DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR A NON-RESIDENT INDIAN (NRI)

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1 DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR A NON-RESIDENT INDIAN (NRI) (Refer list of SEBI approved documents to be submitted as proofs - given immediately after this table) Individual KRA-KYC Form (part of Account Opening form(aof) Pan Card (Mandatory) Passport / PIO Card / OCI Card (any one mandatory) Proof of Correspondence Proof of Permanent Overseas (Mandatory) Proof of all Bank Details PIS / NRE / NRO account - mentioned on AOF Proof of all Demat Accounts mentioned on AOF (in case account is not with PL-DP) Applicant s declaration that he has complied with & will continue to comply with FEMA regulations and other applicable laws (Mandatory - Refer format given below) Mariners Declaration or Certified copy of CDC (Continuous Discharge Certificate) for Mariner NRI Applicant s undertaking with complete Residential (other than PO Box address) in case he submits an Overseas Post Office Box address as Correspondence / Permanent address (Refer format given below) Proof of financial details (Mandatory for trading in F&O segment) Mandatory Information to be provided Overseas & proof thereof ID & Mobile number Gross Income OR Networth details Details of PIS Bank Account alongwith NRE/NRO Bank account details & proof thereof In-person Verification details on KRA-KYC Form FEMA declaration PIO Card or OCI Card is mandatory if applicant is a Foreign National Important points - Name of applicant on AOF must match with that given on PAN Card / PAN website AOF & all documents are to be signed by applicant himself & not by any POA-holder All documents submitted as proofs must be latest in date & self-attested by NRI applicant Applicant s sign must be uniform throughout KRA-KYC Form, AOF, agreements & all documents Every overwriting, cancellation or correction is authenticated by full signature of applicant Trading preferences column are signed in full signature and those segments not opted are struck off

2 LIST OF SEBI APPROVED DOCUMENTS (any one document to be submitted as proof of Identity / / Signature / Bank account / Demat account) Pan Card (Mandatory) Document Proof for Checklist Passport or PIO Card or OCI Card (Mandatory) Credit Card / Debit Card issued by Scheduled Commercial Banks ID Card/ Document bearing photo, address & sign issued by - State or Central Government & its departments - Statutory Regulatory Authorities - Public Sector Undertaking - Scheduled Commercial Banks - Public Financial Institutions - Colleges affiliated to Universities - Professional Bodies like ICAI, ICWAI, ICSI, Bar Council etc. to its Members Bank Verification Letter Photo / Signature / attested by Bank Manager Flat Maintenance Bill / Utility Bills like Electricity Bill, Landline Telephone Bill, Gas Bill Identity / Signature / Identity / Signature Identity / Signature / Identity / Signature / / Bank Details Photo & signature must be clear & legible. Name of applicant on AOF match with that given on PAN Card Attach pages bearing Photo, Sign, & Expiry Date Photo & signature must be clear & legible Photo & signature must be clear & legible Should bear Account number, Bank stamp, Branch MICR code and Attesting Authority s Name & Employee number Should be accompanied by copy of Bank Passbook / statement Not more than 3 months old Must be in applicant s name Telephone Bill is of Landline & not of Mobile number Insurance Certificate Copy Not more than 6 months old.

3 Document Proof for Checklist Premium Payment Notice / receipt will not be accepted Leave / Licence Agreement or Sale Agreement Pages bearing Applicant Name, of property let out/sold along with last page with signatures evidencing the execution of agreement Bank Passbook / Statement with Applicant as first-holder in Bank / Bank Details Not more than 3 months old Attach Cancelled cheque Account Attach pages bearing Applicant s Name, and Last Transaction Passbook bears Bank stamp & signature of bank official Confirmation document issued by - Notary Public - Indian Embassy/Consulate General of the country where applicant Such proofs must be given on respective authority s letterhead The document must bear name & complete address of the Applicant resides Any of the above proof of issued in the name of Applicant s Spouse Should be accompanied by documentary evidence supporting relationship with Applicant e.g. Marriage Certificate Cancelled Personalised Cheque Leaf Bank Details Collect original cheque Client Master Report Demat Account Details Should bear DP rubber stamp & signature of DP official Applicant must be first-holder in the demat account BO account Statement of Holding / Transaction Demat Account Details Latest statement - not more than 3 months old Applicant must be first-holder in BO account ITR Acknowledgement Annual Accounts Net-worth Certificate Salary Slip Financial Details Attach Latest statements only

4 Document Proof for Checklist Form 16 Latest BO Holding Statement with valuation Bank Statement for last 6 months Self-declaration or any other document substantiating ownership of assets

5 DECLARATION UNDER FEMA (Mandatory for all NRI/FN accounts) Date: / / 201 Prabhudas Lilladher Pvt. Ltd. 3 rd Floor, Sadhana House 570, P B Marg, Worli Mumbai Dear Sir/s, I / We have complied with, and will continue to comply with, FEMA regulations and other applicable laws Name First / Sole Holder Second Holder Third Holder Signatures * * To be signed by the Account Holder(s) and not by POA Holder Note: This declaration is available in Account Opening Form

6 UNDERTAKING FOR OVERSEAS P.O. BOX ADDRESS (Mandatory if NRI/FN has provided P. O. Box address) Date: / / 201 Prabhudas Lilladher Pvt. Ltd. 3 rd Floor, Sadhana House 570, P B Marg, Worli Mumbai Dear Sir/s, I/We am/are presently residing in at the below-mentioned address Residential (other than P. O. Box address) Since all correspondences will be received at my P. O. Box address as mentioned on the KRA-KYC Form, I / We undertake to inform you whenever there is a change in the above mentioned Residential address. Name First / Sole Holder Second Holder Third Holder Signatures * ** To be signed by the Account Holder(s) and not by POA Holder Note: This undertaking is available in Account Opening Form

7 UNDERTAKING FOR TRADING IN F&O SEGMENT Client Name: Client Code: Date: / / 20 Prabhudas Lilladher Pvt Ltd, 3 rd Floor, Sadhana House, 570, P. B. Marg, Behind Mahindra Towers, Worli, Mumbai Dear Sirs, I am registered with you as a NRI client for F & O segment under above mentioned Trading code. I undertake that I will trade and settle my trades at F & O segment through you only. I will neither trade nor settle my trades at F & O segment through any other trading member. Thank you, Yours faithfully, First / Sole Holder Name Signature ** To be signed by the Account Holder(s) and not by POA Holder

8 Date: / / 20 APPLICATION FOR ALLOTMENT OF CP CODE (To be submitted by NRI to Clearing Member for trading in F&O segment) Prabhudas Lilladher Pvt Ltd CM Code: M rd Floor, Sadhana House, 570 P.B. Marg, Behind Mahindra Towers, Worli, Mumbai Sub: Application for the allotment of NRI code. I wish to appoint you as my Clearing Member for clearing and settlement of trades done on the futures and options segment of NSE. My details are as follows: Name (as appear in Passport) : Passport no : NRE/NRO Bank A/c No : Telephone No. : ID : Current : Permanent in India : We request you to kindly get an NRI client code allotted by NSE/NSCCL for the same. I undertake that all the trades executed through the above allotted NRI Client code will be on my behalf. Yours faithfully, First / Sole Holder Name Signature ** To be signed by the Account Holder(s) and not by POA Holder

Contract Notes in addition to ECN, an authority letter to that effect is to be given by applicant - Refer format given below)

Contract Notes in addition to ECN, an authority letter to that effect is to be given by applicant - Refer format given below) DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR INDIVIDUAL (Refer list of SEBI approved documents to be submitted as proofs - given immediately after this table) Individual KRA-KYC Form # Pan Card