Account Opening Form
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- Alberta Golden
- 5 years ago
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1 Account Opening Form Online Mutual Fund, Fixed eposits, IPOs & Bonds Only Individuals to affix recent photograph (Passport Size) Client I Sub Broker Code For office use only RM Code Branch Code Sign Across this photo Personal etails esired Login Name (between 6-10 characters) Full Name (1) (2) (3) PAN No. I Mobile No. ate of Birth Address etails Permanent Address City Pin code Correspondence Address City Pin code Annual Income Occupation Status Tel. (Office) Tel. (Res) Fax (Office) Fax (Res) Bank etails Bank A/C No. Bank Name IFSC Code Bank Branch Address City A/C Type MICR Code Pin code
2 Holding etails Mode of Holding Single Joint Anyone or Survivor Second Holder Name PAN No. ate of Birth Third Holder Name PAN No. ate of Birth Nominee etails First Nominee Second Nominee Third Nominee (First nominee is mandatory) Full Name ate of Birth Relation with Applicant Status Address (If the address is same as applicant then just mention same as applicant ) % of Nomination to each % % % emat etails Please tick one P I Beneficiary A/C No. NSL CSL First Applicant Signature Second Applicant Signature Third Applicant Signature Please sign in the box Please sign in the box Please sign in the box Note: 1. Cross Sign the Photo on the first Page. 2. As per new SEBI Guidelines, all the investors; individuals & non-individuals both have to make new KYC. 3. At least one nominee is mandatory. 4. Your Login I & Password will be intimated through a mail. Kindly reset the password at earliest.
3 Power of Attorney NOW KNOW YOU ALL BY THESE PRESENTS THAT I/WE Mr. / Mrs. / Ms. [All Investors name First, Second and Third holder, Nominee separated by (coma,)]. An Individual / HUF / a Sole Proprietary Concern / A Partnership Firm / A Body Corporate / Registered Trust/ Incorporated, under the provisions of the Indian Partnership Act, 1956 or any relevant Act, having his /her / its residing / registered office / place of business at [All Investors First, Second and Third holder, Nominee address in sequence separated by (coma,)] WHEREAS I/We wish to participate in the trading facilities, investments and other services offered by Bonanza Portfolio Ltd. (or any of its assigns). Whereas as a consideration for the services as well as pre requisite for fulfilling all the various pre conditions and requirements so as to become a client of Bonanza Portfolio Ltd. and to facilitate proper execution of all the transactions including but not limited to transactions for purchase, sale, investments, subscription of Equity IPOs, Mutual Funds, public provident funds, National Savings scheme of Govt. of India, Fixed deposits, Life insurance, General Insurance,or order for purchase or sale of or application for any offer or public issue of shares,derivatives including but not limited to, forwards, futures, swaps, and options, funded margin, scripts, stocks, bonds, debentures, mutual fund units of any collective investment scheme or any other securities or financial instrument and to sell the securities in my/our behalf in any buy back or open offers made by the issuer of such securities or any other financial products offered by Bonanza Portfolio ltd. ("Company") through the web site with the Login I and have read, understood and agreed to be bound by the Terms and Conditions of the services), appearing on the web site or as specified by the Company, as amended from time to time. WHEREAS in order to participate in the broking and other services offered by BPL, I/We have opened a Beneficiary accounts with BPL vide Client I No (for Bonanza existing clients) AN WHEREAS I/We have also entered into the Member Client Agreement (the 'Agreement') with BPL for availing of the online brooking services ('E broking Services') offered by BPL. AN WHEREAS for facilitating proper execution of all transactions undertaken by us/me pursuant to the Agreement, BPL requires the authority to give instructions for the transfer of securities from the beneficiary Account and therefore so as to assist BPL in properly executing all transactions. I am/we are desirous of appointing BPL as my attorney for such purposes. NOW THESE PRESENTS WITNESS I/We do hereby jointly and severally nominate, constitute and appoint Bonanza Portfolio ltd.., a company incorporated under the Companies Act 1956 with its registered office at 4353/4C,Madan Mohan Street, Ansari Road, aryaganj, New elhi , acting through any of its officer/s as my/our true and lawful Attorney (hereinafter referred to as the said Attorney') for me/us, in my/our name and on my/our behalf and at my /our risk and costs to do, perform or execute all or any of the following acts, deeds, matters and things mentioned hereunder, 1. To operate, block and/or debit the designated Beneficiary Accounts) with the epository Participant being BONANZA PORTFOLIO LT., as the case may be, to meet all obligations in terms of the transactions undertaken by me /us pursuant to the Agreement. 2. To credit, the designated Beneficiary Accounts, with monies/securities/units due to me/us. 3. To have the first and paramount lien on the designated Beneficiary Accounts and to exercise such lien in the event of any loss suffered on account of any transaction done/executed by BPL on my/our behalf. 4. Generally, to do all such acts, deeds, matters and things as may be necessary for or incidental to ensure all payments for and delivery of securities arising out of transactions undertaken by me/us under the Agreement are duly and properly completed. 5. To subscribe to and/ or redeem units of mutual funds, to subscribe to Equity IPOs and to subscribe to and / or redeem units of any other financial products offered on web site on my/our behalf and to pay for the same. The term 'Securities' shall include securities as defined by the Securities Contracts (Regulation) Act, 1956 as amended from time to time. 6. To confirm having read and understood the contents of the offer documents of various schemes of mutual funds in which the Company may invest on behalf of myself/ ourselves and not to hold the mutual fund / asset management company liable for any transaction processed on the basis of information provided by the Company. 7. To receive statements and other documents pertaining to the above units/securities and to acknowledge receipt of the same. 8. To sign all such application forms, transfer deeds, redemption requests, depository forms and other documents I/We deeds and to do all such acts as may be required for all or any of the above purposes. 9. To correspond with and give notice to the corresponding asset management company/body corporate/issuer/registrar and transfer agent of securities including giving instructions with regard to nomination/change in investment plans/any other changes that may be necessitated. 10. To appoint or remove any agent(s) or substitute(s) or sub elegate/s with all or any of the powers herein contained in order to enable such agent(s), substitute(s), or sub delegate(s) to exercise all or any of the powers given by me/us to the said attorney.
4 11. To do or omit to do all such acts and things as the Company may in its discretion consider to be necessary or desirable in order to exercise its powers hereunder or to comply with any laws, order rules, regulations or directions of any government or regulatory or other authorities. 12. To retain all original of the documents executed by me/us. 13. My attorney BPL shall not be liable for any loss that may result from failure/inability in electronic connectivity or rejection of my/our application for any reason whatsoever. 14. We the joint holders of demat account agree, ratify and confirm that the client herein above mentioned shall be the exclusive beneficiary of the transactions carried out pursuant to this power of attorney. AN GENERALLY to do, perform and execute all such other acts, deeds, instruments, matters and things for on my/our behalf as the said Attorney may think fit in respect of the above matters as fully and effectually and to all intents and purposes as I/we/myself/ourselves could do if I/we were personally present AN for the further, better and more effectually doing, executing and performing the several matters and things aforesaid. l/we hereby give and grant unto the said Attorney full power and authority from time to time to appoint one or more substitute and substitutes to do, execute and perform all or any of such matters and things as aforesaid and the substitute or substitutes at pleasure to remove and to appoint another or others in his/her place AN I O HEREBY for myself, my heirs, executors and administrators agree to ratify and confirm all and whatsoever my said Attorney shall do or purport to do or cause to be done by virtue of these presents That, I/We hereby declare that all the actions taken by my/our above mentioned attorney (herein BPL) in this regard shall be deemed to be actions done by me/us and if necessary shall be ratified by me/us on the instructions of said attorney and that such actions will be binding on me/us. IN WITNESS WHEREOF I/We [All Investors name First, Second and Third holder, Nominee separated by (coma,)] have here to set our hand(s) at [Place] this [ate] day of [Month],200 [Year]. SIGNE, SEALE AN ELIVERE Sr. Holder Name Signature 1. First Holder 2. Second Holder 3. Third Holder Sr. Witnes Name Address Signature I/We Accept Name, Address and Signature of The Attorney I Authorised Signatory 1. Name Signatory 2. Name Signatory
5 SIP Mandate Form Bonanza Portfolio Limited User I The Manager (Bank Name) (Branch Name) (Address) Telephone No. I hereby authorize Bonanza Portfolio Limited (BPL) to debit my account for making payment to mutual fund companies for the Systematic Investment Plan (SIP) transactions scheduled by myself on Bonanza Portfolio Limited (BPL) website debit transaction will be processed by BPL authorized Service Provider on behalf of BPL. My bank details are mentioned below. A 9-digit MICR Code of The Bank & Branch : (Appearing on the MICR cheque issued by the bank) B Account Type : (S.B. Account/Current Account or Cash Credit) C Ledger No / Ledger Folio No. (For Office Use Only) : Account Holder Name (in Caps) : E Consumer Code : (User I) (For Office Use Only) F Account Number : G Effective ate of the Mandate : H Expiry ate of the Mandate : I Maximum Amount Limit per transaction (Rs.) : (Please mention NA in case you do not want to mention any limit) Terms and Conditions: I/We hereby declare that the particulars given above are correct and express my willingness to make payments referred above through participation in ECS/Standing Instruction/irect ebit. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I/We would not hold the user institution and its Service Provider responsible. I/We will also inform [istributor], about any changes in my bank account. I/We have read and understood the Scheme Information ocument/key Information Memorandum of the Scheme. I/We apply for the units of the Scheme and I/we agree to abide by the terms, conditions, rules and regulations of the scheme. This is to inform I/we have registered for the RBI's Electronic Clearing Service (ebit Clearing) and that my payment towards my investment in mutual fund companies shall be made from my/our above mentioned bank account with your bank. I/We authorize the representative carrying this ECS mandate Form to get it verified & executed. I/We authorize the bank to honor the instructions as mentioned in the application form. I/We also hereby authorize bank to debit charges towards verification of this mandate, if any. I/We undertake to keep sufficient funds in the funding account on the date of execution of ECS/Standing Instruction/irect ebit. I/We hereby declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I/we would not hold the Mutual Fund, istributor, Service Provider or the Bank responsible. If the date of debit to my/our account happens to be a non banking/business day as defined in the Scheme Information ocument of the said Scheme of AMC, execution of the debit will happen as per the normal practice of the bank mandated by the investor and allotment of units will happen as per the Terms and Conditions listed in the Scheme Information ocument of the Mutual Fund. I/We hereby agree to avail the facility for SIP and authorize my bank to execute the ECS/Standing Instruction/irect ebit for a further increase in installment from my designated account. I/We agree that istributor/amc/mutual Fund (including its affiliates)/ Service Provider, and any of its officers directors, personnel and employees, shall not be held responsible for any delay / wrong debits on the par t of the bank for executing the standing instructions of additional sum on a specified date from my account. If the transaction is not effected at all for reasons of incomplete or incorrect information, the user institution would not be held responsible. I/We confirm to have understood the introduction of this facility and agree to abide by the terms, conditions, rules and regulations of this facility. ate: Signature of the 1st Applicant (As per bank account) Signature of the 2nd Applicant (As per bank account)
6 List of ocuments Important Note: Pan Card is Mandatory for all Applicants All copies of documents to be signed by applicant for self attestation. In case KYC is not done for Mutual Funds then you need to send a separate set of copies ocuments as mentioned in KYC forms with the below given documents. Kindly note that all the send documents and information given at the time of registration will be verified by call/ or in person. List of documents for Individual Photograph: Pasted on Application Form & Crossed Signed Pan Card Copy Proof of Identity PAN Card (Mandatory) Proof of address: Anyone of the following valid documents & tick ( ) against the document attached. Latest Telephone Bill (not more than 2 month old) Latest Electricity Bill (not more than 2 month old) Passport riving License (with validity period) Latest Bank Passbook I Bank Account ment Voter Identity Card Ration Card Registered Lease I Sale Agreement of residence Cancel cheque For Non Individual: Copy of PAN Card of respective entity is Mandatory. HUF Pan Card Copy of Karta eed of eclaration Company/ Body Corporate Partnership firms Trusts, Foundations, NGO's, Charitable Bodies, Clubs/ MutualFunds Schemes Unincorporated association or a body of individuals Foreign Institutional Investors (FIIs) Certificate of incorporation Certificate of Registration Certificate of Registration Proof of Existence Constitution ocument Letter and Certificate of Registration issued by SEBI Scheduled Commercial Banks and Registered Financial institutions not incorporated under the companies Act, 1956 I Regulatory Bodies/ Army/ Government Bodies / any other bodies created / incorporate/ registered under state or Central legislation being eligible to invest in Mutual Funds & other securities Memorandum & Articles of Association Partnership deed Trust deed Copy of Constitution I registration documents Latest Bank Pass Book/ ment Board Resolution No Objection Certificate from partners ocument Evidencing Authority to Invest ocument Evidencing Authority to Invest ocument Evidencing Authority to Invest Authorised Signatory List with specimen signatures Please send duly filled & signed Application form with the ocuments at below address: Bonanza Portfolio Limited MF ept, Plot No. M 2, Cama Industrial Estate Walbhat Road, Goregaon East Mumbai For more details kindly call us on or mail on customercare@bonanzaonline.com
7 I Know Your Client (KYC) Application Form (For Individuals Only) Please fill in ENGLISH and in BLOCK LETTERS with black ink A. Identity etails (please see guidelines overleaf) 1. N ame o f A pplicant (As a ppearing i n s upporting i dentification d ocument). Name Father s/spouse Name Application No. : PHOTOGRAPH "Please note that the KYC Application Form and overleaf instructions should be printed on the same page (back to back). If printed separately then both the pages should be attached and signed by the applicant." 2. Gender Male F emale B. Marital status Single M arried C. ate of Birth d d / m m / y y y y 3. N ationality Indian Other (Please s pecify) 4. Status Please tick ( ) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals) 5. PAN Please enclose a duly attested copy of your PAN Card Unique Identification Number (UI)/Aadhaar, if any: Please affix the recent passport size photograph and sign across it 6. Proof of Identity submitted for PAN exempt cases Please Tick ( ) UI (Aadhaar) Passport Voter I riving Licence Others (Please see guideline overleaf B. Address etails (please see guidelines overleaf) 1. Address for Correspondence 2. Contact etails Tel. (Off.) (IS) (ST) Tel. (Res.) Mobile (IS) (ST) Fax Id. 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease/Sale Agreement of Residence riving License Voter Identity Card * Latest Bank A/c ment/passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y 5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease/Sale Agreement of Residence riving License Voter Identity Card * Latest Bank A/c ment/passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y C. Other etails (please see guidelines overleaf) 1. Gross Annual Income etails ( Please tick ( ): Below 1 Lac 1-5 Lac 5-10 Lac Lac > 25 Lacs OR Net-worth in `. (*Net worth should not be older than 1 year) as on (date) d d / m m / y y y y 2. Occupation (Please tick ( ) any one and give brief details): Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Forex ealer Others (Please specify) 3. Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person For definition of PEP, please refer guideline overleaf 4. Any other information: ECLARATION I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. Place: City / Town / Village 4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant ate: (IS) (IS) (ST) (ST) Pin Code City / Town / Village Pin Code AMC/Intermediary name OR code (Originals Verified) Self Certified ocument copies received (Attested) True copies of documents received Main Intermediary FOR OFFICE USE ONLY Seal/Stamp of the intermediary should contain Staff Name esignation Name of the Organization Signature ate IPV one SIGNATURE OF APPLICANT on d d / m m / y y y y Seal/Stamp of the intermediary should contain Staff Name esignation Name of the Organization Signature ate
8 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: Agreement of Residence/riving License/Flat Maintenance 1. Self attested copy of PAN card is mandatory for all clients. bill/insurance Copy. 2. Copies of all the documents submitted by the applicant should be 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill self-attested and accompanied by originals for verification. In case - Not more than 3 months old. the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for 3. Bank Account ment/passbook - Not more than 3 months old. attesting the documents, as per the below mentioned list. 4. Self-declaration by High Court and Supreme Court judges, giving the 3. If any proof of identity or address is in a foreign language, then new address in respect of their own accounts. translation into English is required. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative 4. Name & address of the applicant mentioned on the KYC form, should Bank/Multinationa Foreign Banks/Gazetted Officer/Notary match with the documentary proof submitted. public/elected representatives to the Legislative 5. If correspondence & permanent address are different, then proofs for Assembly/Parliament/ocuments issued by any Govt. or Statutory both have to be submitted. Authority. 6. Sole proprietor must make the application in his individual name & 6. Identity card/document with address, issued by any of the following: capacity. Central/ Government and its epartments, Statutory/Regulatory Authorities, Public Sector Undertakings, 7. For non-residents and foreign nationals,(allowed to trade subject to Scheduled Commercial Banks, Public Financial Institutions, Colleges RBI and FEMA guidelines), copy of passport/piocard/ocicard and affiliated to Universities and Professional Bodies such as ICAI, overseas address proof is mandatory. ICWAI, ICSI, Bar Council etc.,to their Members. 8. For foreign entities, CIN is optional; and in the absence of IN no. for 7. For FII/sub account, Power of Attorney given by FII/sub-account to the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CC (Continuous ischarge Certificate) is to be submitted. 10.For opening an account with epository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11.Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of s or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity( POI): List of documents admissible as Proof of Identity: 1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section ). 2. Unique Identification Number (UI) (Aadhaar) / Passport / Voter I card / riving license. 3. Identity card/ document with applicant s Photo, issued by any of the following: Central/ Government and its epartments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/ebit cards issued by Banks. C. Proof of Address (POA): List of documents admissible as Proof of Address: (*ocuments having an expiry date should be valid on the date of submission.) 1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted.. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50,000/- p.a. 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral evelopment Financial Institutions, Industrial evelopment Corporations, Insurance Companies registered with IRA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name, esignation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest the documents. Please Submit the KYC ocuments on A4 Size Paper Only.
9 N Know Your Client (KYC) Application Form (For Non-Individuals Only) Please fill in ENGLISH and in BLOCK LETTERS with black ink A. Identity etails (please see guidelines overleaf) Application No. : 1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name). "Please note that the KYC Application Form and overleaf instructions should be printed on the same page (back to back). If printed separately then both the pages should be attached and signed by the applicant." 2. ate of Incorporation d d / m m / y y y y Place of Incorporation 3. Registration No. (e.g. CIN) ate of commencement of business d d / m m / y y y y 4. Status Please tick ( ) Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non-Government Organisation efence Establishment Body of Individuals Society LLP Others (Please specify) 5. Permanent Account Number (PAN) (MANATORY) Please enclose a duly attested copy of your PAN Card B. Address etails (please see guidelines overleaf) 1. Address for Correspondence City / Town / Village Postal Code 2. Contact etails Tel. (Off.) (IS) (ST) Tel. (Res.) Mobile (IS) (ST) Fax Id. 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill * Latest Bank Account ment Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf). (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y 4. Registered Address (If different from above) City / Town / Village Postal Code 5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill * Latest Bank Account ment Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf). (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y C. New Other etails (please see guidelines overleaf) 1. Gross Annual Income etails Please tick ( ): Below 1 Lac 1-5 Lac 5-10 Lac Lac 25 Lacs-1 Crore > 1 Crore 2. Net-worth in `. (*Net worth should not be older than 1 year) as on (date) d d / m m / y y y y 3. Name, PAN, IN/UI, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure to fill in the details) 4. Is the entity involved/providing any of the following services YES NO - For Foreign Exchange / Money Changer Services YES NO Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates) YES NO - Money Lending / Pawning YES NO 5. Any other information: ECLARATION I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. AMC/Intermediary name OR code (Originals Verified) Self Certified ocument copies received (Attested) True copies of documents received NAME & SIGNATURE(S) Place: (IS) (IS) OF AUTHORISE PERSON(S) FOR OFFICE USE ONLY (ST) (ST) ate: PHOTOGRAPH Please affix the recent passport size photograph of Authorised Signatory and sign across it Seal/Stamp of the intermediary should contain Staff Name esignation Name of the Organization Signature ate
10 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: Residence/riving License/Flat Maintenance bill/insurance Copy. 1. Self attested copy of PAN card is mandatory for all clients. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 2. Copies of all the documents submitted by the applicant should be self-attested and 3 months old. accompanied by originals for verification. In case the original of any document is not 3. Bank Account ment/passbook - Not more than 3 months old. produced for verification, then the copies should be properly attested by entities 4. Self-declaration by High Court and Supreme Court judges, giving the new address in authorized for attesting the documents, as per the below mentioned list. respect of their own accounts. 3. If any proof of identity or address is in a foreign language, then translation into English 5. Proof of address issued by any of the following: Bank Managers of Scheduled is required. Commercial Banks/Scheduled Co-Operative Bank/Multinationa Foreign 4. Name & address of the applicant mentioned on the KYC form, should match with the Banks/Gazetted Officer/Notary public/elected representatives to the Legislative documentary proof submitted. Assembly/Parliament/ocuments issued by any Govt. or Statutory Authority. 5. If correspondence & permanent address are different, then proofs for both have to be 6. Identity card/document with address, issued by any of the following: Central/ submitted. Government and its epartments, Statutory/Regulatory Authorities, Public Sector 6. Sole proprietor must make the application in his individual name & capacity. Undertakings, Scheduled Commercial Banks, Public Financial Institutions,Colleges 7. For non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council guidelines), copy of passport/piocard/ocicard and overseas address proof is etc.,to their Members. mandatory. 7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians 8. For foreign entities, CIN is optional; and in the absence of IN no. for the directors, (which are duly notarized and/or apostiled or consularised) that gives the registered their passport copy should be given. address should be taken. 9. In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CC 8. The proof of address in the name of the spouse may be accepted. (Continuous ischarge Certificate) is to be submitted.. Exemptions/clarifications to PAN 10. For opening an account with epository participant or Mutual Fund, for amin or, (*Sufficient documentary evidence in support of such claims to be collected.) photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government and/or Board/Passport of Minor/Birth Certificate must be provided. Governmentand by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been 2. Investors residing in the state of Sikkim. entrusted with prominent public functions in a foreign country, e.g., Heads of 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. s or of Governments, senior politicians, senior Government/judicial/military officers, 4. SIP of Mutual Funds upto Rs 50,000/- p.a. senior executives of state owned corporations, important political party officials, etc. 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral evelopment Financial Institutions, Industrial B. Proof of Identity( POI): List of documents admissible as Proof of Identity: evelopment Corporations, Insurance Companies registered with IRA and Public 1. PAN card with photograph. This is a mandatory requirement for all Financial Institution as defined under section 4A of the Companies Act, 1956, applicants except those who are specifically exempt from obtaining PAN (listed in Section ). Custodians shall verify the PAN card details with the original PAN card and provide 2. Unique Identification Number (UI) (Aadhaar)/Passport/Voter I card/riving license. duly certified copies of such verified PAN details to the intermediary. 3. Identity card/ document with applicant s Photo, issued by any of the following: E. List of people authorized to attest the documents: Central/ Government and its epartments, Statutory/Regulatory Authorities, 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Bank or Multinational Foreign Banks (Name, esignation & Seal should be affixed on Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, the copy). ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/ebit cards issued by 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks. Banks registered in India, Notary Public, Court Magistrate, Judge, Indian C. Proof of Address (POA): List of documents admissible as Proof of Address: Embassy/Consulate General in the country where the client resides are permitted to (*ocuments having an expiry date should be valid on the date of submission.) attest the documents. 1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of F. 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