Disclosure of Commission and Expenses Paid to Distributors (ARN Holders) Identified by AMFI for the Financial Year 2013-2014
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Disclosure of Commission and Expenses paid to Distributors (ARN Holders) identified by AMFI for the financial year 2013-2014 Name of the AMC : Union KBC Asset Management Company Private Limited Rs. In Lacs Sr. No. ARN Name of ARN Holder Total Total Total Gross Inflows Net Inflows Whether the Averge Assets under AUM as on Ratio of AUM to Commission Expenses Commission + distributor is an Management for FY 31-Mar-2014 Gross Inflows paid during paid during Expenses paid associate or group 2013-14 FY 2013-14 FY 2013-14 during FY 2013- company of the 14 sponsors of the Mutual Fund A B A+B 1 1 BNP Paribas - - - - - No - - - 2 2 JM Financial Services Limited 0.17 7.40 7.57 11,387.35 4,991.73 No 345.90 5,005.88 0.44 3 3 Aditya Birla Money Mart Ltd 0.67 - 0.67 22,034.85 3,632.93 No 1,218.27 5,043.11 0.23 4 4 Cholamandalam Distribution Services Limited 0.03 - 0.03 10,000.00 -4.46 No 52.06 - 0.000 5 5 HDFC Bank Limited - - - 7,563.84 3.67 No 1,013.04 - 0.000 6 6 SKP Securities Limited - - - - - No - - - 7 7 SPA Capital Services Limited 1.03 4.52 5.55 11,882.74 -12.50 No 857.86 220.81 0.02 8 8 ENAM Securities Private Limited 0.21 - 0.21 5,830.58 -72.92 No 407.53 - 0.000 9 9 Way2Wealth Securities Private Limited 0.08 - 0.08 143.12 -0.000001 No 2.17 0.23 0.002 10 10 Bajaj Capital Ltd. 0.01 - 0.01 4.49 4.38 No 5.24 7.70 1.72 11 16 Bluechip Corporate Investment Centre Ltd - - - 0.62 0.62 No 1.78 2.12 3.41 12 17 Stock Holding Corporation of India Limited - - - - - No 1.04 1.09 - 13 18 Karvy Stock Broking Limited 0.01 - 0.01 893.15 -1.28 No 33.99 4.16 0.005 14 19 Axis Bank Limited - - - - -0.22 No 0.14 - - 15 20 ICICI Bank Limited - - - - - No - - - 16 21 Tata Securities Limited 0.07 - 0.07 64,505.10 982.80 No 287.71 1001.16 0.02 17 22 Hongkong & Shanghai Banking Corporation Ltd. - - - - - No - - - 18 30 Eastern Financiers Ltd. - - - - -0.01 No 0.02 0.01 - 19 32 RR Investors Capital Services Pvt Ltd. - - - 1.65 1.02 No 0.93 1.24 0.75 20 39 Bluechip Capital Services Private Limited - - - - - No - - - 21 55 Citibank N.A - - - - - No - - - 22 58 IDBI Bank Ltd - - - - - No - - - 23 60 Farhad Sam Choksey - - - - - No - - - 24 81 Major Ashish Chadha - - - - - No - - - 25 88 Sadashiv Arvind Phene - - - - - No - - - 26 98 Geojit BNP Paribas Financial Services Limited - - - - - No 1.11 1.17 - 27 111 ITI Financial Services Limited - - - - - No - - - 28 145 DSP Merrill Lynch Limited - - - - - No - - - 29 155 NJ IndiaInvest Pvt Ltd 0.02 - 0.02 26.29 2.60 No 25.75 28.35 1.08 30 158 Mata Securities India Pvt. Ltd 0.43 0.19 0.62 3,991.82 37.97 No 502.78 271.66 0.07 31 164 Kotak Securities Ltd - - - - - No - - - 32 165 Zeenat S Jagani - - - - - No - - - 33 168 Anand Rathi Financial Services Limited - - - - - No - - - 34 169 Hero FinCorp Ltd - - - - - No - - - 35 180 ING Vysya Bank Ltd. - - - - - No 0.22 0.25 - 36 186 Bonanza Portfolio Ltd 0.002 - 0.002 - - No 0.21 0.24 - 37 206 PLC Securities Ltd - - - - - No - - - 38 238 Sprism Investment Services Private Limited - - - - - No - - - 39 262 A.G. Financial Services - - - - - No - - - 40 266 P.H. Financial & Investment Consultants Pvt. Ltd. 0.11 - 0.11 3,061.15 -7,021.71 No 92.83 5.47 0.002 41 307 Russell Credit Limited - - - - - No - - - 42 323 Prebon Yamane India Limited 0.92 0.57 1.49 13,546.73 23.52 No 1,129.82 130.68 0.01 43 353 Development Credit Bank Limited - - - - - No - - - 44 354 Standard Chartered Securities (India) Limited - - - - - No - - - 45 358 K Arun Kumar - - - - - No - - - 46 507 Zen Securities Limited - - - - - No - - - 47 633 Indusind Bank Ltd - - - - - No - - - 48 654 J R Laddha Financial Services (P) Ltd. - - - - - No - - - 49 703 Batlivala & Karani Securities India Pvt. Ltd. 0.63 - 0.63 16,703.79 -41.62 No 900.29 0.87 0.000 50 783 Lakshmi Enterprises - - - - - No - - - 51 845 ICICI Securities Limited - - - - - No - - - 52 864 Om Spectrum Financial Consultants Pvt. Ltd. - - - - - No - - - 53 900 Wealth Managers (India) Private Limited - - - - - No - - - 54 910 Oswal Dhan Private Limited - - - - - No - - - 55 912 B D Shroff Securities Private Limited - - - - - No - - - 56 940 Dalal & Broacha Stock Broking Pvt. Ltd. - - - - - No - - - Disclosure of Commission and Expenses paid to Distributors (ARN Holders) identified by AMFI for the financial year 2013-2014 Name of the AMC : Union KBC Asset Management Company Private Limited Rs. In Lacs Sr. No. ARN Name of ARN Holder Total Total Total Gross Inflows Net Inflows Whether the Averge Assets under AUM as on Ratio of AUM to Commission Expenses Commission + distributor is an Management for FY 31-Mar-2014 Gross Inflows paid during paid during Expenses paid associate or group 2013-14 FY 2013-14 FY 2013-14 during FY 2013- company of the 14 sponsors of the Mutual Fund A B A+B 57 962 Integrated Enterprises (India) Ltd - - - - - No 0.48 0.53 - 58 988 Ganesh Shridhar Shanbhag - - - - - No - - - 59 1016 Roopa Venkatkrishnan - - - - - No - - - 60 1017 Rajbir Singh - - - - - No - - - 61 1022 Quantum Information Services Private Limited - - - - - No - - - 62 1142 Wealth First Advisors Pvt Ltd - - - - - No - - - 63 1146 Dipak Kumar Das - - - - - No - - - 64 1159 The Royal Bank of Scotland N V - - - - - No - - - 65 1160 Prescient Financial Solutions - - - - - No - - - 66 1173 Shivranjani Securities Company Pvt Ltd - - - - - No - - - 67 1209 Standard Chartered Bank - - - 0.32 0.32 No 0.13 0.36 1.12 68 1238 Harley Securities Pvt Ltd - - - - - No - - - 69 1239 Axiom Financial Services Pvt Ltd - - - - - No - - - 70 1308 Almondz Global Securities Ltd - - - - - No - - - 71 1379 Anita Investment Agencies - - - - - No - - - 72 1389 Right Choice Securities Pvt Ltd - - - - - No - - - 73 1390 Kotak Mahindra Bank Limited 0.84 0.45 1.29 3,683.49 1,484.81 No 1,672.56 2,129.08 0.58 74 1428 Poddar Financial Services - - - - - No - - - 75 1435 Security Investments Limited - - - - - No - - - 76 1480 Raviraj Investments Corporate (India) Pvt Ltd - - - - - No - - - 77 1488 Goldstar Financial Services Private Limited - - - - - No - - - 78 1560 Purnima Securities Pvt Ltd - - - - - No - - - 79 1563 Emkay Global Financial Services Limited - - - - - No - - - 80 1665 Matrix Financial Services Ltd - - - 0.10 0.10 No 0.09 0.11 1.06 81 1666 Safe Assets - - - - - No - - - 82 1668 ECS Financial Services (India) Private Limited 0.001 - 0.001 0.12 0.12 No 0.26 0.33 2.79 83 1676 Right Returns - - - - - No - - - 84 1678 Mangsidhesh Investments Pvt Ltd - - - - - No - - - 85 1912 Anjali Investment & Consultants - - - - - No - - - 86 1920 Hari Ghanashyam Kamat - - - - - No - - - 87 1964 Anil Khera - - - - - No - - - 88 2023 Bharat Bhushan & Co. - - - - - No - - - 89 2025 Suvridhi Capital Markets Ltd - - - - - No - - - 90 2126 Apeejay Securities Pvt Ltd - - - - - No - - - 91 2224 Ashwin Rasiklal Vajani - - - - - No - - - 92 2235 Nikhil Ashok Naik - - - 1.07 1.07 No 0.89 1.14 1.07 93 2328 Nita Siddharth Shah - - - - - No - - - 94 2365 Hari Mohan Gupta - - - - - No - - - 95 2373 Divyesh Jagdish Rach - - - - - No - - - 96 2380 Edge Corporate Services Pvt Ltd - - - - - No - - - 97 2390 Alasia Consulting - - - - - No - - - 98 2403 Varsha Investments - - - - - No - - - 99 2481 Rajinder Pal singh Anand - - - - - No - - - 100 2508 Brij Bhushan Marwaha - - - - - No - - - 101 2512 Rakesh Pasricha - - - - - No - - - 102 2640 Common Wealth - - - - - No - - - 103 2647 Rajaram Management Services Pvt Ltd - - - - - No - - - 104 2648 Darashaw & Co. Pvt Ltd - - - - - No - - - 105 2698 Jagruti Sanjay Khatri - - - - - No - - - 106 2699 Rahul Ajit Khatri - - - - - No - - - 107 2700 Sanjay Jiwandas Khatri - - - - - No - - - 108 3086 Asit C. Mehta Investment Intermediates Ltd - - - - - No - - - 109 3089 Colaco & Aranha - - - - - No - - - 110 3092 Think Financial & Insurance Cons Pvt Ltd - - - - - No - - - 111 3266 Hexagon Consultants - - - - - No - - - 112 3273 Pelican Wealth Managers Pvt. Ltd. - - - - - No - - - Disclosure of Commission and Expenses paid to Distributors (ARN Holders) identified by AMFI for the financial year 2013-2014 Name of the AMC : Union KBC Asset Management Company Private Limited Rs. In Lacs Sr. No. ARN Name of ARN Holder Total Total Total Gross Inflows Net Inflows Whether the Averge Assets under AUM as on Ratio of AUM to Commission Expenses Commission + distributor is an Management for FY 31-Mar-2014 Gross Inflows paid during paid during Expenses paid associate or group 2013-14 FY 2013-14 FY 2013-14 during FY 2013- company of the 14 sponsors of the Mutual Fund A B A+B 113 3280 Sundaram Finance Limited - - - - - No - - - 114 3284 SKM Management Services - - - - - No - - - 115 3289 Green Homes India - - - - - No - - - 116 3307 Disha Finance & Investment Pvt Ltd - - - - - No - - - 117 3463 Rajiv Bose - - - - - No - - - 118 3524 JHAVERI SECURITIES LTD - - - - - No - - - 119 3528 Power Pusher Financial Services LLP - - - - - No - - - 120 3543 Deutsche Bank AG - - - - - No 0.24 0.27 - 121 3689 Yogesh Jayant Shah - - - - - No - - - 122 3821 Mukesh R Parikh - - - - - No - - - 123 3852 PTIC (P) Ltd - - - - - No - - - 124 4480 Union Bank of India 536.29 0.30 536.59 78,332.79 17,353.99 Yes (Sponsor) 63,572.31 74,887.05 0.96 125 4481 Bank of India - - - -0.12 -0.12 No 0.24 0.27 -2.29 126 4483 UTI Infrastructure Technology And Services Ltd - - - - - No - - - 127 4829 Gupta Investments - - - - - No - - - 128 4836 Desons Holding & Finance Pvt Ltd - - - - - No - - - 129 4837 Harihar Finance Corporation - - - - - No - - - 130 4968 Ramesh Chand Maloo - - - - - No - - - 131 5084 Dipankar Das - - - - - No - - - 132 5298 Deep Management & Eco Consultants Private Limited - - - - - No - - - 133 5592 Darshan Securities Private Limited - - - - - No - - - 134 5593 Merchant Investment Consultancy Private Limited - - - - - No - - - 135 5599 Vantage Wealth Management Solutions Pvt.