred, unit quantity etc. should be mentioned in the Delivery Out instructions given by him/her to the DP. The instructions should be given well before the prescribed securities pay-in day. SEBI has advised that the Delivery Out instructions should be given at least 24 hours prior to the cut-off time for the prescribed securities pay-in to avoid any rejection of instructions due to data entry errors, network problems, etc.

Rolling SettlementRolling SettlementRolling SettlementRolling Settlement The Fund intends to follow the same settlement pattern and practices of BSE Limited All the underlying constituents of SENSEX are now in rolling settlement on T+ 2 basis. The Pay-in and Pay-out of funds and the units will take place 2 working days after the trading date. The pay-in and pay-out days for funds and securities are prescribed as per the Settlement Cycle. A typical Settlement Cycle of Rolling Settlement is given below:


40

DayDayDayDay ActivityActivityActivityActivity

T The day on which the transaction is executed by a trading member. Issue of provisional funds and delivery obligations in the evening.

T+1 Deadline for custodial settlement, confirmations. Issue of funds and delivery obligation statement to the trading member

T+2 Pay-in and Pay-out of funds and securities

T+3 Auction of securities not settled on day T+2

T+4 Pay-in and pay-out of auction funds and securities

Cut off timing for subscriptions/ Cut off timing for subscriptions/ Cut off timing for subscriptions/ Cut off timing for subscriptions/ redemptionsredemptionsredemptionsredemptions This is the time before which your This is the time before which your This is the time before which your This is the time before which your application (complete in all application (complete in all application (complete in all application (complete in all respects) should reach the official respects) should reach the official respects) should reach the official respects) should reach the official points of acceptance.points of acceptance.points of acceptance.points of acceptance.

The Scheme is an Exchange Traded funds (ETFs) and the units of the Scheme are listed on the stock exchanges. In the interest of the investors/ unitholders, the operational processes of the Scheme with respect to all the provisions of “Uniform cut-off timings for applicability of Net Asset Value (NAV)” issued by SEBI from time to time shall stand modified. CutCutCutCut----Off Timing for Subscriptions/ RedemOff Timing for Subscriptions/ RedemOff Timing for Subscriptions/ RedemOff Timing for Subscriptions/ Redemptions/ ptions/ ptions/ ptions/ Switches for the SchemeSwitches for the SchemeSwitches for the SchemeSwitches for the Scheme:::: The Fund may allow subscription/redemption/switches in ‘Creation Unit’ Size and in multiples thereof by large investors/authorised participants based on the Portfolio Deposit/equivalent amount of cash and Cash Component as defined by the Fund for that respective Business Day. The Cut-off time for receipt of valid application for subscriptions/ redemptions/ switches is 3.00 p.m. on any business day. Note: For the purpose of the above, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque.

Creation/Redemption of Units Creation/Redemption of Units Creation/Redemption of Units Creation/Redemption of Units directly from the Funddirectly from the Funddirectly from the Funddirectly from the Fund

The Authorised Participants and Large Investors can directly buy/sell with the funds in Creation Unit Size as follows:- Directly with the Fund: Directly with the Fund: Directly with the Fund: Directly with the Fund: a. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switcha. Subscription (Purchase)/Switch----in in in in The Fund may allow purchases of units of the Scheme in “Creation Unit‟ size or multiples thereof in exchange of the Portfolio Deposit/equivalent amount of cash and Cash Component by Large Investors/Authorised Participants. b. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switchb. Redemption (Sale)/Switch----out out out out The Fund will redeem units only in Creation Unit size or in multiples thereof, in exchange of the Portfolio Deposit/equivalent amount of Cash and Cash Component. Note: For the purpose of this addendum, the terms


41

„Cash‟ means RTGS, NEFT or transfer Cheque. Note: SENSEX ETF/ “SPIcE” if less than Creation Unit cannot be purchased / redeemed directly with the fund except for certain circumstances as listed in this document In case of redemptions by NRIs, requisite TDS will be deducted from the respective redemption proceeds.

Where can the applications for Where can the applications for Where can the applications for Where can the applications for purchase/redemptionpurchase/redemptionpurchase/redemptionpurchase/redemption be be be be submitted?submitted?submitted?submitted?

Computer Age Management Services Private Limited (CAMS), New No 10. Old No. 178, Opp. to Hotel Palm Grove, MGR Salai (K.H.Road) Chennai - 600 034 have been appointed as Registrar for the Scheme. The Registrar is registered with SEBI under registration No: INR000002813. As Registrar to the Scheme, CAMS will handle communications with investors, perform data entry services and dispatch Account Statements. The AMC and the Trustee have satisfied themselves that the Registrar can provide the services required and has adequate facilities and the system capabilities. Investors can also subscribe and redeem units from the official website of AMC i.e. www.icicipruamc.com The details of official points of acceptance, collecting banker etc. are provided on back cover page.

Procedure for Creating SENSEX Procedure for Creating SENSEX Procedure for Creating SENSEX Procedure for Creating SENSEX ETFETFETFETF/ “SPIcE” / “SPIcE” / “SPIcE” / “SPIcE” in Creation Unit Sizein Creation Unit Sizein Creation Unit Sizein Creation Unit Size

CreationCreationCreationCreation ofofofof UnitsUnitsUnitsUnits The requisite securities constituting the Portfolio Deposit have to be transferred to the DP account of the respective Scheme on the day of receipt of the application, while the Cash Component, as applicable on that business day; has to be paid to the Fund. On confirmation of the receipt of Portfolio Deposit/ equivalent amount of cash by the Custodian/AMC, the AMC will credit the equivalent number of units of the Scheme into the investor’s DP account. In case of cash subscription of units of the Scheme in ‘Creation Unit’ Size, the purchase request for creation of units shall be made by such investor to the Fund/AMC where upon the Fund/AMC will arrange to buy the underlying portfolio of securities on behalf of the investor. The cost of purchase of securities including brokerage charges, transaction handling charges and all other incidental costs/profits/losses arising out of market movement during the purchase of securities shall be borne by the investor. The AMC may at its discretion create “Creation Unit” prior to receipt of all or a portion of the relevant Portfolio Deposit or equivalent amount in cash and Cash Component, wherein, amongst other things, the AMC may ask investor to post collateral to secure the obligation to deliver such outstanding Portfolio Deposit Securities or equivalent amount of cash and Cash Component. The Portfolio Deposit and Cash Component for units of


42

the Scheme may change from time to time due to changes in the Underlying Index on account of corporate actions and changes to the index constituents. The AMC reserves the right to adjust the number of Units to be credited in case the instrument towards the Cash Component is not honoured. The creation request can be made to the AMC/ Fund in a duly filled application form. Application Forms for Creation of units can be obtained from the office of AMC. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque.

Procedure for Redeeming SENSEX Procedure for Redeeming SENSEX Procedure for Redeeming SENSEX Procedure for Redeeming SENSEX ETF in Creation Unit SizeETF in Creation Unit SizeETF in Creation Unit SizeETF in Creation Unit Size

Redemption of Units :Redemption of Units :Redemption of Units :Redemption of Units : The requisite number of units of the Scheme equivalent to the Creation Unit lot size has to be transferred to the DP account of the respective Scheme, while the Cash Component, as applicable on that business day to be paid to the Scheme. On confirmation of the receipt of unit of the Scheme by the Custodian/AMC, the AMC shall extinguish the units and credit the Portfolio Deposit to the investor’s DP account and pay the Cash Component, as applicable. The Fund may allow cash redemption of the units of the Scheme in Creation Unit Size. Redemption request shall be made by such investor to the Fund before the stipulated cut-off time whereupon the Fund shall arrange to sell the underlying portfolio of securities on behalf of the investor. Accordingly, the cost of sale of securities including brokerage charges, transaction handling charges and any other incidental costs/profits/losses arising out of market movement during the sale of securities shall be borne by investor. Payment will then be made to the Investor net of all the above mentioned charges. The Portfolio Deposit and Cash Component for the SENSEX ETF/ “SPIcE” may change from time to time due to changes in the underlying Index on account of corporate actions and changes to the index constituents. Note: For the aforesaid purpose, the terms ‘Cash’ means RTGS, NEFT or transfer Cheque.

Minimum amount for Minimum amount for Minimum amount for Minimum amount for purchase/redemption/switchespurchase/redemption/switchespurchase/redemption/switchespurchase/redemption/switches

OnOnOnOn Exchange:Exchange:Exchange:Exchange: Investors can buy/sell units of the Scheme in round lot of 1 unit and in multiples thereof. DirectlyDirectlyDirectlyDirectly withwithwithwith thethethethe MutualMutualMutualMutual Fund:Fund:Fund:Fund: Authorised Participants/ Large Investors can buy/sell units of the Scheme in Creation Unit Size and in multiples thereof. An investor can buy / sell units on a continuous basis in the normal market segment of National Stock Exchange of India Limited (NSE)/ BSE Limited during the trading hours like any other publicly traded stock at prices which are quoted on NSE/BSE. These prices


43

may be close to the actual NAV of the Scheme. There is no minimum investment, although units are to be purchased in lots of 1 unit. Purchases and Redemption of units of the Fund can be done in Creation Unit Size. Investor can sell the units of the Fund on exchange. In case of the following the investor other than Authorised Participants can apply to Mutual Fund for redemption of units:



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

• when the total bid size on the exchange(s) is less than half of 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.

AccountAccountAccountAccount StatementStatementStatementStatement

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.

Consolidated Account Statement Consolidated Account Statement Consolidated Account Statement Consolidated Account Statement (CAS)(CAS)(CAS)(CAS)

1. The Consolidated Account Statement (CAS) for each calendar month will be issued on or before tenth day of succeeding month to the investors who have provided valid Permanent Account Number (PAN). Due to this regulatory change, AMC shall now cease to send physical account statement to the investors after every financial transaction** including systematic transactions. Further, CAS will be sent via email where any of the folios consolidated has an email id or to the email id of the first unit holder as per KYC records.

**The word ‘financial transaction’ shall include purchase, redemption, switch, dividend payout, dividend reinvestment, systematic investment plan, systematic withdrawal plan, systematic transfer plan and bonus transactions.

2. For folios not included in the Consolidated Account

Statement (CAS), the AMC shall henceforth issue account statement to the investors on a monthly basis, pursuant to any financial transaction in such folios on or before tenth day of succeeding month. In case of a New Fund Offer Period (NFO), the AMC shall send confirmation specifying the number of units allotted to the applicant by way of a physical


44

account statement or an email and/or SMS’s to the investor’s registered address and/or mobile number not later than five business days from the date of closure of the NFO.

3. In case of a specific request received from the unit holder, the AMC shall provide the account statement to the investors within 5 business days from the receipt of such request.

4. In the case of joint holding in a folio, the first named Unit holder shall receive the CAS/account statement. The holding pattern has to be same in all folios across Mutual Funds for CAS.

Further, in case if no transaction has taken place in a folio during the period of six months ended September 30 and March 31, the CAS detailing the holdings across all Schemes of all mutual funds, shall be emailed at the registered email address of the unitholders on half yearly basis, on or before tenth day of succeeding month, unless a specific request is made to receive the same in physical form

In case of the units are held in dematerialized (demat) form, the statement of holding of the beneficiary account holder will be sent by the respective Depository Participant periodically. The AMC reserve the right to furnish the account statement in addition to the CAS, if deemed fit in the interest of investor(s). CAS for investors having Demat account:CAS for investors having Demat account:CAS for investors having Demat account:CAS for investors having Demat account: • Investors having MF investments and holding

securities in Demat account shall receive a single Consolidated Account Statement (CAS) from the Depository.

• Consolidation of account statement shall be done on the basis of Permanent Account Number (PAN). In case of multiple holding, it shall be PAN of the first holder and pattern of holding. The CAS shall be generated on a monthly basis.

• If there is any transaction in any of the Demat accounts of the investor or in any of his mutual fund folios, depositories shall send the CAS within ten days from the month end. In case, there is no transaction in any of the mutual fund folios and demat accounts then CAS with holding details shall be sent to the investor on half yearly basis.

• In case an investor has multiple accounts across two depositories, the depository with whom the account has been opened earlier will be the default depository.


45

The dispatch of CAS by the depositories would constitute compliance by the AMC/ the Mutual Fund with the requirement under Regulation 36(4) of SEBI (Mutual Funds) Regulations. However, the AMC reserves the right to furnish the account statement in addition to the CAS, if deemed fit in the interest of investor(s).

Transaction ChargesTransaction ChargesTransaction ChargesTransaction Charges The provision on transaction charges is not applicable, as the Scheme is an Exchange Traded Fund (ETF).

Dividend PolicyDividend PolicyDividend PolicyDividend Policy The Fund will record the dividend received from companies in a separate account. The fund will debit the expenses of the Scheme to this account. The Trustees may decide to declare the dividend in the Scheme. The dividend so declared may be reinvested in the Scheme. The minimum reinvestment, if any, will be for one unit per folio. In case of fractional units the units will be rounded up to the lower decimal and the balance, if any, may be paid by cash. No units will be created if the fractional unit is less than one per folio. The Trustees reserve the right to revise the accounting treatment for dividend received from time to time, in the interest of the Unitholders of the Scheme. The Dividend warrants shall be dispatched to the unitholders within 30 days of the date of declaration of the dividend. No Exit load shall be charged by the Asset Management Company to unitholders on redemption of units allotted by way of Reinvestment of Dividend.

DematerializationDematerializationDematerializationDematerialization 1. SENSEX ETF/ “SPIcE” will be available only in the Dematerialized form.

2. The applicant under the Scheme will be required to have a beneficiary account with a Depository Participant of NSDL/CDSL and will be required to indicate in the application the DP’s name, DP ID Number and its beneficiary account number with DP.

3. Since SENSEX ETF are to be issued / repurchased and traded compulsorily in dematerialized form, no request for rematerialisation of SENSEX ETF/ “SPIcE” will be accepted.

TransferTransferTransferTransfer 1. Units of the Scheme are transferable. 2. Transfer would be only in favor of transferees who

are capable of holding units. The Fund shall not be bound to recognize any other transfer.

3. The Fund will affect transfer only in electronic form provided the intended transferee is otherwise eligible to hold the units under the Scheme.

4. The delivery instructions for transfer of units will have to be lodged with the DP in the requisite form as may be required from time to time and transfer


46

will be effected in accordance with such rules/regulations as may be in force governing transfer of securities in dematerialized mode.

Pledge of Units for loansPledge of Units for loansPledge of Units for loansPledge of Units for loans

The Units can be pledged by the Unitholders as security for raising loans subject to the conditions of the lending institution and the terms and conditions laid down by the Depositories. The Registrar will take note of such pledge / charge in its records.

Delay in payment of redemption / Delay in payment of redemption / Delay in payment of redemption / Delay in payment of redemption / repurchase proceedsrepurchase proceedsrepurchase proceedsrepurchase proceeds

The Asset Management Company shall be liable to pay interest to the unitholders at such rate as may be specified by SEBI for the period of such delay (presently @ 15% per annum).

Bank Account DetailsBank Account DetailsBank Account DetailsBank Account Details

As per the directives issued by SEBI, it is mandatory for applicants to mention their bank account numbers in their applications for purchase or redemption of Units. If the Unit-holder fails to provide the Bank mandate, the request for redemption would be considered as not valid and the Fund retains the right to withhold the redemption until a proper bank mandate is furnished by the Unit-holder and the provision with respect of penal interest in such cases will not be applicable/ entertained. Bank Mandate RequirementBank Mandate RequirementBank Mandate RequirementBank Mandate Requirement For all fresh purchase transactions made by means of a cheque, if cheque provided alongwith fresh subscription/new folio creation does not belong to the bank mandate opted in the application form, any one of the following documents needs to be submitted. 1. Original cancelled cheque having the First Holder Name printed on the cheque. 2. Original bank statement reflecting the First Holder Name, Bank Account Number and Bank Name as specified in the application. 3. Photocopy of the bank statement duly attested by the bank manager with designation, employee number and bank seal. 4. Photocopy of the bank pass book duly attested by the bank manager with designation, employee number and bank seal. 5. Photocopy of the bank statement/passbook/cheque duly attested by ICICI Prudential Asset Management Company Limited (the AMC) branch officials after verification of original bank statement/passbook shown by the investor or their representative. 6. Confirmation by the bank manager with seal, designation and employee number on the bank’s letter head confirming the investor details and bank mandate information.

This condition is also applicable to all purchase transactions made by means of a Demand Draft. In


47

case the application is not accompanied by the aforesaid documents, the AMC reserves the right to reject the application, also the AMC will not be liable in case the redemption/dividend proceeds are credited to wrong account in absence of above original cheque.

Who caWho caWho caWho can investn investn investn invest The following persons are eligible and may apply for subscription to the Units of the Scheme (subject, wherever relevant, to purchase of units of Mutual Funds being permitted under respective constitutions and relevant statutory regulations):

• Resident adult individual either singly or jointly (not exceeding three)

• Minor through parent/lawful guardian

• Companies, Bodies Corporate, Public Sector Undertakings, association of persons or bodies of individuals and societies registered under the Societies Registration Act, 1860 (so long as the purchase of units is permitted under the respective constitutions)

• Religious and Charitable Trusts under the provisions of 11(5)(xii) of Income-tax Act, 1961 read with Rule 17C of Income-Tax Rules, 1962

• Partnership Firms

• Karta of Hindu Undivided Family (HUF)

• Banks & Financial Institutions

• Non-resident Indians/Persons of Indian origin residing abroad (NRIs) on full repatriation basis (subject to RBI approval, if any) or on non repatriation basis, as per applicable regulations notified by RBI from time to time.

• Overseas Corporate Bodies, firms and societies which are held directly or indirectly but ultimately to the extent of at least 60% by NRIs and trusts in which at least 60% of the beneficial interest is similarly held irrevocably by such persons (OCBs), on full repatriation basis (subject to RBI approval, if any).

• Foreign Institutional Investors (FIIs) registered with SEBI on full repatriation basis (subject to RBI approval, if any).

• Army, Air Force, Navy and other para-military funds

• Scientific and Industrial Research Organizations

• Mutual fund schemes

• Qualified Foreign Investors as permitted under Regulations.

• Any other category of investor who may be notified by Trustees from time to time by display on the website of the AMC.

Change of Bank detailsChange of Bank detailsChange of Bank detailsChange of Bank details

• Updation of bank accounts in investor's folio shall be either through "Multiple Bank Account Registration Form" or a standalone separate "Change of Bank Mandate Form".

• Change of bank details or redemption request shall be accepted in two different standalone


48

request forms and processed separately.

• In case of change of bank request, investors shall be required to submit below stated supporting documents to effect such change:

Documents required for change of bank requesDocuments required for change of bank requesDocuments required for change of bank requesDocuments required for change of bank requestttt New bank account:New bank account:New bank account:New bank account: Original of any one of the following documents or originals should be produced for verification or copy should be attested by the Bank:

− Cancelled original cheque of the new bank mandate with first unit holder name and bank account number printed on the face of the cheque. Or

− Self attested copy of bank account statement issued by the concerned bank. (not older than 3 months).Or

− Bank passbook with current entries not older than 3 months. Or

− Bank letter, on the letterhead of the bank duly signed by branch manager/authorized personnel stating the investor’s bank account number, name of investor, account type, bank branch, MICR and IFSC code of the bank branch. (The letter should be not older than 3 months).

Updation of bank account in the Updation of bank account in the Updation of bank account in the Updation of bank account in the folios wherein bank folios wherein bank folios wherein bank folios wherein bank details not registered:details not registered:details not registered:details not registered: In case of folios/accounts where bank details were not provided by the investor at the time of making investment (old folios, when bank details were not mandatory) the investors shall be required to submit the below stated supporting documents to update the bank details: New bank account:New bank account:New bank account:New bank account: Original of any one of the following documents or originals should be produced for verification or copy should be attested by the Bank:

− Cancelled original cheque of the new bank mandate with first unit holder name and bank account number printed on the face of the cheque. Or

− Self attested copy of bank account statement issued by the concerned bank. (Not older than 3 months). Or

− Bank passbook with current entries not older than 3 months. Or

− Bank letter, on the letterhead of the bank duly signed by branch manager/authorized personnel stating the investor’s bank account number, name of investor, account type, bank branch, MICR and IFSC code of the bank branch. (The


49

letter should be not older than 3 months). And Proof of Identity:Proof of Identity:Proof of Identity:Proof of Identity: Self attested copy of any one of the documents prescribed admissible as Proof of Identity in SEBI circular no. MIRSD/SE/Cir-21/2011 dated October 5, 2011. Note:Note:Note:Note:

− In case of photocopies of the documents as stated above are submitted, investor must produce original for verification or a copy of the supporting documents duly attested by the concerned bank to any of the AMC branches or official point of acceptance of transactions.

− In case request for change in bank account information being incomplete/invalid or not complying with any requirements as stated above, the request for such change will not be processed. Redemptions/dividends payments, if any will be processed as per specified service standards and last registered bank account shall be used for all the purposes.

− In case the request for change in bank account information and redemption request are in the same transaction slip or letter, such change of bank mandate will not be processed. However, the valid redemption transaction will be processed and the payout will be released as per the specified service standards and the last registered bank account shall be used for all the purposes.

Cooling Period:Cooling Period:Cooling Period:Cooling Period:

If the investor submits redemption request accompanied with a standalone request for change of Bank mandate or submits a redemption request within seven days from the date submission of a request for change of Bank mandate details, the AMC will process the redemption but the release of redemption proceeds would be deferred on account of additional verification. The entire activity of verification of cooling period cases and release of redemption payment shall be carried out within the period of 10 business days from the date of redemption.

Change of AddressChange of AddressChange of AddressChange of Address

IIII. KYC Complied Folios/Investors: In case of change of address for KYC complied folios, the investors must submit the below stated documents to the designated intermediaries of the KYC Registration Agency: • Proof of new address (POA) and, • Any other document the KYC Registration Agency may specify from time to time. IIIIIIII. KYC not Complied Folios/Investors: In case of change of address for KYC not complied folios, the investors must submit the below stated documents:


50

• Proof of new address and, • Proof of Identity (POI): Only PAN card copy, if PAN is updated in the folio. In case where PAN is not updated, copy of PAN card or the other POI as may be prescribed. However, it is advisable to these investors to complete the KYC process. Note:Note:Note:Note: I. I. I. I. List of admissible documents for POA and POI as mentioned in the SEBI circular no. MIRSD/SE/Cir-21/2011dated October 5, 2011 will be considered or any other or additional documents as may be required by SEBI, AMFI or SEBI authorized KYC Registration Agency from time to time. II. II. II. II. In case, the original of any of the aforesaid documents are not produced for verification, then the copies must be properly attested/verified by the authorities who are authorized to attest as per SEBI circular no. MIRSD/SE/Cir-21/2011 dated October 5, 2011.

III. III. III. III. The AMC, if necessary, reserves the right to collect proof of old bank account or proof of investment (in case of Change of Bank) or proof of old address (in case of change of address) or do any additional verification depending upon case to case basis. For more details please visit our website www.icicipruamc.com.

Other requirements/processes Other requirements/processes Other requirements/processes Other requirements/processes Consolidation of Folios Consolidation of Folios Consolidation of Folios Consolidation of Folios In case an investor has multiple folios, the AMC reserves the right to consolidate all the folios into one folio, based on such criteria as may be determined by the AMC from time to time. In case of additional purchases in same scheme / fresh purchase in new scheme, if the investor fails to provide the folio number, the AMC reserves the right to allot the units in the existing folio, based on such integrity checks as may be determined by the AMC from time to time.


51

Transactions without Scheme/Option NameTransactions without Scheme/Option NameTransactions without Scheme/Option NameTransactions without Scheme/Option Name, if any, if any, if any, if any In case of fresh/additional purchases, if the name of the Scheme on the application form/transaction slip differs from the name on the Cheque/Demand Draft, then the AMC will process the application and allot units at the applicable Net Asset Value, under the Scheme/Plan which is mentioned on the application form/transaction slip duly signed by the investor(s). The AMC reserves the right to call for other additional documents as may be required, for processing such transactions. The AMC also reserves the right to reject such transactions. The AMC thereafter shall not be responsible for any loss suffered by the investor due to the discrepancy of a Scheme name mentioned in the application form/transaction slip and Cheque/Demand Draft. In case of fresh purchases, if the Plan name is not mentioned on the application form/transaction slip, then the units will be allotted under the Plan mentioned on the Cheque/Demand Draft. The Plan/Option that will be considered in such cases if not specified by the customer will be the default option of the Plan as per the SID.

Redemption/Switch RequestsRedemption/Switch RequestsRedemption/Switch RequestsRedemption/Switch Requests If an investor submits a redemption/switch request mentioning both the Number of Units and the Amount to be redeemed/switched in the transaction slip, then the AMC reserves the right to process the redemption/switch for the Number of units and not for the amount mentioned. If an investor submits a redemption/switch request by mentioning Number of Units or Amount to be redeemed and the same is higher than the balance Units/Amount available in the folio under the Scheme, then the AMC reserves the right to process the redemption/switch request for the available balance in the folio under the Scheme of the investor.

Multiple Requests Multiple Requests Multiple Requests Multiple Requests In case an investor makes multiple requests in a transaction slip i.e. redemption/switch and Change of Address or redemption/switch and Change of Bank Mandate or any combination thereof, but the signature is appended only under one such request, then the AMC reserves the right to process the request under which signature is appended and reject the rest where signature is not appended.


52

Processing of TranProcessing of TranProcessing of TranProcessing of Transmissionsmissionsmissionsmission----cumcumcumcum----Redemption Redemption Redemption Redemption request(s)request(s)request(s)request(s) If an investor submits redemption/switch out request(s) for transmission cases it will be processed after the units are transferred in the name of new unit holder and only upon subsequent submission of fresh redemption/switch-out request(s) from the new unit holder.

Tax Status of the investorTax Status of the investorTax Status of the investorTax Status of the investor For all fresh purchases, in case the investor has not selected/incorrectly selected the tax status in the application form, the AMC shall update the tax status based on Permanent Account Number/Bank account details or such other information of the investor available with the AMC for the purpose of determining the tax status of the investor. The AMC shall not be responsible for any claims made by the investor/third party on account of updation of tax status.

Processing of Redemption/Switch transaction Processing of Redemption/Switch transaction Processing of Redemption/Switch transaction Processing of Redemption/Switch transaction request(s) where realization status is not availablerequest(s) where realization status is not availablerequest(s) where realization status is not availablerequest(s) where realization status is not available The Fund shall place the units allotted to investor on hold for redemption / switch transactions till the time the payment is realized towards the purchase transaction(s). The Fund also reserves the right to reject / partially process the redemption / switch transaction request, as the case may be, based on the realization status of the units held by the investor. In both the above cases, intimation will be sent to the investor accordingly. Units which are not redeemed/switched will be processed upon confirmation of realization status and on submission of fresh redemption / switch request.

Processing of Processing of Processing of Processing of Redemption/Switch/SysteRedemption/Switch/SysteRedemption/Switch/SysteRedemption/Switch/Systematic matic matic matic transaction request(s) where transaction request(s) where transaction request(s) where transaction request(s) where realization status is not availablerealization status is not availablerealization status is not availablerealization status is not available

The Fund shall place the units allotted to investor on hold for redemption / switch/ systematic transactions till the time the payment is realized towards the purchase transaction(s). The Fund also reserves the right to reject / partially process the redemption/ switch/systematic transaction request, as the case may be, based on the realization status of the units held by the investor. In both the above cases, intimation will be sent to the investor accordingly. Units which are not redeemed/switched will be processed upon confirmation of realization status and on submission of fresh redemption / switch request.

Communication via Electronic Mail Communication via Electronic Mail Communication via Electronic Mail Communication via Electronic Mail (e(e(e(e----mail)mail)mail)mail)

It is hereby notified that wherever the investor(s) has/have provided his/their e-mail address in the application form or any subsequent communication 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 communication.


53

Non Acceptance/Processing of Non Acceptance/Processing of Non Acceptance/Processing of Non Acceptance/Processing of Purchase request(s) due to Purchase request(s) due to Purchase request(s) due to Purchase request(s) due to repeated Cheque Bouncerepeated Cheque Bouncerepeated Cheque Bouncerepeated Cheque Bounce

With respect to purchase request submitted by any investor, if it is noticed that there are repeated instances of two or more cheque bounces, the AMC reserves the right to, not to accept/allot units for all future purchase of such investor(s).

Restriction on fresh Restriction on fresh Restriction on fresh Restriction on fresh purchases/additional purchases/additional purchases/additional purchases/additional purchases/switches in any purchases/switches in any purchases/switches in any purchases/switches in any Schemes of ICICI Prudential Mutual Schemes of ICICI Prudential Mutual Schemes of ICICI Prudential Mutual Schemes of ICICI Prudential Mutual FundFundFundFund

As per requirements of the U.S. Securities and Exchange Commission (SEC), persons falling within the definition of the term "U.S. Person" under the US Securities Act of 1933, and corporations or other entities organised under the laws of the U.S., are not permitted to make investments in securities not registered under the Securities Act of 1933. In view of the same, U.S. Persons will not be permitted to make any fresh purchases/additional purchases/switches in any Schemes of ICICI Prudential Mutual Fund (via internet or otherwise). However, existing investments will be allowed to be redeemed.

Third party ChequesThird party ChequesThird party ChequesThird party Cheques Investment/subscription made through third party cheque(s) will not be accepted for investments in the units of ICICI Prudential Mutual Fund. Please visit www.icicipruamc.com for further details.

Multiple Bank accountsMultiple Bank accountsMultiple Bank accountsMultiple Bank accounts The unit holder/ investor can register multiple bank account details under its existing folio by submitting separate form available on the website of the AMC at www.icicipruamc.com.

Individuals/HuF can register upto 5 different bank accounts for a folio, whereas non-individuals can register upto 10 different bank accounts for a folio.

Reversal of cheque(s)Reversal of cheque(s)Reversal of cheque(s)Reversal of cheque(s) Where the units under any scheme are allotted to investors and cheque(s) given by the said investors towards subscription of units are not realised thereafter or where the confirmation from the bankers is delayed or not received for non-realisation of cheque(s), the Fund reserves the right to reverse such units. If the Investor redeems such units before the reversal of units, the fund reserves the right to recover the amount from the investor –

a) out of subsequent redemption proceeds payable to investor .

b) by way of cheque or demand draft or pay order

in favour of Scheme if investor has no other units in the folio

Know Your Client (KYC) NormsKnow Your Client (KYC) NormsKnow Your Client (KYC) NormsKnow Your Client (KYC) Norms With effect from 1st January 2011, KYC (Know Your Customer) norms are mandatory for all investors for making investments in Mutual Funds, irrespective of the amount of investment.

Cash Investments in the SchemeCash Investments in the SchemeCash Investments in the SchemeCash Investments in the Scheme Pursuant to SEBI circulars dated September 13, 2012 and May 22, 2014, it is permitted to accept cash transactions to the extent of Rs. 50,000/- subject to compliance with Prevention of Money Laundering Act,


54

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.

C. PERIODIC DISCLOSURESC. PERIODIC DISCLOSURESC. PERIODIC DISCLOSURESC. PERIODIC DISCLOSURES

Net Asset Value This is the value per unit of the scheme on a particular day. You can ascertain the value of your investments by multiplying the NAV with your unit balance.

The AMC will calculate and disclose the first NAV within Five 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 in at least two daily newspapers having circulation all over India. The AMC shall disclose portfolio of all 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. In addition, the AMC will disclose details of the portfolio at least on a half-yearly basis. AMC shall update the NAVs on the website of Association of Mutual Funds in India - AMFI (www.amfiindia.com) and on the mutual fund website – (www.icicipruamc.com) by 9:00 p.m. every Business Day. In case of any delay, the reasons for such delay would be explained to AMFI and SEBI by the next day. If the NAVs are not available before commencement of business hours on the following day due to any reason, the Fund shall issue a press release providing reasons and explaining when the Fund would be able to publish the NAVs

Monthly and Half yearly Portfolio / Monthly and Half yearly Portfolio / Monthly and Half yearly Portfolio / Monthly and Half yearly Portfolio / Disclosures Disclosures Disclosures Disclosures / Half yearly Financial / Half yearly Financial / Half yearly Financial / Half yearly Financial Results Results Results Results

The AMC shall disclose portfolio of the Scheme 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 scheme portfolio 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 and update the same on AMC's website at www.icicipruamc.com and on AMFI's website at www.amfiindia.com in the prescribed formats.


55

Half YeHalf YeHalf YeHalf Yearly Resultsarly Resultsarly Resultsarly Results 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.

Annual ReportAnnual ReportAnnual ReportAnnual Report 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) Regulation 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.

Associate TransactionsAssociate TransactionsAssociate TransactionsAssociate Transactions Please refer to Statement of Additional Information (SAI).


56

TaxationTaxationTaxationTaxation The information is provided for general information only. However, in view of the individual nature of the implications, each investor is advised to consult his or her own tax advisors/authorised dealers with respect to the specific amount of tax and other implications arising out of his or her participation in the scheme.

Equity Scheme will also attract securities transaction tax.

As per the Finance Act, 2015:

ResidentResidentResidentResident InvestorsInvestorsInvestorsInvestors

Mutual FundMutual FundMutual FundMutual Fund

Tax on Dividend

NIL NIL

Capital Gains: Long Term

Exemption in case of redemption of units where STT is payable on redemption [u/s 10(38)]

NIL

Short Term 15%* on redemption of units where STT is payable on redemption (u/s 111A)

NIL

Note:Note:Note:Note:

1. The scheme in this SID, qualify as an equity oriented fund

2. Income of the Mutual Fund is exempt from income tax in accordance with the provisions of Section 10(23D) of the Income-tax Act, 1961 (the Act).

3. With respect to the taxation provisions, the Scheme is considered as equity oriented Scheme.

* excluding applicable surcharge and cess. For details on taxation please refer to the clause on Taxation in the SAI.

Investor services The Fund will follow-up with Customer Service Centres and Registrar on complaints and enquiries received from investors for resolving them promptly. For this purpose, Mr. Yatin Suvarna has been appointed the Investor Relations Officer. He can be contacted at the Central Service Office of the AMC. The address and phone numbers are: 2nd Floor, Block B-2, Nirlon Knowledge Park, Western Express Highway, Goregaon (East), Mumbai – 400 063, Tel No.: 022 26852000, Fax No.: 022-2686 8313

e-mail - [email protected]

D. COMPUTATION OF NAVD. COMPUTATION OF NAVD. COMPUTATION OF NAVD. COMPUTATION OF NAV

The NAV of the Units of the Scheme will be computed by dividing the net assets of the Scheme by the number of Units outstanding on the valuation date. The Fund shall value its investments according to the valuation norms, as specified in Schedule VIII of the Regulations, or such norms as may be prescribed by SEBI from time to time and as stipulated in the Valuation Policy and Procedures of the Fund, provided in SAI. The broad valuation norms are detailed in Statement of Additional Information.


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The NAV of the Scheme shall be rounded off upto four decimals. E. RAJIV E. RAJIV E. RAJIV E. RAJIV GANGANGANGANDHIDHIDHIDHI EQUITY SAVINGS SCHEMEEQUITY SAVINGS SCHEMEEQUITY SAVINGS SCHEMEEQUITY 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 Novem ber 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. Units issued under ICICI Prudential Equity Savings Fund qualify to be eligible security under the RGESS guidelines. Relevant provisions of the RGESS guidelines are reproduced below:Relevant provisions of the RGESS guidelines are reproduced below:Relevant provisions of the RGESS guidelines are reproduced below:Relevant provisions of the RGESS guidelines are reproduced below: In exercise of the powers conferred by sub-section (1) of section 80CCG of the Income-tax Act, 1961 (43 of 1961), the Central Government hereby makes the following Scheme, namely:- 1. Short title, commencement and application. 1. Short title, commencement and application. 1. Short title, commencement and application. 1. Short title, commencement and application. ––––

(1) This Scheme may be called the Rajiv Gandhi Equity Savings Scheme, 2012. . . . (2) It shall come into force on the date of its publication in the Official Gazette. (3) This Scheme shall apply for claiming deduction in the computation of total income of the assessment year relevant to a previous year on account of investment in eligible securities under sub-section (1) of section 80CCG of the Income-tax Act, 1961.

2. Objective of Scheme.2. Objective of Scheme.2. Objective of Scheme.2. Objective of Scheme.----The objective of the Scheme is to encourage the savings of the small

investors in domestic capital market. 3. Definitions.3. Definitions.3. Definitions.3. Definitions.---- In this Scheme, unless the context otherwise requires,- (i) “Act” means the Income-tax Act, 1961 (43 of 1961); (ii) “demat account” means an account opened with the depository participant in accordance with the guidelines laid down by the Securities and Exchange Board of India established under section 3 of the Securities and Exchange Board of India Act, 1992 (15 of 1992); (iii) “depository” means a company as defined in clause (e) of sub-section (1) of section 2 of the Depositories Act, 1996 (22 of 1996); (iv) “depository participant” means a participant as defined in clause (g) of sub-section (1) of section 2 of the Depositories Act, 1996 (22 of 1996); (v) “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-


58

clause (a) or sub-clause (b) above, provided they are listed and traded on a stock exchange and settled through a depository mechanism; (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;

(vi) “ financial year” means a year commencing on the 1st day of April and ending on the 31st day of March; (vii) “Form” means the Form appended to the Scheme; (viii) “investment” means investment by an assessee in any of the eligible securities in accordance with the Scheme; (ix) “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 Scheme; (b) any individual who has opened a demat account before the notification of the Scheme but has not made any transactions in the equity segment or the derivative segment till the date of notification of the Scheme, 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 this Scheme

(x) “Scheme” means the Rajiv Gandhi Equity Savings Scheme; (xi) words and expressions used and not defined in this Scheme, but defined in the Act, shall have the meanings respectively assigned to them in the Act. 4. Eligibility .4. Eligibility .4. Eligibility .4. Eligibility .---- The deduction under the Scheme shall be available to a new retail investor who complies with the conditions of the Scheme and whose gross total income for the financial year in which the investment is made under the Scheme is less than or equal to ten lakh rupees. 6. Procedure for investment under Scheme.6. Procedure for investment under Scheme.6. Procedure for investment under Scheme.6. Procedure for investment under Scheme.---- A new retail investor shall make investments under the Scheme in the following manner :- (a) the 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; (b) the new retail investor may make any amount of investment in the demat account but the amount eligible for deduction, under the Scheme shall not exceed fifty thousand rupees; (c) 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, as per the provisions of paragraph 7, unless the new retail investor specifies otherwise and for such specification, the new retail investor shall submit a declaration in Form B indicating that such securities are not to be included within the above limit of investment; (d) the new retail investor shall be eligible for a deduction under sub- section (1) of section 80CCG of the Act in respect of the actual amount invested in eligible securities , in the first financial year in respect of which a declaration in Form B has not been made, subject to the maximum investment limit of fifty thousand rupees;


59

(e)the 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 Scheme for any subsequent assessment year; (f) the new retail investor shall be permitted a grace period of three trading days from the end of the financial year so that the eligible securities purchased on the last trading day of the financial year also get credited in the demat account and such securities shall be deemed to have been purchased in the financial year itself; (g) the new retail investor may also keep securities other than the eligible securities covered under the Scheme in the demat account through which benefits under the Scheme are availed; (h) the new retail investor can make investments in securities other than the eligible securities covered under the Scheme and such investments shall not be subject to the conditions of the Scheme nor shall they be counted for availing the benefit under the Scheme; (i) the investment under the Scheme shall consist of all eligible securities covered under the Scheme that are initially bought by the investor under the Scheme or that are bought subsequently by the investor as per the provisions of the Scheme; (j) 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 Scheme is violated. 7. Pe7. Pe7. Pe7. Period of holding requirements. riod of holding requirements. riod of holding requirements. riod of holding requirements. –––– (1) The period of holding of eligible securities shall be three years to be counted in the manner detailed hereunder. (2) All eligible securities are required to be held for a period called the 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 Scheme. (3) The new retail investor shall not be permitted to sell, pledge or hypothecate any eligible security during the fixed lock-in period. (4) The period of two years beginning immediately after the end of the fixed lock-in period shall be called the flexible lock-in period. (5) The new retail investor shall be permitted to trade the eligible securities after the completion of the fixed lock-in period subject to the following conditions:- (a) the new retail investor shall ensure that the demat account under the Scheme 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 as laid down hereunder:-

(A) the demat account shall be considered compliant for the number of days where value of the investment portfolio of eligible securities , within the flexible lock-in period, is equal to or higher than the amount claimed as investment for the purposes of deduction under section 80CCG of the Act; (B) in case the value of investment portfolio in the demat account falls due to fall in the market rate of eligible securities in the flexible lock-in period, then notwithstanding sub clause(A), -

(i) the demat account shall be considered compliant from the first day of the flexible lock-in period to the day any such eligible securities are sold during this period; (ii) where the assessee sells the eligible securities mentioned in sub-clause (B) from his demat account, he shall have to purchase eligible securities and the said demat account shall be compliant from the day on which the value of the investment portfolio in the account becomes - (I) at least equivalent to the investment claimed as eligible for


60

deduction under section 80CCG of the Act or; (II) the value of the investment portfolio under the Scheme before such sale, whichever is less.

(6) The new retail investor’s demat account created under the Scheme shall, on the expiry of the period of holding of the investment, be converted automatically into an ordinary demat account. (7) For the purpose of valuation of investment during the flexible lock-in period, the closing price as on the previous day of the date of trading, shall be considered. (8) While making the initial investments upto fifty thousand rupees, the total cost of acquisition of eligible securities shall not include brokerage charges, Securities Transaction Tax, stamp duty, service tax and all taxes, which are appearing in the contract note. (9) Where the investment of the new retail investor undergoes a change as a result of involuntary corporate actions like demerger of companies, amalgamation, etc. resulting in debit or credit of securities covered under the Scheme, the deduction claimed by such investor shall not be affected. (10) In case of voluntary corporate actions like buy-back, etc. resulting only in debit of securities, where new retail investor has the option to exercise his choice, the same shall be considered as a sale transaction for the purpose of the Scheme. (11) The Securities and Exchange Board of India established under section 3 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) shall notify the corporate actions, referred to in sub-paragraph (9), allowed under the Scheme in this regard. 8. 8. 8. 8. If the new retail investor fails to fulfil any of the provisions of the Scheme, 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. Further, it may be noted that pursuant to the Finance Act 2013, following changes are carried Further, it may be noted that pursuant to the Finance Act 2013, following changes are carried Further, it may be noted that pursuant to the Finance Act 2013, following changes are carried Further, it may be noted that pursuant to the Finance Act 2013, following changes are carried out in section 80CCG of the Income Tax Act, 1961:out in section 80CCG of the Income Tax Act, 1961:out in section 80CCG of the Income Tax Act, 1961:out in section 80CCG of the Income Tax Act, 1961:

• Investment in listed units of an equity oriented fund shall also be eligible for deduction in accordance with the provisions of section 80CCG. “equity oriented fund” shall have the meaning assigned to it in clause (38) of section 10.

• The deduction under the section shall be allowed for three consecutive assessment years, beginning with the assessment year relevant to the previous year in which the listed equity shares or listed units were first acquired by the new retail investor whose gross total income for the relevant assessment year does not exceed twelve lakh rupees.

The AMC shall ensure compliance with the applicable provisions of the RGESS guidelines and SEBI circular no. CIR/MRD/DP/32/2012 dated December 6, 2012, for the Scheme. 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, as amended from time to time. Investors are advised to consult with his or her own tax/ financial consultant with respect to their participation in the Scheme.


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IV. FEES AND EXPENSESIV. FEES AND EXPENSESIV. FEES AND EXPENSESIV. FEES AND EXPENSES This section outlines the expenses that will be charged to the scheme. A. NEW FUND OFFER (NFO) EXPENSES A. NEW FUND OFFER (NFO) EXPENSES A. NEW FUND OFFER (NFO) EXPENSES A. NEW FUND OFFER (NFO) EXPENSES The New fund offer expenses for this Initial Offer were borne by the AMC. Under the then prevailing Regulations, the Fund was entitled to charge Initial Issue Expenses up to a maximum of 6% of initial resources raised under the Scheme. B. ANNUAL SCHEME RECURRING EXPENSESB. ANNUAL SCHEME RECURRING EXPENSESB. ANNUAL SCHEME RECURRING EXPENSESB. ANNUAL SCHEME RECURRING EXPENSES These are the fees and expenses for operating the scheme. These expenses include Investment Management and Advisory Fee charged by the AMC, Registrar and Transfer Agents’ fee, marketing and selling costs etc. as given in the table below: The AMC has estimated that upto following percentage of the daily net assets of the scheme will be charged to the scheme as expenses. EstimatedEstimatedEstimatedEstimated Annual Annual Annual Annual RecurringRecurringRecurringRecurring ExpensesExpensesExpensesExpenses

ParticularsParticularsParticularsParticulars % p.a. of daily % p.a. of daily % p.a. of daily % p.a. of daily net assetsnet assetsnet assetsnet assets

Investment Management and Advisory Fees

Upto 1.50

Trustee fee

Audit fees

Custodian fees

Registrar & Transfer Agent’s Fees

Marketing & Selling expense (including Costs of statutory Advertisements)#

Cost related to investor communications

Cost of fund transfer from location to location

Cost of providing account statements and dividend redemption cheques and warrants

Cost towards investor education & awareness (at least 2 bps)

Brokerage & transaction cost over and above 12 bps for cash market trades

Service tax on expenses other than investment and advisory fees

Service tax on brokerage and transaction cost

Other Expenses$****

Total Recurring ExpensesTotal Recurring ExpensesTotal Recurring ExpensesTotal Recurring Expenses Upto Upto Upto Upto 1.501.501.501.50

Additional expenses under regulation 52 (6A) (c)* (more specifically elaborated below)

Upto 0.20

Additional expenses for gross new inflows from specified cities* (more specifically elaborated below)

Upto 0.30

The aforesaid does not include service tax on investment management and advisory fees. The same is more specifically elaborated below.

*As permitted under the Regulation 52 of SEBI (MF) Regulations and pursuant to SEBI circular no. CIR/IMD/DF/21/2012 dated September 13, 2012 and SEBI (Mutual Funds) Second Amendment Regulations, 2012. $ Including exchange listing fee # The Scheme shall not incur any distribution expenses. The purpose of the above table is to assist the investor in understanding the various costs and expenses that an investor in the Scheme will bear.


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These estimates have been made in good faith as per the information available to the Investment Manager based on past experience and are subject to change inter-se. Types of expenses charged shall be as per the SEBI (MF) Regulations. The aforesaid 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 aforesaid expenses head. As per the Regulations, the total expenses of the scheme including the investment and advisory fees shall not exceed one and one half percent (1.5%) of the daily net assets; Pursuant to SEBI circular no. CIR/IMD/DF/21/2012 dated September 13, 2012 and SEBI (Mutual Funds) Second Amendment Regulations, 2012, following additional 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,

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 12 bps 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.


63

Subject to Regulations, expenses over and above the prescribed limit shall be borne by the Asset Management Company.

C. LOAD STRUCTUREC. LOAD STRUCTUREC. LOAD STRUCTUREC. LOAD STRUCTURE

Load is an amount, which is paid by the investor to redeem the units from the scheme. This amount is used by the AMC to pay trail commissions to the distributor and to take care of other marketing and selling expenses. Load amounts are variable and are subject to change from time to time. For the current applicable structure, please refer to the website of the AMC (www.icicipruamc.com) or may call your distributor. Entry Load: Entry Load: Entry Load: Entry Load: Not Applicable. In terms of SEBI circular no. SEBI/IMD/CIR No. 4/168230/09 dated June 30, 2009 has notified that, w.e.f. August 01, 2009, there will be no entry load charged to the schemes of the Mutual Fund and the upfront commission to distributors will be paid by the investor directly to the distributor, based on his assessment of various factors including the service rendered by the distributor.

Exit Load:Exit Load:Exit Load:Exit Load:

There will be no exit load on “SPIcE” for units sold through the secondary market on the BSE/NSE. Investors shall note that the brokerage on sales of the units of the schemes on the stock exchanges shall be borne by the investors. Investors can sell units of the Scheme directly to the Mutual Fund in the following cases:



• 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 can redeem units of the Scheme directly with the fund house without any payment of exit load. However, during the process of creation/redemption there may be transaction costs and/or other incidental expenses (forming part of the Cash Component), which are liable to be borne by the investors/APs. The exit load charged, if any, shall be credited to the scheme. Service tax on exit load shall be paid out of the exit load proceeds and exit load net of service tax shall be credited to the schemes. Any imposition or enhancement in the load shall be applicable on prospective investments only. However, AMC shall not charge any load on issue of bonus units and units allotted on reinvestment of dividend for existing as well as prospective investors. Bonus units and units issued on reinvestment of dividends shall not be subject to entry and exit load. The investor is requested to check the prevailing load structure of the scheme before investing. For any change in load structure AMC will issue an addendum and display it on the website/Investor Service Centres. An advertisement to this effect will be given in one English daily newspaper having nationwide circulation as well as in a newspaper published in the language of the region where the Head Office of the AMC is situated. The Trustee shall arrange to display a notice in the Customer Service Centers of the AMC


64

before the change of the then prevalent load structure. The SIDs will be updated in respect of changes in the load structure as per the addendum issued. Changes in the fundamental attributes may be stamped in the acknowledgement slip issued by the Fund after the changes in load structure. D. WAIVER OF LOAD FOR DIRECT APPLICATIONSD. WAIVER OF LOAD FOR DIRECT APPLICATIONSD. WAIVER OF LOAD FOR DIRECT APPLICATIONSD. WAIVER OF LOAD FOR DIRECT APPLICATIONS Not applicable V. RIGHTS OF UNITHOLDERSV. RIGHTS OF UNITHOLDERSV. RIGHTS OF UNITHOLDERSV. RIGHTS OF UNITHOLDERS Please refer to SAI for details. VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR VI. PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTIONS OR INVESTIGATIONS FOR WHICH ACTIONINVESTIGATIONS FOR WHICH ACTIONINVESTIGATIONS FOR WHICH ACTIONINVESTIGATIONS FOR WHICH ACTION MAY HAVE BEEN TAKEN OR IS IN THE PROCESS OF MAY HAVE BEEN TAKEN OR IS IN THE PROCESS OF MAY HAVE BEEN TAKEN OR IS IN THE PROCESS OF MAY HAVE BEEN TAKEN OR IS IN THE PROCESS OF BEING TAKEN BY ANY REGULATORY AUTHORITYBEING TAKEN BY ANY REGULATORY AUTHORITYBEING TAKEN BY ANY REGULATORY AUTHORITYBEING TAKEN BY ANY REGULATORY AUTHORITY

1) AllAllAllAll disclosuresdisclosuresdisclosuresdisclosures regardingregardingregardingregarding penaltiespenaltiespenaltiespenalties andandandand action(s)action(s)action(s)action(s) takentakentakentaken againstagainstagainstagainst foreignforeignforeignforeign Sponsor(s)Sponsor(s)Sponsor(s)Sponsor(s) maymaymaymay bebebebe limitedlimitedlimitedlimited totototo thethethethe jurisdictionjurisdictionjurisdictionjurisdiction ofofofof thethethethe countrycountrycountrycountry wherewherewherewhere thethethethe principalprincipalprincipalprincipal activitiesactivitiesactivitiesactivities (in(in(in(in tetetetermsrmsrmsrms ofofofof incomeincomeincomeincome //// revenue)revenue)revenue)revenue) ofofofof thethethethe Sponsor(s)Sponsor(s)Sponsor(s)Sponsor(s) areareareare carriedcarriedcarriedcarried outoutoutout orororor wherewherewherewhere thethethethe headquartersheadquartersheadquartersheadquarters ofofofof thethethethe Sponsor(s)Sponsor(s)Sponsor(s)Sponsor(s) isisisis situated.situated.situated.situated. Further,Further,Further,Further, onlyonlyonlyonly toptoptoptop 10101010 monetarymonetarymonetarymonetary penaltiespenaltiespenaltiespenalties duringduringduringduring thethethethe lastlastlastlast threethreethreethree yearsyearsyearsyears shallshallshallshall bebebebe disclosed.disclosed.disclosed.disclosed.

In March 2013, Prudential plc and its wholly-owned subsidiary The Prudential Assurance Company Limited settled with the UK’s former financial services regulator, the Financial Services Authority (FSA) over issues relating to Prudential’s unsuccessful bid to acquire AIA, the Asian subsidiary of AIG, in early 2010.

These Prudential companies agreed to pay fines totalling £30 million, in respect of a decision by the FSA that it and the United Kingdom Listing Authority (UKLA) should have been informed earlier about Prudential’s contemplation of the potential transaction. The Group Chief Executive, Tidjane Thiam, also agreed to be censured in respect of a decision by the FSA that it should have been informed earlier. The Final Notices published by the FSA on 27 March 2013 concerning these decisions accordingly represent the final resolution of the matter.

In a public statement accompanying the Final Notices dated 27 March 2013, the FSA stated that the investigation was into past events and did not concern the current conduct of the management of the Prudential Group. The FSA accepted that Prudential did consider their obligations in forming their assessment in respect of informing the regulator. Therefore, although the FSA considered that the circumstances of the breaches were serious, the FSA did not consider the breaches were reckless or intentional.

In a public statement regarding the FSA’s findings dated 27 March 2013, the Board of Prudential confirmed that the Group Chief Executive acted at all times in the interests of the Company and with the full knowledge and authority of the Board. Prudential works diligently to maintain close and positive relationships with its regulators, and the Group’s relationship with its UK regulators continues to be good. Note: 1. Prudential plc was found to have breached Listing Principle 6 of the UKLA, requiring

that “A listed company must deal with the FSA in an open and co-operative manner”;

2. The Prudential Assurance Company Limited was found to have breached Principle 11 of the FSA’s Principles for Businesses, requiring that “A firm must deal with its regulators in an open and cooperative way, and must disclose to the FSA


65

appropriately anything relating to the firm of which the FSA would reasonably expect notice”; and

3. Tidjane Thiam was found to have been “knowingly concerned” in The Prudential Assurance Company Limited’s breach of Principle 11. The FSA accepted that the breach by Mr Thiam (and Prudential) was neither reckless nor intentional

2)2)2)2) In case of Indian Sponsor(s), details of all monetary penalties imposedIn case of Indian Sponsor(s), details of all monetary penalties imposedIn case of Indian Sponsor(s), details of all monetary penalties imposedIn case of Indian Sponsor(s), details of all monetary penalties imposed and/ or action and/ or action and/ or action and/ or action

taken during the last three years or pending with any financial regulatory body or taken during the last three years or pending with any financial regulatory body or taken during the last three years or pending with any financial regulatory body or taken during the last three years or pending with any financial regulatory body or governmental authority, against Sponsor(s) and/ or the AMC and/ or the Board of governmental authority, against Sponsor(s) and/ or the AMC and/ or the Board of governmental authority, against Sponsor(s) and/ or the AMC and/ or the Board of governmental authority, against Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Company; for irregularities or for violations in the financTrustees /Trustee Company; for irregularities or for violations in the financTrustees /Trustee Company; for irregularities or for violations in the financTrustees /Trustee Company; for irregularities or for violations in the financial services ial services ial services ial services sector, or for defaults with respect to share holders or debenture holders and sector, or for defaults with respect to share holders or debenture holders and sector, or for defaults with respect to share holders or debenture holders and sector, or for defaults with respect to share holders or debenture holders and depositors, or for economic offences, or for violation of securities law. Details of depositors, or for economic offences, or for violation of securities law. Details of depositors, or for economic offences, or for violation of securities law. Details of depositors, or for economic offences, or for violation of securities law. Details of settlement, if any, arrived at with the aforesaid authorities during the last tsettlement, if any, arrived at with the aforesaid authorities during the last tsettlement, if any, arrived at with the aforesaid authorities during the last tsettlement, if any, arrived at with the aforesaid authorities during the last three years hree years hree years hree years shall also be disclosed.shall also be disclosed.shall also be disclosed.shall also be disclosed.

Cases pertaining to ICICI Bank Ltd. (the Bank):

• Reserve Bank of India (RBI) has imposed penalty on the Bank in respect of the following:

o In 2012, a penalty of Rs. 10,000/- for delayed filing of FC-GPR return for an FDI transaction of a customer. The Bank has paid the penalty of Rs. 10,000/- to RBI vide letter dated March 9, 2012.

o Violation in opening and conduct of account of M/s SpeakAsia Online Pte ltd resulting in penalty of Rs. 3.0 mn being imposed by RBI which was paid in October 2012.

o Penalty imposed of Rs. 66,000/- for bouncing of 2 SGL deals which was paid in May 2012.

o On June 10, 2013, RBI imposed a penalty of Rs. 10.01 million on ICICI Bank, in exercise of the powers vested with it under the provisions of Section 47(A)(1)(c) read with Section 46(4)(i) of the Banking Regulation Act, 1949 and subsection (3) of section 11 of FEMA on operating matters pertaining to KYC. The Bank has paid the penalty to RBI.

o On July 25, 2014, RBI imposed a penalty of Rs. 4.0 million on the Bank, in exercise of powers vested with it under the provisions of Section 47A(1) of the Banking Regulation Act, 1949 with respect to facilities extended to a corporate borrower by the Bank. The Bank vide letter dated August 7, 2014 has paid the penalty to RBI.

o On December 17, 2014, RBI imposed a penalty of Rs. 5.0 million on the Bank in exercise of powers vested with it under the provisions Section 47A(1)(c) read with Section 46(4)(i) of the Banking Regulation Act, 1949 for charges of non-compliance with the directions/guidelines issued by Reserve Bank of India in connection with Know Your Customer (KYC)/Anti Money Laundering (AML). The Bank has paid the penalty to RBI on December 30, 2014.

3)3)3)3) Details of all enforcement actions taken by SEBI in the laDetails of all enforcement actions taken by SEBI in the laDetails of all enforcement actions taken by SEBI in the laDetails of all enforcement actions taken by SEBI in the last three years and/ or pending st three years and/ or pending st three years and/ or pending st three years and/ or pending

with SEBI for the violation of SEBI Act, 1992 and Rules and Regulations framed there with SEBI for the violation of SEBI Act, 1992 and Rules and Regulations framed there with SEBI for the violation of SEBI Act, 1992 and Rules and Regulations framed there with SEBI for the violation of SEBI Act, 1992 and Rules and Regulations framed there under including debarment and/ or suspension and/ or cancellation and/ or imposition under including debarment and/ or suspension and/ or cancellation and/ or imposition under including debarment and/ or suspension and/ or cancellation and/ or imposition under including debarment and/ or suspension and/ or cancellation and/ or imposition of monetary penalty/adjudication/enquiry proceedings, iof monetary penalty/adjudication/enquiry proceedings, iof monetary penalty/adjudication/enquiry proceedings, iof monetary penalty/adjudication/enquiry proceedings, if any, to which the Sponsor(s) f any, to which the Sponsor(s) f any, to which the Sponsor(s) f any, to which the Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Company and/ or any of the and/ or the AMC and/ or the Board of Trustees /Trustee Company and/ or any of the and/ or the AMC and/ or the Board of Trustees /Trustee Company and/ or any of the and/ or the AMC and/ or the Board of Trustees /Trustee Company and/ or any of the directors and/ or key personnel (especially the fund managers) of the AMC and Trustee directors and/ or key personnel (especially the fund managers) of the AMC and Trustee directors and/ or key personnel (especially the fund managers) of the AMC and Trustee directors and/ or key personnel (especially the fund managers) of the AMC and Trustee Company were/ are a party. The details of the violation sCompany were/ are a party. The details of the violation sCompany were/ are a party. The details of the violation sCompany were/ are a party. The details of the violation shall also be disclosed.hall also be disclosed.hall also be disclosed.hall also be disclosed.

The Securities and Exchange Board of India (SEBI) had issued a show cause notice to the Bank under SEBI (Procedure for Holding Inquiry and imposing Penalties by Adjudicating Officer) Rules, 1995 for delay of 81 days in filing disclosures


66

under the SEBI (Prohibition of Insider Trading) Regulations 1992, for change in shareholding exceeding 2% in a listed Company, when prior shareholding exceeded 5 %. This was in respect of Bank’s holding in Jord Engineers India Ltd which was largely unlisted, and trading in the scrip was suspended, though the Company was listed. The bank filed consent terms and paid Rs. 1 lac to SEBI pursuant to the consent order passed in May 2012.

4)4)4)4) Any pending material civil or criminal litigation incidental to thAny pending material civil or criminal litigation incidental to thAny pending material civil or criminal litigation incidental to thAny pending material civil or criminal litigation incidental to the business of the Mutual e business of the Mutual e business of the Mutual e business of the Mutual

Fund to which the Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Fund to which the Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Fund to which the Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Fund to which the Sponsor(s) and/ or the AMC and/ or the Board of Trustees /Trustee Company and/ or any of the directors and/ or key personnel are a party should also be Company and/ or any of the directors and/ or key personnel are a party should also be Company and/ or any of the directors and/ or key personnel are a party should also be Company and/ or any of the directors and/ or key personnel are a party should also be disclosed separately.disclosed separately.disclosed separately.disclosed separately.

As per the SEBI MF Regulations, mutual fund schemes are permitted to invest in securitised debt. Accordingly, few schemes of ICICI Prudential Mutual Fund (“the Fund”) had made investment in certain Pass Through Certificates (PTCs) of certain special purpose vehicles / securitisation trusts (“the Trusts”). The returns filed by few of these securitisation Trusts whose PTCs were held by the Fund were taken up for scrutiny by the Income Tax Authorities for Assessment Years 2007-08, 2008-09, 2009-10 and 2010-11. Arising out of this, they had raised a demand on such Trusts. On failure to recover the same from them, they sent demand notices to the Fund along with other Mutual Funds as beneficiaries / contributors to such Trusts. The Fund in consultation with its tax & legal advisors has contested the applicability of such demand and proceedings there on are still pending.

5)5)5)5) Any deficiency in the systems and operations of the Sponsor(s) and/ or the AMC and/ Any deficiency in the systems and operations of the Sponsor(s) and/ or the AMC and/ Any deficiency in the systems and operations of the Sponsor(s) and/ or the AMC and/ Any deficiency in the systems and operations of the Sponsor(s) and/ or the AMC and/

or the Board of Trustees/Trustee Company which SEBI has specifically advised to be or the Board of Trustees/Trustee Company which SEBI has specifically advised to be or the Board of Trustees/Trustee Company which SEBI has specifically advised to be or the Board of Trustees/Trustee Company which SEBI has specifically advised to be disclosed in thedisclosed in thedisclosed in thedisclosed in the SID, or which has been notified by any other regulatory agency, shall SID, or which has been notified by any other regulatory agency, shall SID, or which has been notified by any other regulatory agency, shall SID, or which has been notified by any other regulatory agency, shall be disclosed. be disclosed. be disclosed. be disclosed. ––––

Nil

GENERAL INFORMATIONGENERAL INFORMATIONGENERAL INFORMATIONGENERAL INFORMATION

• Power to make RulesPower to make RulesPower to make RulesPower to make Rules Subject to the Regulations, the Trustee may, from time to time, prescribe such terms and make such rules for the purpose of giving effect to the Scheme with power to the AMC to add to, alter or amend all or any of the terms and rules that may be framed from time to time.

• Power to remove DifficultiesPower to remove DifficultiesPower to remove DifficultiesPower to remove Difficulties If any difficulties arise in giving effect to the provisions of the Scheme, the Trustee may, subject to the Regulations, do anything not inconsistent with such provisions, which appears to it to be necessary, desirable or expedient, for the purpose of removing such difficulty.

• Scheme to be binding on the Unitholders:Scheme to be binding on the Unitholders:Scheme to be binding on the Unitholders:Scheme to be binding on the Unitholders: Subject to the Regulations, the Trustee may, from time to time, add or otherwise vary or alter all or any of the features of investment plans and terms of the Scheme after obtaining the prior permission of SEBI and Unitholders (where necessary), and the same shall be binding on all the Unitholders of the Scheme and any person or persons claiming through or under them as if each Unitholder or such person expressly had agreed that such features and terms shall be so binding.

Notwithstanding anything contained in thisNotwithstanding anything contained in thisNotwithstanding anything contained in thisNotwithstanding anything contained in this Scheme Information Document, the provisions of Scheme Information Document, the provisions of Scheme Information Document, the provisions of Scheme Information Document, the provisions of the SEBI (Mutual Funds) Regulations, 1996 and the guidelines there under shall be applicable.the SEBI (Mutual Funds) Regulations, 1996 and the guidelines there under shall be applicable.the SEBI (Mutual Funds) Regulations, 1996 and the guidelines there under shall be applicable.the SEBI (Mutual Funds) Regulations, 1996 and the guidelines there under shall be applicable.


67

Note: The Scheme under this Scheme Information Document was approved by the Directors of ICICI Prudential Trust Limited by circulation on November 30, 2012. The Trustees have ensured that the Scheme approved by them were new products offered by ICICI Prudential Mutual Fund and were not a minor modification of the exiting Scheme. For and on behalf of the Board of Directors of

ICICI Prudential Asset Management Company Limited ICICI Prudential Asset Management Company Limited ICICI Prudential Asset Management Company Limited ICICI Prudential Asset Management Company Limited Sd/Sd/Sd/Sd/----

Nimesh ShahNimesh ShahNimesh ShahNimesh Shah Managing DirectorManaging DirectorManaging DirectorManaging Director Place : Mumbai Date : July 22, 2015


68

ICICI Prudential Mutual Fund OffICICI Prudential Mutual Fund OffICICI Prudential Mutual Fund OffICICI Prudential Mutual Fund Official Points of Acceptanceicial Points of Acceptanceicial Points of Acceptanceicial Points of Acceptance

•AhmedabadAhmedabadAhmedabadAhmedabad: 307, 3rd Floor, Zodiac Plaza, Beside Nabard Vihar, Near St. Xavier’s College Corner, H.L. Collage Road, Off C. G. Road, Ahmedabad 380009, Gujarat • Amritsar: Amritsar: Amritsar: Amritsar: Eminent Mall, 2nd Floor, Kennedy Avenue, 10 The Mall, Amritsar - 143001, Punjab • AnandAnandAnandAnand: 109-110, Maruti Sharnam Complex, Opp. Nandbhumi Party Plot, Anand Vallabh Vidyanagar Road, Anand - 388001, Gujarat • Aurangabad: Aurangabad: Aurangabad: Aurangabad: Unit B-5, 1st Floor, Aurangabad Business Centre, Adalat Road, Aurangabad - 431001, Maharashtra • Bangalore (M G Road)Bangalore (M G Road)Bangalore (M G Road)Bangalore (M G Road): Phoenix Pinnacle, First Floor, Unit 101 -104, No 46, Ulsoor Road, Bangalore 560042, Karnataka • Bangloare:Bangloare:Bangloare:Bangloare: No. 311/7, Ground Floor 9th Main, 5th Block, Jayanagar, Bangalore – 560 041 • BarodaBarodaBarodaBaroda: 2nd Floor, Offc No 202, Goldcroft, Jetalpur Road, Alkapuri, Vadodara 390007, Gujarat • BhopalBhopalBhopalBhopal: MF-26/27 Block-C, Mezzanine Floor, Mansarovar Complex, Hoshangabad Road, Bhopal-462016, Madhya Pradesh • BhubhaneshwarBhubhaneshwarBhubhaneshwarBhubhaneshwar: Rajdhani House, 1st Floor, Front Wing, 77, Janpath, Kharvel Nagar, Bhubhaneshwar 751001, Orissa • ChandigarhChandigarhChandigarhChandigarh: SCO 137-138, F.F, Sec-9C, Chandigarh 160017, Chandigarh • ChennaiChennaiChennaiChennai---- Lloyds RoadLloyds RoadLloyds RoadLloyds Road: Abithil Square,189, Lloyds Road,Royapettah, Chennai 600014, Tamil Nadu • ChennaiChennaiChennaiChennai---- N R Dave Complex, 1st Floor, No: 201/C34, 2nd Avenue Anna Nagar west, Chennai - 600 040 • CochinCochinCochinCochin: #956/3 & 956/4 2nd Floor, Teepeyam Towers, Kurushupally Road, Off MG Road, Ravipuram , Kochi 682015, Kerala • CoimbatoreCoimbatoreCoimbatoreCoimbatore: Ground Floor, No:1, Father Rhondy Street, Azad Road, R.S. Puram, Coimbatore 641002, Tamil Nadu • DehradunDehradunDehradunDehradun: 1st Floor, Opp. St. Joseph school back gate, 33, Subhash road, Dehradun 248001, Uttaranchal • Durgapur Durgapur Durgapur Durgapur : Mezzanine Floor, Lokenath Mansion, Sahid Khudiram Sarani, CityCentre, Durgapur 713216, West Bengal • Gurgaon: Gurgaon: Gurgaon: Gurgaon: M.G. Road, Vipul Agora Bulding, Unit no 109, 1st Floor, Opp. JMD Regedt Sq, Gurgaon - 122001 • Guwahati Guwahati Guwahati Guwahati : Jadavbora Complex, M.Dewanpath, Ullubari, Guwahati 781007, Assam • HyderabadHyderabadHyderabadHyderabad----BegumpetBegumpetBegumpetBegumpet: Gowra Plaza, 1st Floor, No: 1-8-304-307/381/444,S.P. Road, Begumpet, Secunderabad, Hyderabad 500003, Andhra Pradesh • IndoreIndoreIndoreIndore: 310-311 Starlit Tower,29/1 Y N Road, Indore 452001, Madhya Pradesh • JaipurJaipurJaipurJaipur: Building No 1, Opp Amrapura Sthaan, M.I. Road, Jaipur 302001, Rajasthan • • • • Jalandhar: Jalandhar: Jalandhar: Jalandhar: 102, 1st Floor, Arora Prime Tower, G T Road, Jalandhar - 144001, Punjab • Jamshedpur Jamshedpur Jamshedpur Jamshedpur : Office # 7, II Floor, Bharat Business Centre, Holding # 2, Ram Mandir Area, Bistupur, Jamshedpur 831001, Jharkhand • KalyaniKalyaniKalyaniKalyani: B- 9/14 (C.A), 1st Floor, Central Park, Dist- Nadia, Kalyani 741235, West Bengal • KanpurKanpurKanpurKanpur: 516-518, Krishna Tower, 15/63, Civil Lines,Opp. U.P. Stock Exchange, Kanpur 208001, Uttar Pradesh • KolhapurKolhapurKolhapurKolhapur: 1089, E Ward, Anand Plaza, Rajaram Road, Kolhapur 416001, Maharashtra • Kolkata Kolkata Kolkata Kolkata ---- DalhousieDalhousieDalhousieDalhousie: Room No. 409, 4th Floor, Oswal Chambers, 2, Church Lane Kolkata - 700001, West Bengal • Kolkata Kolkata Kolkata Kolkata ---- Lords Lords Lords Lords : 227, AJC Bose Road, Anandalok, 1st Floor, Room No. 103/103 A, Block - B, Kolkata 700020, West Bengal • Lucknow• Lucknow• Lucknow• Lucknow: 1st Floor Modern Business Center,19 Vidhan Sabha Marg, Lucknow 226001, Uttar Pradesh • LudhianaLudhianaLudhianaLudhiana: SCO 121, Ground Floor, Feroze Gandhi Market, Ludhiana 141001, Punjab • MumbaiMumbaiMumbaiMumbai----BorivliBorivliBorivliBorivli: ICICI Prudential Mutual Fund, Ground Floor, Suchitra Enclave Maharashtra Lane, Borivali (West), Mumbai 400092, Maharashtra • Mumbai Mumbai Mumbai Mumbai ---- FortFortFortFort: ICICI Prudential Asset Management Co Ltd, 2nd Floor, Brady House,12/14 Veer Nariman Road Fort, Mumbai 400001, Maharashtra • Mumbai Mumbai Mumbai Mumbai ---- Ghatkopar: Ghatkopar: Ghatkopar: Ghatkopar: Ground Floor, Unit No 4 & 5, Platinum Mall, Opposite Ghatkopar Railway Station, Jawahar Road, Ghatkopar East, Mumbai 400077 • Mumbai Mumbai Mumbai Mumbai ---- GoregaonGoregaonGoregaonGoregaon: 2nd Floor, Block B-2, Nirlon Knowledge Park, Western Express Highway, Goregaon, Mumbai 400013, Maharashtra • MumbaiMumbaiMumbaiMumbai----KharKharKharKhar: ICICI Prudential Mutual Fund, 101, 1st Floor, Abbas Manzil, Opposite Khar Police Station, S. V. Road, Khar (W), Mumbai 400052, Maharashtra • MumbaiMumbaiMumbaiMumbai----ThaneThaneThaneThane: ICICI Prudential Mutual Fund, Ground Floor, Mahavir Arcade,Ghantali Road, Naupada, Thane West, Thane 400602, Maharashtra • MumbaiMumbaiMumbaiMumbai----VashiVashiVashiVashi: ICICI Prudential AMC Ltd, Devavrata Co-op Premises, Plot No 83, Office No 26, Gr Floor, Sector 17, Vashi, Navi Mumbai 400703, Maharashtra • NagpurNagpurNagpurNagpur: 1st Floor, Mona Enclave, WHC Road, Near Coffee House Square, Above Titan Eye Showroom, Dharampeth, Nagpur 440010, Maharashtra • NashikNashikNashikNashik: Shop No 1 Rajeev Enclave Near Old Muncipal Corporation, New Pandit Colony, Nashik 422002, Maharashtra • New DelhiNew DelhiNew DelhiNew Delhi: 12th Floor Narain Manzil,23 Barakhamba Road, New Delhi 110001, New Delhi • NoidaNoidaNoidaNoida: F-25, 26 & 27, First Floor,Savitri market, Sector-18, Noida 201301, Uttar Pradesh • PanjimPanjimPanjimPanjim: Sandeep Apts, Shop No. 5 & 6, Grond Floor, Next to


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Hotel Samrat, Dr. Dada Vaidya Road, Panaji 403001, Goa • Patna Patna Patna Patna : 1st Floor, Kashi Place, Dak Bungalow Road, Patna 800001, Bihar • PunePunePunePune: 1205 /4/6 Shivaji Nagar, Chimbalkar House, Opp Sambhaji Park, J M Road, Pune 411004, Maharashtra • RaipurRaipurRaipurRaipur: 3rd Floor, Tank Business Tower, Near Fafadih Chowk, Raipur - 492001 • RajkotRajkotRajkotRajkot: Office no 201, 2nd Floor, Akshar X, Jagannath-3, Dr. Yagnik Road, Rajkot 360001, Gujarat • Siliguri Siliguri Siliguri Siliguri : Ganapati Plaza, 2nd Floor, Sevoke Road, Siliguri 734001, West Bengal • SuratSuratSuratSurat: HG 30, B Block, International Trade Center, Majura Gate, Surat 395002, Gujarat • UdaipurUdaipurUdaipurUdaipur: Shukrana, 6 Durga Nursery Road, Near Sukhadia Memorial, Udaipur 313001, Rajasthan • VaranasiVaranasiVaranasiVaranasi: D-58/2, Unit No.52 & 53,Ist Floor, Kuber Complex,Rath Yatra Crossing, Varanasi 221010, Uttar Pradesh • EmailEmailEmailEmail:[email protected]. Toll Free Numbers: (MTNL/BSNL) 1800222999 ; (Others) 18002006666 • Website: Toll Free Numbers: (MTNL/BSNL) 1800222999 ; (Others) 18002006666 • Website: Toll Free Numbers: (MTNL/BSNL) 1800222999 ; (Others) 18002006666 • Website: Toll Free Numbers: (MTNL/BSNL) 1800222999 ; (Others) 18002006666 • Website: www.icicipruamc.comwww.icicipruamc.comwww.icicipruamc.comwww.icicipruamc.com

Other Cities: Additional official transaction acceptancOther Cities: Additional official transaction acceptancOther Cities: Additional official transaction acceptancOther Cities: Additional official transaction acceptance points e points e points e points (CAMS Transaction Points)(CAMS Transaction Points)(CAMS Transaction Points)(CAMS Transaction Points)

• Agartala• Agartala• Agartala• Agartala: Advisor Chowmuhani (Ground Floor) Krishnanagar, Agartala 799001, Tripura • • • • AgraAgraAgraAgra: No. 8, II Floor Maruti Tower Sanjay Place, Agra 282002, Uttar Pradesh • • • • AhmedabadAhmedabadAhmedabadAhmedabad: 111-113,1st Floor, Devpath Building, off : C G Road, Behind lal Bungalow, Ellis Bridge , Ahmedabad, Ahmedabad 380006, Gujarat • Ajmer• Ajmer• Ajmer• Ajmer: Shop No.S-5, Second Floor Swami Complex, Ajmer 305001, Rajasthan • Akola • Akola • Akola • Akola : Opp. RLT Science College Civil Lines, Akola 444001, Maharashtra • Aligarh• Aligarh• Aligarh• Aligarh: City Enclave, Opp. Kumar Nursing Home Ramghat Road, Aligarh 202001, Uttar Pradesh • Allahabad• Allahabad• Allahabad• Allahabad: 30/2, A&B, Civil Lines Station, Besides Vishal Mega Mart, Strachey Road, Allahabad 211001, Uttar Pradesh • Alleppey• Alleppey• Alleppey• Alleppey: Doctor’s Tower Building, Door No. 14/2562, 1st floor, North of Iorn Bridge, Near Hotel Arcadia Regency, Alleppey 688011, Kerala • Alwar• Alwar• Alwar• Alwar: 256A, Scheme No:1, Arya Nagar, Alwar 301001, Rajasthan • Amaravati • Amaravati • Amaravati • Amaravati : 81, Gulsham Tower, 2nd Floor Near Panchsheel Talkies, Amaravati 444601, Maharashtra • Ambala • Ambala • Ambala • Ambala : Opposite PEER, Bal Bhawan Road, Ambala 134003, Haryana • Amritsar• Amritsar• Amritsar• Amritsar: SCO - 18J, ‘C’ Block, Ranjit Avenue, Amritsar 140001, Punjab • Anand• Anand• Anand• Anand: 101, A.P. Tower, B/H, Sardhar Gunj Next to Nathwani Chambers , Anand 388001, Gujarat • Anantapur• Anantapur• Anantapur• Anantapur: 15-570-33, I Floor Pallavi Towers, Anantapur 515001, Andhra Pradesh • Andheri (parent: Mumbai ISC)• Andheri (parent: Mumbai ISC)• Andheri (parent: Mumbai ISC)• Andheri (parent: Mumbai ISC): CTS No 411, Citipoint, Gundivali, Teli Gali, Above C.T. Chatwani Hall, Andheri 400069, Maharashtra • Ankleshwar• Ankleshwar• Ankleshwar• Ankleshwar: Shop # F -56,1st Floor, Omkar Complex,Opp Old Colony, Near Valia Char Rasta, G.I.D.C., Ankleshwar 393002, Gujarat • Asansol• Asansol• Asansol• Asansol: Block – G 1st Floor P C Chatterjee Market Complex Rambandhu Talab P O Ushagram, Asansol 713303, West Bengal • Aurangabad• Aurangabad• Aurangabad• Aurangabad: Office No. 1, 1st Floor Amodi Complex Juna Bazar, Aurangabad 431001, Maharashtra •••• BalasoreBalasoreBalasoreBalasore: B C Sen Road, Balasore 756001, Orissa • Bangalore• Bangalore• Bangalore• Bangalore: Trade Centre, 1st Floor 45, Dikensen Road (Next to Manipal Centre), Bangalore 560042, Karnataka • Bankura: • Bankura: • Bankura: • Bankura: CAMS Service Center, Cinema Road, Nutunganj, Beside Mondal Bakery, P. 0. & Dist. Bankura 722101 • • • • BareillyBareillyBareillyBareilly: F-62-63, Butler Plaza Civil Lines, Bareilly 243001, Uttar Pradesh • Belgaum• Belgaum• Belgaum• Belgaum: Tanish Tower CTS No. 192/A, Guruwar Peth Tilakwadi, Belgaum 590006, Karnataka • Bellary• Bellary• Bellary• Bellary: CAMS Service centre,# 60/5, Mullangi Compound, Gandhinagar Main Road, (Old Gopalswamy Road), Bellary 583103, Karnataka • Berhampur• Berhampur• Berhampur• Berhampur: First Floor, Upstairs of Aaroon Printers Gandhi Nagar Main Road, Berhampur 760001, Orissa • Bhagalpur• Bhagalpur• Bhagalpur• Bhagalpur: Dr R P Road Khalifabag Chowk, Bhagalpur 812002, Bihar • • • • Bihar : Bihar : Bihar : Bihar : 69, ••••Bharuch (parent: Bharuch (parent: Bharuch (parent: Bharuch (parent: AAAAnkleshwar TP)nkleshwar TP)nkleshwar TP)nkleshwar TP): F-108, Rangoli Complex Station Road , Bharuch 392001, Gujarat • • • • BhatindaBhatindaBhatindaBhatinda: 2907 GH,GT Road Near Zila Parishad, Bhatinda 151001, Punjab • Bhavnagar• Bhavnagar• Bhavnagar• Bhavnagar: 305-306, Sterling Point Waghawadi Road Opp. HDFC Bank, Bhavnagar 364002, Gujarat • • • • BhilaiBhilaiBhilaiBhilai: Shop No. 117,Ground Floor, Khicharia Complex, Opposite IDBI Bank, Nehru Nagar Square, Bhilai 490020, Chattisgarh • Bhilwara• Bhilwara• Bhilwara• Bhilwara: Indraparstha tower Shop Nos 209-213, Second floor, Shyam ki sabji mandi Near Mukharji garden, Bhilwara 311001, Rajasthan • • • • BhopalBhopalBhopalBhopal: Plot No . 10, 2nd floor, Alankar Complex, Near ICICI Bank, M P Nagar, Zone II, Bhopal 462011, Madhya Pradesh • Bhubaneswar• Bhubaneswar• Bhubaneswar• Bhubaneswar: 101/ 7, Janpath, Unit-III, Bhubaneswar 751001, Orissa • Bhuj• Bhuj• Bhuj• Bhuj: Data Solution, Office No:17 I st Floor Municipal Building Opp Hotel Prince Station Road, Bhuj - Kutch 370001, Gujarat • Bhusawal (Parent: Jalgaon TP)• Bhusawal (Parent: Jalgaon TP)• Bhusawal (Parent: Jalgaon TP)• Bhusawal (Parent: Jalgaon TP): 3, Adelade Apartment Christain Mohala, Behind Gulshan-E-Iran Hotel Amardeep Talkies Road Bhusawal, Bhusawal 425201, Maharashtra • Bikaner• Bikaner• Bikaner• Bikaner: F 4, 5 Bothra Complex, Modern


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Market, Bikaner 334001, Rajasthan • Bilaspur• Bilaspur• Bilaspur• Bilaspur: B2nd Floor, Gwalani Chambers, St Xavier School Road, In Front of CIT (Income Tax) Office, Vyapar Vihar, Bilaspur 495001, Contact No.: 9203900626 • Bokaro• Bokaro• Bokaro• Bokaro: Mazzanine Floor, F-4, City Centre Sector 4, Bokaro Steel City 827004, Bokaro 827004, Jharkhand • Burdwan• Burdwan• Burdwan• Burdwan: 399, G T Road Basement of Talk of the Town, Burdwan 713101, West Bengal • Calicut• Calicut• Calicut• Calicut: 29/97G 2nd Floor Gulf Air Building Mavoor Road Arayidathupalam, Calicut 673016, Kerala • Chandigarh• Chandigarh• Chandigarh• Chandigarh: Deepak Towers, SCO 154-155, 1st Floor, Sector17-C, Chandigarh 160017, Punjab • Chennai• Chennai• Chennai• Chennai: Ground Floor No.178/10, Kodambakkam High Road Opp. Hotel Palmgrove Nungambakkam, Chennai 600034, Tamil Nadu • Chennai• Chennai• Chennai• Chennai: 7th floor, Rayala Tower - III,158, Annasalai,Chennai, Chennai 600002, Tamil Nadu • Chennai• Chennai• Chennai• Chennai: Ground floor, Rayala Tower- I,158, Annasalai, Chennai, Chennai 600002, Tamil Nadu • Cochin• Cochin• Cochin• Cochin: 1st Floor, K C Centre, Door No. 42/227-B, Chittoor Road, Opp. North Town Police Station, Kacheripady, Cochin - 682 018. Tel.: (0484) 6060188/6400210 • Coimbatore• Coimbatore• Coimbatore• Coimbatore: Old # 66 New # 86, Lokamanya Street (West) Ground Floor R.S. Puram, Coimbatore 641002, Tamil Nadu • Cuttack• Cuttack• Cuttack• Cuttack: Near Indian Overseas Bank Cantonment Road Mata Math, Cuttack 753001, Orissa • Davenegere• Davenegere• Davenegere• Davenegere: 13, Ist Floor, Akkamahadevi Samaj Complex Church Road P.J.Extension, Devengere 577002, Karnataka • Dehradun• Dehradun• Dehradun• Dehradun: 204/121 Nari Shilp Mandir Marg Old Connaught Place, Dehradun 248001, Uttaranchal • Delhi• Delhi• Delhi• Delhi: CAMS Collection Centre, Flat no.512, Narain Manzil, 23, Barakhamba Road, Connaught Place, New Delhi 110001, New Delhi • Deoghar• Deoghar• Deoghar• Deoghar: S S M Jalan Road Ground floor Opp. Hotel Ashoke Caster Town, Deoghar 814112, Jharkhand • • • • DhanbadDhanbadDhanbadDhanbad: Urmila Towers Room No: 111(1st Floor) Bank More, Dhanbad 826001, Jharkhand • Dh• Dh• Dh• Dhuleuleuleule: House No. 3140, Opp. Liberty Furniture, Jamnalal Bajaj Road, Near Tower Garden, Dhule 424001• Durgapur• Durgapur• Durgapur• Durgapur: City Plaza Building, 3rd floor, City Centre, Durgapur 713216, West Bengal • Erode• Erode• Erode• Erode: 197, Seshaiyer Complex Agraharam Street, Erode 638001, Tamil Nadu • Faridhabad• Faridhabad• Faridhabad• Faridhabad: B-49, Ist Floor Nehru Ground Behind Anupam Sweet House NIT, Faridhabad 121001, Haryana • Ghaziabad• Ghaziabad• Ghaziabad• Ghaziabad: 113/6 I Floor Navyug Market, Gazhiabad 201001, Uttar Pradesh • Goa• Goa• Goa• Goa: No.108, 1st Floor, Gurudutta Bldg Above Weekender M G Road, Panaji (Goa) 403001, Goa • Gondal• Gondal• Gondal• Gondal: Parent CSC - Rajkot,A/177, Kailash Complex,Khedut Decor, Gondal 360311, Gujarat • Gorakhpur• Gorakhpur• Gorakhpur• Gorakhpur: Shop No. 3, Second Floor, The Mall Cross Road, A.D. Chowk Bank Road, Gorakhpur 273001, Uttar Pradesh • • • • GunturGunturGunturGuntur: Door No 5-38-44 5/1 BRODIPET Near Ravi Sankar Hotel, Guntur 522002, Andhra Pradesh • Gurgaon• Gurgaon• Gurgaon• Gurgaon: SCO - 17, 3rd Floor, Sector-14, Gurgaon 122001, Haryana • • • • GuwahatiGuwahatiGuwahatiGuwahati: A.K. Azad Road, Rehabari, Guwahati 781008, Assam • Gwalior• Gwalior• Gwalior• Gwalior: G-6, Global Apartment Phase-II,Opposite Income Tax Office, Kailash Vihar City Centre, Gwalior 474001, Madhya Pradesh • Hazaribag• Hazaribag• Hazaribag• Hazaribag: Municipal Market Annanda Chowk, Hazaribagh 825301, Jharkhand • Hisar• Hisar• Hisar• Hisar: 12, Opp. Bank of Baroda Red Square Market, Hisar 125001, Haryana • Hubli• Hubli• Hubli• Hubli: No.204 - 205, 1st Floor, ’ B ‘ Block, Kundagol Complex, Opp. Court, Club Road, Hubli 580029, Karnataka • Hyderabad• Hyderabad• Hyderabad• Hyderabad: 208, II Floor, Jade Arcade Paradise Circle, Secunderabad 500003, Andhra Pradesh • Indore• Indore• Indore• Indore: 101, Shalimar Corporate Centre 8-B, South Tukogunj, Opp.Greenpark, Indore 452001, Madhya Pradesh • Irinjalakuda: Irinjalakuda: Irinjalakuda: Irinjalakuda: CAMS Service Center, XIX/546-P-3, Nakkara Complex, Opp. Municipal Town Hall, Kerala lrinjalakuda-680121 • Jabalpur• Jabalpur• Jabalpur• Jabalpur: 975, Chouksey Chambers, Near Gitanjali School, 4th Bridge, Napier Town, Jabalpur 482001, Madhya Pradesh • Jaipur• Jaipur• Jaipur• Jaipur: R-7, Yudhisthir Marg, C-Scheme Behind Ashok Nagar Police Station, Jaipur 302001, Rajasthan • Jalandhar• Jalandhar• Jalandhar• Jalandhar: 367/8, Central Town Opp. Gurudwara Diwan Asthan, Jalandhar 144001, Punjab • Jalgaon• Jalgaon• Jalgaon• Jalgaon: Rustomji Infotech Services 70, Navipeth Opp. Old Bus Stand, Jalgaon 425001, Maharashtra • Jalna C.C. (Parent: Auranga• Jalna C.C. (Parent: Auranga• Jalna C.C. (Parent: Auranga• Jalna C.C. (Parent: Aurangabad)bad)bad)bad): Shop No 6, Ground Floor, Anand Plaza Complex, Bharat Nagar, Shivaji Putla Road, Jalna 431203, Maharashtra • Jammu• Jammu• Jammu• Jammu: JRDS Heights, Lane Opp. S&S Computers,Near RBI Building, Sector 14, Nanak Nagar, Jammu 180004, Jammu & Kashmir • Jamnagar• Jamnagar• Jamnagar• Jamnagar: 207, Manek Centre, P N Marg, Jamnagar 361001, Gujarat. Tel.: (0288) 6540116 • Jamshedpur• Jamshedpur• Jamshedpur• Jamshedpur: Millennium Tower, “R” Road Room No:15 First Floor, Bistupur, Jamshedpur 831001, Jharkhand • Jhansi• Jhansi• Jhansi• Jhansi: Opp SBI Credit Branch Babu Lal Kharkana Compound Gwalior Road, Jhansi 284001, Uttar Pradesh • Jodhpur• Jodhpur• Jodhpur• Jodhpur: 1/5, Nirmal Tower Ist Chopasani Road, Jodhpur 342003, Rajasthan • Junagadh• Junagadh• Junagadh• Junagadh: Circle Chowk, Near Choksi Bazar Kaman, Gujarat, Junagadh 362001, Gujarat • Kadapa• Kadapa• Kadapa• Kadapa: Bandi Subbaramaiah Complex, D.No:3/1718, Shop No: 8, Raja Reddy Street, Besides Bharathi


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Junior College, Kadapa 516001, Andhra Pradesh • Kakinada• Kakinada• Kakinada• Kakinada: No.33-1, 44 Sri Sathya Complex Main Road, Kakinada 533001, Andhra Pradesh • Kalyani• Kalyani• Kalyani• Kalyani: A - 1/50, Block - A, Dist Nadia, Kalyani 741235, West Bengal • Kannur• Kannur• Kannur• Kannur: Room No.14/435 Casa Marina Shopping Centre Talap, Kannur 670004, Kerala • Kanpur• Kanpur• Kanpur• Kanpur: I Floor 106 to 108 CITY CENTRE Phase II 63/ 2, The Mall, Kanpur 208001, Uttar Pradesh • Karimnagar• Karimnagar• Karimnagar• Karimnagar: HNo.7-1-257, Upstairs S B H Mangammathota, Karimnagar 505001, Andhra Pradesh • Karnal (Parent: P• Karnal (Parent: P• Karnal (Parent: P• Karnal (Parent: Panipat TP)anipat TP)anipat TP)anipat TP): 7,

IInd Floor, Opp Bata Showroom Kunjapura Road, Karnal 132001, Haryana • Karur• Karur• Karur• Karur: # 904, 1st Floor Jawahar Bazaar, Karur 639001, Tamil Nadu • Kharagpur• Kharagpur• Kharagpur• Kharagpur: 623/1 Malancha Main Road, PO Nimpura, Ward No - 19, Kharagpur 721304, West Bengal • Kolhapur• Kolhapur• Kolhapur• Kolhapur: 2 B, 3rd Floor, Ayodhya Towers,Station Road, Kolhapur 416001, Maharashtra • Kolkata • Kolkata • Kolkata • Kolkata ---- KestopurKestopurKestopurKestopur: S.D. Tower, Sreeparna Apartment AA-101, Prafulla Kannan (West), Shop No. 1M, Block - C, (Ground Floor), Kestopur, Kolkata - 700 101 • Kolkata• Kolkata• Kolkata• Kolkata: Saket Building, 44 Park Street, 2nd Floor, Kolkata 700071, West Bengal • Kollam• Kollam• Kollam• Kollam: Kochupilamoodu Junction Near VLC, Beach Road, Kollam 691001, Kerala • Kota• Kota• Kota• Kota: B-33 ‘Kalyan Bhawan Triangle Part ,Vallabh Nagar, Kota 324007, Rajasthan • Kottayam• Kottayam• Kottayam• Kottayam: Jacob Complex, Building No - Old No-1319F, New No - 2512D, Behind Makkil Centre, Good Sheperd Road, Kottayam - 686001• • • • KumbakonamKumbakonamKumbakonamKumbakonam: Jailani Complex 47, Mutt Street, Kumbakonam 612001, Tamil Nadu • • • • KurnoolKurnoolKurnoolKurnool: H.No.43/8, Upstairs Uppini Arcade, N R Peta, Kurnool 518004, Andhra Pradesh • • • • LuLuLuLucknowcknowcknowcknow: Off # 4,1st Floor,Centre Court Building, 3/C, 5 - Park Road, Hazratganj, Lucknow 226001, Uttar Pradesh • Ludhiana• Ludhiana• Ludhiana• Ludhiana: U/ GF, Prince Market, Green Field Near Traffic Lights, Sarabha Nagar Pulli Pakhowal Road, Ludhiana 141002, Punjab • Madurai• Madurai• Madurai• Madurai: Cams Service Centre, # Ist Floor,278, North Perumal, Maistry Street (Nadar Lane), Madurai 625001, Tamil Nadu • Mangalore• Mangalore• Mangalore• Mangalore: No. G 4 & G 5, Inland Monarch Opp. Karnataka Bank Kadri Main Road, Kadri, Mangalore 575003, Karnataka • Mapusa• Mapusa• Mapusa• Mapusa: Office no.CF-8, 1st Floor, Business Point, Above Bicholim Urban Co-Op Bank Ltd, Angod, Mapusa 403507, Goa • Margao• Margao• Margao• Margao: Virginkar Chambers I Floor Near Kamath Milan Hotel, New Market, Near Lily Garments, Old Station Road, Margao 403601, Goa • Meerut• Meerut• Meerut• Meerut: 108 Ist Floor Shivam Plaza Opposite Eves Cinema, Hapur Road, Meerut 250002, Uttar Pradesh • Mehsana• Mehsana• Mehsana• Mehsana: 1st Floor, Subhadra Complex Urban Bank Road, Mehsana 384002, Gujarat • Moradabad• Moradabad• Moradabad• Moradabad: B-612 ‘Sudhakar’ Lajpat Nagar, Moradabad 244001, Uttar Pradesh • Mumbai• Mumbai• Mumbai• Mumbai: Rajabahdur Compound, Ground Floor Opp Allahabad Bank, Behind ICICI Bank 30, Mumbai Samachar Marg, Fort, Mumbai 400023, Maharashtra • Muzzafarpur• Muzzafarpur• Muzzafarpur• Muzzafarpur: Brahman toli, Durgasthan Gola Road, Muzaffarpur 842001, Bihar • Mysore• Mysore• Mysore• Mysore: No.1, 1st Floor CH.26 7th Main, 5th Cross (Above Trishakthi Medicals) Saraswati Puram, Mysore 570009, Karnataka • Nadiad• Nadiad• Nadiad• Nadiad: F 142, First Floor, Gantakaran Complex, Gunj Bazar, Nadiad 387001, Gujarat • Nagpur• Nagpur• Nagpur• Nagpur: 145 Lendra Park, Behind Indus Ind Bank New Ramdaspeth, Nagpur 440010, Maharashtra • Nasik• Nasik• Nasik• Nasik: Ruturang Bungalow, 2 Godavari Colony Behind Big Bazar, Near Boys Town School Off College Road, Nasik 422005, Maharashtra • Navsari• Navsari• Navsari• Navsari: CAMS Service Center,16, 1st Floor, Shivani Park, Opp. Shankheswar Complex, Kaliawadi, Navsari, Navasari 396445, Gujarat • • • • NelloreNelloreNelloreNellore: 97/56, I Floor Immadisetty Towers Ranganayakulapet Road, Santhapet, Nellore 524001, Andhra Pradesh • New Delhi • New Delhi • New Delhi • New Delhi : 304-305 III Floor Kanchenjunga Building 18, Barakhamba Road Cannaugt Place, New Delhi 110001, New Delhi • Noida• Noida• Noida• Noida: CAMS Service centre C-81,1st floor, Sector - 2, Noida, Noida 201301, Uttar Pradesh • Palakkad• Palakkad• Palakkad• Palakkad: 10 / 688, Sreedevi Residency Mettupalayam Street, Palakkad 678001, Kerala • Panipat• Panipat• Panipat• Panipat: 83, Devi Lal Shopping Complex Opp ABN Amro Bank, G.T. Road, Panipat 132103, Haryana • Patiala• Patiala• Patiala• Patiala: 35, New lal Bagh Colony, Patiala 147001, Punjab • Patna• Patna• Patna• Patna: G-3, Ground Floor, Om Vihar Complex, SP Verma Road, Patna 800001, Bihar • Pathankot: • Pathankot: • Pathankot: • Pathankot: 13-A, 1st Floor, Gurjeet Market, Dhangu Road, Pathankot 145001, Punjab • Pondicherry• Pondicherry• Pondicherry• Pondicherry: S-8, 100, Jawaharlal Nehru Street (New Complex, Opp. Indian Coffee House), Pondicherry 605001, Pondichery • Pune• Pune• Pune• Pune: Nirmiti Eminence, Off No. 6, I Floor Opp Abhishek Hotel Mehandale Garage Road Erandawane, Pune 411004, Maharashtra • Raipur• Raipur• Raipur• Raipur: HIG,C-23, Sector - 1, Devendra Nagar, Raipur 492004, Chattisgarh • Rajahmundry• Rajahmundry• Rajahmundry• Rajahmundry: Cabin 101 D.no 7-27-4 1st Floor Krishna Complex Baruvari Street T Nagar, Rajahmundry 533101, Andhra Pradesh • Rajkot• Rajkot• Rajkot• Rajkot: Office 207 - 210, Everest Building Harihar Chowk, Opp Shastri Maidan, Limda Chowk, Rajkot 360001, Gujarat • Ranchi• Ranchi• Ranchi• Ranchi: 4, HB Road, No: 206, 2nd Floor Shri Lok Complex, Ranchi 834001, Jharkhand • Rohtak• Rohtak• Rohtak• Rohtak: 205, 2ND Floor, Blg. No. 2, Munjal Complex, Delhi Road,


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Rohtak 124001, Haryana • Rourkela• Rourkela• Rourkela• Rourkela: 1st Floor Mangal Bhawan Phase II Power House Road, Rourkela 769001, Orissa • Saharanpur• Saharanpur• Saharanpur• Saharanpur: I Floor, Krishna Complex Opp. Hathi Gate Court Road, Saharanpur 247001, Uttar Pradesh • Salem• Salem• Salem• Salem: No.2, I Floor Vivekananda Street, New Fairlands, Salem 636016, Tamil Nadu • Sambalpur• Sambalpur• Sambalpur• Sambalpur: C/o Raj Tibrewal & Associates Opp.Town High School, Sansarak, Sambalpur 768001, Orissa • Sangli• Sangli• Sangli• Sangli: Jiveshwar Krupa Bldg, Shop. No. 2, Ground Floor, Tilak Chowk, Harbhat Road, Sangli 416416, Contact No.: 0233-6600510 • SataraSataraSataraSatara: 117 / A / 3 / 22, Shukrawar Peth Sargam Apartment, Satara 415002, Maharashtra • Shillong• Shillong• Shillong• Shillong: 3rd Floor, RPG Complex, Keating Road, Shillong 793001, Meghalaya, Tel: (0364) 2502511 • Shimla• Shimla• Shimla• Shimla: I Floor, Opp. Panchayat Bhawan Main gate Bus stand, Shimla 171001, Himachal Pradesh • Shimoga• Shimoga• Shimoga• Shimoga: Nethravathi Near Gutti Nursing Home Kuvempu Road, Shimoga 577201, Karnataka • Siliguri• Siliguri• Siliguri• Siliguri: No 7, Swamiji Sarani, Ground Floor Hakimpara, Siliguri 734001, West Bengal • Solapur• Solapur• Solapur• Solapur: 4, Lokhandwala Tower, 144, Sidheshwar Peth, Near Z.P. Opp. Pangal High School, Solapur 413001, Maharashtra • • • • SriganganagarSriganganagarSriganganagarSriganganagar: 18 L Block, Sri Ganganagar 335001, Rajasthan • Sreerampur: • Sreerampur: • Sreerampur: • Sreerampur: CAMS Sreerampur CSC, 102, Alokalaya, Gr Floor, N.S. Avenue, Sreerampur 712 201 • Surat• Surat• Surat• Surat: Office No 2 Ahura -Mazda Complex First Floor, Sadak Street Timalyawad, Nanpura, Surat 395001, Gujarat • Thiruppur• Thiruppur• Thiruppur• Thiruppur: 1(1), Binny Compound, II Street, Kumaran Road, Thiruppur 641601, Tamil Nadu • Thiruvalla• Thiruvalla• Thiruvalla• Thiruvalla: Central Tower,Above Indian Bank Cross Junction, Tiruvalla 689101, Kerala • Tirunelveli• Tirunelveli• Tirunelveli• Tirunelveli: III Floor, Nellai Plaza 64-D, Madurai Road, Tirunelveli 627001, Tamil Nadu • Tirupathi• Tirupathi• Tirupathi• Tirupathi: Shop No: 6, Door No: 19-10-8 (Opp to Passport Office), AIR Bypass Road Tirupati - 517501, Andhra Pradesh, Tel: (0877) 6561003 • Trichur• Trichur• Trichur• Trichur: Room No. 26 & 27,DEE PEE PLAZA,Kokkalai, Trichur 680001, Kerala • Trichy• Trichy• Trichy• Trichy: No 8, I Floor, 8th Cross West Extn Thillainagar, Trichy 620018, Tamil Nadu • Trivandrum• Trivandrum• Trivandrum• Trivandrum: R S Complex Opposite of LIC Building Pattom PO, Trivandrum 695004, Kerala • Udaipur• Udaipur• Udaipur• Udaipur: 32 Ahinsapuri Fatehpura Circle, Udaipur 313004, Rajasthan • Unjha (Parent: Mehsana)• Unjha (Parent: Mehsana)• Unjha (Parent: Mehsana)• Unjha (Parent: Mehsana): 10/11, Maruti Complex, Opp. B R Marbles, Highway Road, Unjha 384170, Gujarat • Vadodara• Vadodara• Vadodara• Vadodara: 103 Aries Complex, BPC Road, Off R.C. Dutt Road, Alkapuri, Vadodara 390007, Gujarat • Valsad• Valsad• Valsad• Valsad: Ground Floor Yash Kamal -”B” Near Dreamland Theater Tithal Road, Valsad 396001, Gujarat • VAPI• VAPI• VAPI• VAPI: 208, 2nd Floor, Heena Arcade, Opp. Tirupati Tower, Near G.I.D.C., Char Rasata, Vapi 396195, Gujarat • Varanasi• Varanasi• Varanasi• Varanasi: Office no 1, Second floor, Bhawani Market, Building No. D-58/2-A1, Rathyatra, Beside Kuber Complex Varanasi - 221010, Uttar Pradesh • Vellore• Vellore• Vellore• Vellore: No.1, Officers Line, 2nd Floor, MNR Arcade, Opp. ICICI Bank, Krishna Nagar, Vellore 632001, Tamil Nadu • Vijayawada• Vijayawada• Vijayawada• Vijayawada: 40-1-68, Rao & Ratnam Complex Near Chennupati Petrol Pump M.G Road, Labbipet, Vijayawada 520010, Andhra Pradesh • • • • VisakhapatnamVisakhapatnamVisakhapatnamVisakhapatnam: 47/ 9 / 17, 1st Floor 3rd Lane, Dwaraka Nagar, Visakhapatnam 530016, Andhra Pradesh • Vizianagaram (parent:Vizag ISC)• Vizianagaram (parent:Vizag ISC)• Vizianagaram (parent:Vizag ISC)• Vizianagaram (parent:Vizag ISC): F Block, Shop No 1 & 16, PSR Market Lower Tank Bund Road, Near RTC complex Vizianagaram, Vizianagaram 535002, Andhra Pradesh • Warangal• Warangal• Warangal• Warangal: A.B.K Mall, Near Old Bus Depot Road, F-7, 1st Floor, Ramnagar, Hanamkonda, Warangal 506001, Andhra Pradesh • Yamuna Nagar• Yamuna Nagar• Yamuna Nagar• Yamuna Nagar: 124-B/R Model Town Yamunanagar, Yamuna Nagar 135001, Haryana.

TP Lite CentresTP Lite CentresTP Lite CentresTP Lite Centres • AhmednagarAhmednagarAhmednagarAhmednagar: B, 1+3, Krishna Encloave Complex, Near Hotel Natraj, Nagar-Aurangabad Road, Ahmednagar 414001, Maharashtra • BastiBastiBastiBasti: Office # 3, 1st Floor, Jamia Shopping Complex, Opp Pandey School, Station Road, Basti 272002, Uttar Pradesh • ChhindwaraChhindwaraChhindwaraChhindwara: Office No - 1, Parasia Road, Near Mehta Colony, Chhindwara 480001, Madhya Pradesh • ChittorgarhChittorgarhChittorgarhChittorgarh: CAMS Service centre, 3 Ashok Nagar,Near Heera Vatika, Chittorgarh, Chittorgarh 312001, Rajasthan • DarbhangaDarbhangaDarbhangaDarbhanga: Shahi Complex,1st Floor Near RB Memorial hospital,V.I.P. Road, Benta Laheriasarai, Darbhanga 846001, Bihar • Dharmapuri Dharmapuri Dharmapuri Dharmapuri : # 16A/63A, Pidamaneri Road, Near Indoor Stadium, Dharmapuri, Dharmapuri 636701, Tamil Nadu • Dhule Dhule Dhule Dhule : H. No. 1793 / A, J.B. Road, Near Tower Garden, Dhule 424001, Maharashtra • FaizabadFaizabadFaizabadFaizabad: Amar Deep Building, 3/20/14, IInd floor,Niyawan, Faizabad-224001• GandhidhamGandhidhamGandhidhamGandhidham: S-7, Ratnakala Arcade, Plot No. 231, Ward – 12/B, Gandhidham 370201, Gujarat • GulbargaGulbargaGulbargaGulbarga: Pal Complex, Ist Floor Opp. City Bus Stop,SuperMarket, Gulbarga 585101, Karnataka • HaldiaHaldiaHaldiaHaldia: 2nd Floor, New Market Complex, Durgachak Post Office, Purba Medinipur District, Haldia 721602, West Bengal • HaldwaniHaldwaniHaldwaniHaldwani: Durga City Centre, Nainital Road Haldwani, Haldwani 263139, Uttaranchal • HimmatnagarHimmatnagarHimmatnagarHimmatnagar: D-78 First Floor, New Durga Bazar, Near Railway Crossing, Himmatnagar 383001, Gujarat •


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HoshiarpurHoshiarpurHoshiarpurHoshiarpur: Near Archies Gallery Shimla Pahari Chowk, Hoshiarpur 146001, Punjab • HosurHosurHosurHosur: No.303, SIPCOT Staff Housing Colony, Hosur 635126, Tamil Nadu • JaunpurJaunpurJaunpurJaunpur: 248, Fort Road, Near Amber Hotel, Jaunpur 222001, Uttar Pradesh • KatniKatniKatniKatni: 1st Floor, Gurunanak Dharmakanta, Jabalpur Road, Bargawan, Katni 483501, Madhya Pradesh • KhammamKhammamKhammamKhammam: Shop No: 11 - 2 - 31/3, 1st floor, Philips Complex, Balajinagar, Wyra Road, Near Baburao Petrol Bunk, Khammam 507001, Andhra Pradesh • MaldaMaldaMaldaMalda: Daxhinapan Abasan, Opp Lane of Hotel Kalinga, SM Pally, Malda 732101, West Bengal • ManipalManipalManipalManipal: CAMS Service Centre, Basement floor, Academy Tower, Opposite Corporation Bank, Manipal 576104, Karnataka • MathuraMathuraMathuraMathura: 159/160 Vikas Bazar, Mathura 281001, Uttar Pradesh • MogaMogaMogaMoga: Gandhi Road, Opp Union Bank of India, Moga 142001, Punjab • NamakkalNamakkalNamakkalNamakkal: 156A / 1, First Floor, Lakshmi Vilas Building Opp. To District Registrar Office, Trichy Road, Namakkal 637001, Tamil Nadu • PalanpurPalanpurPalanpurPalanpur: Tirupati Plaza, 3rd Floor, T - 11, Opp. Government Quarter, College Road, Palanpur 385001, Gujarat • Rae BareliRae BareliRae BareliRae Bareli: No.17 Anand Nagar Complex, Rae Bareli 229001, Uttar Pradesh • RajapalayamRajapalayamRajapalayamRajapalayam: D. No. 59 A/1, Railway Feeder Road Near Railway Station, Rajapalayam 626117, Tamil Nadu • RatlamRatlamRatlamRatlam: Dafria & Co 81, Bajaj Khanna, Ratlam 457001, Madhya Pradesh • RatnagiriRatnagiriRatnagiriRatnagiri: Kohinoor Complex Near Natya Theatre Nachane Road, Ratnagiri 415639, Maharashtra • RoorkeeRoorkeeRoorkeeRoorkee: Cams Service Center, 22 Civil Lines Ground, Floor, Hotel Krish Residency, (Haridwar), Roorkee 247667, Uttaranchal • SagarSagarSagarSagar: Opp. Somani Automobiles Bhagwanganj, Sagar 470002, Madhya Pradesh • ShahjahanpurShahjahanpurShahjahanpurShahjahanpur: Bijlipura, Near Old Distt Hospital, Jail Road, Shahjahanpur 242001, Uttar Pradesh • SirsaSirsaSirsaSirsa: Bansal Cinema Market, Beside Overbridge,Next to Nissan car showroom, Hissar Road, Sirsa 125055, Haryana • SitapurSitapurSitapurSitapur: Arya Nagar Near Arya Kanya School, Sitapur 262001, Uttar Pradesh • SolanSolanSolanSolan: 1st Floor, Above Sharma General Store Near Sanki Rest house The Mall, Solan 173212, Himachal Pradesh • SrikakulamSrikakulamSrikakulamSrikakulam: Door No 4-4-96, First Floor. Vijaya Ganapathi Temple Back Side, Nanubala Street, Srikakulam 532001, Andhra Pradesh • SultanpurSultanpurSultanpurSultanpur: 967, Civil Lines Near Pant Stadium, Sultanpur 228001, Uttar Pradesh • SurendranagarSurendranagarSurendranagarSurendranagar: 2 M I Park, Near Commerce College Wadhwan City, Surendranagar 363035, Gujarat • TinsukiaTinsukiaTinsukiaTinsukia: Dhawal Complex, Ground Floor, Durgabari Rangagora Road, Near Dena Bank, PO Tinsukia, Tinsukia 786125, Assam • TuticorinTuticorinTuticorinTuticorin: 4B / A-16 Mangal Mall Complex,Ground Floor, Mani Nagar, Tuticorin 628003, Tamil Nadu • UjjainUjjainUjjainUjjain: 123, 1st Floor, Siddhi Vinanyaka Trade Centre,Saheed Park, Ujjain 456010, Madhya Pradesh • VascoVascoVascoVasco: No DU 8, Upper Ground Floor, Behind Techoclean Clinic, Suvidha Complex,Near ICICI Bank, Vasco da gama 403802, Goa • YavatmalYavatmalYavatmalYavatmal: Pushpam, Tilakwadi, Opp. Dr. Shrotri Hospital, Yavatmal 445001, Maharashtra. In addition to the existing Official Point of Acceptance of transactions, Computer Age Management Services Pvt. Ltd. (CAMS), the Registrar and Transfer Agent of ICICI Prudential Mutual Fund, having its office at New No 10. Old No. 178, Opp. to Hotel Palm Grove, MGR Salai (K.H.Road), Chennai - 600 034 shall be an official point of acceptance for electronic transactions received from the Channel Partners with whom ICICI Prudential Asset Management Company Limited has entered or may enter into specific arrangements for all financial transactions relating to the units of mutual fund schemes. Additionally, the secure Internet sites operated by CAMS will also be official point of acceptance only for the limited purpose of all channel partners transactions based on agreements entered into between IPMF and such authorized entities.

In addition to the existing Official Point of Acceptance of transactions, authorized Points of Service (POS) of MF Utilities India Private Limited (MFUI) shall be an official point of acceptance for all financial and non- financial transactions. The updated list of POS of MFUI is available on www.mfuindia.com. The online transaction portal of MFU is www.mfuonline.com. For the updated list of official Point of Acceptance of transactions of AMC and CAMS, please refer the website of the AMC viz., www.icicipruamc.com.