M R O F N IO T A R T IS G E R T Form No : 10C N : LIE : C

Transcription

1 CLIENT REGISTRATION FORM Form No : : : 10C

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3 INSTRUCTIONS/CHECKLIST FOR FILING KYC FORM A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA) copy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. 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 States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. 11. All documents submitted as proofs must be SELF ATTESTED by the client and all joint holders. Signature can be in English, Hindi or any other language mentioned in the Schedule 8th of the Constitution of India. Signature other than in the above mentioned languages and thumb impressions must be attested by a Magistrate or a Notary public or a special executive magistrate under his/her official seal. 12. To help us serve you better, your ID & telephone numbers should be provided including relevant STD/ISD codes 13. Please write your NAME as it appears on your PAN card 14. All correspondence shall be addressed to the First / sole applicant only. 15. Photocopies of a photograph will not be accepted. Photograph submitted should be passport size, front facing and with a plain background. Client should sign across in such a manner where part of the signature is on the photo and other part is on the form. 16. For opening account with Depository participant for a MINOR, photocopy of the School leaving certificate / Marksheet issued by Higher secondary Board /Passport of Minor/Birth certificate must be provided. B. Proof of Identity (POI): List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/ document with applicant's Photo, issued by any of the following: Central/State Government and its Departments, 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/debit cards issued by Banks. C. Proof of Address (POA): List of documents admissible as Proof of Address : (*Documents having an expiry date should be valid on the date of submission) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook -- Not more than 3 months old. Cont. on next page

4 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority. 6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members. 7. The proof of address in the name of the spouse may be accepted (Additionally also give marriage certificate or any other proof for spouse). 8. For Fll/sub account, Power of Attorney given by Fll/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. Note : - Agreement for sale is valid for both Correspondence and Permanent address. Rent agreement / Leave & license agreement is valid only for Correspondence address. Office address or care off addresses cannot be a Permanent address. PROOF OF BANK ACCOUNT (Any one of the following) 1. Cancelled cheque leaf (bearing pre-printed name of the client) 2. Self attested copy of Bank Passport bearing name and address of client. 3. Self attested copy of Bank Statement bearing pre-printed name and address of the client with transaction not more than four months old. Note : In case of Bank Statement / Bank Passbook, it should be with proper Bank logo or to be certified by the Bank and bearing address of the client and MICR code of the branch. Age Proof to be submitted in case nominee of the demat account is a minor. All copies to be self attested by client and all joint holders D. Exemptions/clarifications to PAN: (*Sufficient documentary evidence in support of such claims to be collected.) 1. Transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the State of Sikkim (subject to the continued exemption granted by Government.) 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds uptors 50,000/-p.a. 5. In case of institutional clients, namely, Flls, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA 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 the attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & 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.

5 F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: CORPORATE Types of entity Partnership firm Trust HUF Unincorporated association or a body of individuals Army / Government Bodies Registered Society Banks/Institutional Investors Foreign Institutional Investors (FII) Documentary Requirements Copy of the balance sheets for the last 2 financial years (to be submitted every year). Copy of latest share holding pattern including list of all those holding control, either oirectly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/whole time director/md (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in commodities market. Authorised signatories list with specimen signatures. Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners. Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/ca. Photograph, POI, POA, PAN of Trustees. PAN of HUF Deed of declaration of HUF/ List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta. Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures. Self-certification on letterhead. Authorized signatories list with specimen signatures. Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary. Copy of the constitution / registration or annual report / Balance sheet for the last two financial years. Authorised signatories list with specimen signatures Copy of SEBI registration certificate Authorised signatories list with specimen signatures

6 GENERAL INSTRUCTIONS 1. Please fill in the form in BLOCK LETTERS, with Black Ink and in English Only.(Strike off whichever is not applicable) 2. Please countersign on any over writings / corrections / cancellations 3. If any information required to be given does not fit in the form, an Annexure be attached at that place 4. Please tick appropriate box for the documents given 5. Please make available the original documents at the time of account opening for verification. 6. Kindly submit duly filled form with required documents failing which the form will be liable to be cancelled 7. Please write your NAME as it appears on your PAN card 8. Please specify your complete address with City, State and Pin code as appears on Address Proof. 9. Please ensure that all full signatures are done by the Client at marked places. 10. Copy of PAN Card should be self attested. The Photo on PAN Card should be clearly visible. 11. Proofs submitted by you should be self attested and also verification stamp be affixed from our side as Verified with Original under the signature of our employee. 12 Photocopies of a photograph will not be accepted. Photograph submitted should be passport size, front facing and with a plain background. Client should sign across in such a manner where part of the signature is on the photo & other part is on the form. 13. Please ensure that signature are duly witnessed wherever applicable 14. Please ensure that dates are clearly written at the appropriate places 15. To help us serve you better, your ID & telephone numbers should be provided including relevant STD/ISD codes 16. Checklist is annexed on the last page of the kit for your reference. Mark for Signatures Client Signature (Authorised Signatory) Introducer Witness Edelweiss does not accept subscription fee or any other fee/ payment in cash. Please do not make any payment in cash.

7 INDEX Sr. No. Document Brief Significance of the Document MANDATORY SECTION Page No. 1. Financial Status and other details Clients financial information under PMLA act, KYC (Account Opening) application form KYC form - Document captures the basic information about the constituent and an instruction/check list Fatca Declaration Certificate of Foreign Status of Beneficial Owner for United States Tax withholding NON-MANDATORY SECTION 4. Options Trading Consent for enabling trading in Commodity Options Risk Disclosure Options Trading Risk Disclosure documents for Options Trading Declaration - ECN Electronic Contract Note (ECN) - Declaration Declaration Declarations by Client for acceptance of KYC document booklet Declaration Declarations for further represent & documentation Authorisation to maintain running account Authorisation by client to Broker for maintaining of running account Declaration - NCDEX Declaration w.r.t. open position limits Declaration - MCX Declaration w.r.t. open position limits Declaration - NCDEX Declaration w.r.t. value of transactions Authorisation for sharing of data and information Authorisation by Client to Broker for sharing of data and information Authority for RTGS/NEFT Authorisation by Client to Broker to remit funds payout electronically 22 Note : In terms of circular of MCX : Ref No MCX/551/2006 dated December 13, 2006, NCDEX : Ref No NCDEX/COMPLIANCE-004/2006/331 dated December 8, 2006 and pursuant to the directions of the Forward Markets Commission (FMC), we hereby inform you that we do not indulge in any Portfolio Advisory Services, Portfolio Management Services and such other services either directly or indirectly.

8 Edelweiss Comtrade Limited Exchange Registered as Registration Number and Member Code Registration date MCX Trading cum Clearing Member INZ Member Code /12/2016 NCDEX Trading cum Clearing Member INZ Member Code /07/2016 NEML Trading cum Clearing Member Member Code /06/2009 Particulars Registered Office Correspondence / Corporate Office Address Ph: Tel no Fax Website Unit No , 8th Floor, Abhishree Avenue, Nehru Nagar, Ambawadi, Ahmedabad / Edelweiss House, Off C.S.T. Road, Kalina, Mumbai Particulars Name Phone no ID Compliance Officer details Mr. Kamlesh Gujar / / comtrade.compliance@edelweissfin.com For any grievance/dispute please contact Edelweiss Comtrade Ltd at the above address or at comtradehelp@edelweiss.in or call on our toll free no In case not satisfied with the response, please contact the concerned exchange(s) as under : Exchange(s) MCX NCDEX NEML ID grievance@mcxindia.com askus@ncdex.com askus@ncdexspot.com Contact No

9 FINANCIAL STATUS AND OTHER DETAILS The information is sought under the Prevention of Money Laundering Act, 2002, the rules notified there under and SEBI/FMC and Exchange Guidelines issued on Anti Money Laundering a. Annual Income (Last 3 years from the date of the opening of this account) st 1 Year : C. Please tick mark the additional applicable category to you Non resident client High net-worth client (having annual income + networth of more than `. 1 crore) Trust,Charities, NGOs and organizations receiving donations, Company having close family shareholdings or beneficial ownership Civil Servant or family member or close relative of civil servant Bureaucrat or family member or close relative of bureaucrat Current or Former MP or MLA or MLC or their family member or close relative Politician or their family member or close relative Current or Former Head of State or of Governments or their family member or close relative upto Rs. 1 lac Rs. 1 lac to Rs. 2 lacs Rs. 2 lacs to Rs. 5 lacs Rs. 5 lacs to Rs.10 lacs Rs. 10 lacs to Rs. 25 lacs Rs. 25 lacs to Rs. 50 lacs Rs. 50 lacs to Rs. 1 crore Rs. 1 crore to 5 crore Above 5 crore nd 2 Year : upto Rs. 1 lac Rs. 1 lac to Rs. 2 lacs Rs. 2 lacs to Rs. 5 lacs Rs. 5 lacs to Rs.10 lacs Rs. 10 lacs to Rs. 25 lacs Rs. 25 lacs to Rs. 50 lacs Rs. 50 lacs to Rs. 1 crore Rs. 1 crore to 5 crore Above 5 crore nd 3 Year : upto Rs. 1 lac Rs. 1 lac to Rs. 2 lacs Rs. 2 lacs to Rs. 5 lacs Rs. 5 lacs to Rs.10 lacs Rs. 10 lacs to Rs. 25 lacs Rs. 25 lacs to Rs. 50 lacs Rs. 50 lacs to Rs. 1 crore Rs. 1 crore to 5 crore Above 5 crore b. Networth Details (as on the date of account opening) upto ` 1 lac ` 1 lac to ` 2 lacs ` 2 lacs to ` 5 lacs ` 5 lacs to `10 lacs ` 10 lacs to ` 25 lacs ` 25 lacs to ` 50 lacs ` 50 lacs to ` 1 crore ` 1 crore and above Senior government/judicial/ military officers or their family member or close relative Senior executives of state-owned corporations or their family member or close relative Companies offering foreign exchange offerings None of the above I hereby further confirm/undertake that the investments/trading done in commodities market are from my own/borrowed sources of funds and I confirm that the funds utilized for trading activity by me is in compliance with the rules, regulations and guidelines stipulated under PMLA Client Name : (1) (Client Signature / Authorised Signatory) 1

10 NON-INDIVIDUAL - KNOW YOUR CLIENT (KYC) APPLICATION FORM Edelweiss Comtrade Limited Please fill this form in ENGLISH and in BLOCK LETTERS. A. IDENTITY DETAILS NAME DATE OF INCORPORATION: DATE OF COMMENCEMENT OF BUSINESS REGISTRATION NO. (e.g. CIN): Status (please tick any one) B. ADDRESS DETAILS ADDRESS FOR CORRESPONDENCE PLACE OF INCORPORATION: PAN Private Limited Co. Public Ltd. Co. Body Corporate Partnership Trust Charities NGO's FI FII FPI-Category I FPI-Category II FPI-Category III HUF AOP Bank Government Body Non-Government Organization Defence Establishment BOI SOCIETY LLP OTHERS (please specify) Form No : (In case of foreign entity or entity with foreign shareholders, self certified copy of statutory approval obtained must be attached). CITY/TOWN VILLAGE PIN COUNTRY CONTACT DETAILS: TEL. (OFF): MOBILE FAX SMS FACILITY YES NO ID Specify the proof of address submitted for Correspondence address : REGISTERED ADDRESS: (If different from above) CITY/TOWN VILLAGE STATE PIN COUNTRY Specify the proof of address submitted for Registered address : OTHER DETAILS Name, Pan, Residential Address and Photographics of Promoters/Partners/Karta/Trustees and Whole time Directors (Refer annexure on page 4) Address for Communication (Default is Registered / Foreign Address) STATE TEL. (RES.): CORRESPONDENCE ADDRESS REGISTERED / FOREIGN ADDRESS 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. Date : Client Signature / Authorised Signatory (2) FOR OFFICE USE ONLY In person Verification (IPV) Details :- Name of the Person who has done the IPV : Designation : Employee ID : Name of the Organisation : Date of IPV : Signature of the person who has done the IPV Originals verified and self attested document copies received. Seal /Stamp of the Intermediary 2 Signature of the Authorised Signatory

11 Name Relationship with Applicant Pan No Residential Address City State Nationality Tel No ID Please tick, if applicable Name Relationship with Applicant Pan No Residential Address City State Nationality Tel No ID Please tick, if applicable Name Relationship with Applicant Pan No Residential Address City State INFORMATION ABOUT AUTHORISED PERSONS / KARTA / PARTNERS / PROMOTERS / KEY MANAGERIAL PERSONNEL / WHOLETIME DIRECTORS Promoters/Partners/Karta/Trustees/Directors/Authorized Persons Res UID/Aadhar No.* DIN No Pin Code Country Residential Status Indian / NRI /Others Mobile Affix Recent Photograph Sign accross the Photograph (Specimen Signature) Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) None Promoters/Partners/Karta/Trustees/Directors/Authorized Persons Res UID/Aadhar No.* DIN No Pin Code Country Residential Status Indian / NRI /Others Mobile 1 S Affix Recent Photograph Sign accross the Photograph (Specimen Signature) Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) None Promoters/Partners/Karta/Trustees/Directors/Authorized Persons UID/Aadhar No.* DIN No Pin Code Country 1 S Affix Recent Photograph Sign accross the Photograph Nationality Tel No Residential Res Indian / NRI /Others Mobile ID Status 1 S (Specimen Signature) Please tick, if applicable Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) None In case of more than one Authorised Person/Partner/Promoters/Key Managerial Personnel / Whole Time Director please attach additional sheet (s) providing following details. Signature Verified by Name and Signature of the Authorised Signatory(ies) 3

12 C. OTHER DETAILS Gross Annual Income Details (Please tick ( ): Below 1 Lac 1-5 Lac 5-10 Lac Lac 25 Lacs - 1 Crore 1 Crore to 5 Crore > 5 Crore Net-worth in `. (*Net worth should not be older than 1 year) as on (date) d d / m m / y y y y NATURE OF BUSINESS (Products/Services provided: D. BANK ACCOUNT(S) DETAILS 1. BANK NAME ACCOUNT DETAILS ACCOUNT NO. BRANCH ADDRESS CITY STATE MICR CODE NEFT / IFSC CODE ACCOUNT TYPE: SAVINGS CURRENT OTHERS 2. BANK NAME ACCOUNT NO. BRANCH ADDRESS CITY STATE MICR CODE NEFT / IFSC CODE ACCOUNT TYPE: SAVINGS CURRENT OTHERS COUNTRY COUNTRY PIN PIN NOTE :- Provide a copy of cancelled cheque leaf/ Pass book/ Bank statement specifying name of the client, MICR code and or IFSC code of the Bank E. TRADING PREFERENCES *Please sign in the relevant boxes with which exchange you wish to trade. The exchange not chosen should be struck off by the client. Sr. No # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/ letter should be taken from the client by the stock broker. Clients opting for trading in Derivative segment should give additional documents as mentioned in the Instructions F. PURPOSE OF TRADING: Name of National Commodity Exchange Multi Commodity Exchange of India Ltd., (MCX) National Commodity & Derivatives Exchange Ltd., (NCDEX) NCDEX e Markets Limited (NEML) Hedging Investment Others (Specify) G. INVESTMENT/TRADING EXPERIENCE Date of consent for trading on concerned exchange Client Signature / Authorised Signatory (3) (4) (5) No Prior Experience Years in Commodities Years in other investment related fields 4

13 GST DETAILS GST Registration No. : H. PAST REGULATORY ACTIONS Details of any action / proceedings initiated / pending / taken by FMC / SEBI / Stock exchange / Commodity exchange / any other authority against the client dealing in commodities during the last 3 years: I. DEALINGS THROUGH AUTHORIZED PERSONS AND OTHER MEMBERS If client is dealing through any other Member / Authorized Person (AP), provide the following details (incase dealing with multiple Members/APs, provide details of all in a separate sheet containing all the information as mentioned below) : Member s / AP s Name: Exchange: Exchange s Registration number: Concerned Member s Name with whom the AP is registered: Registered office address: Pin Code: Phone : Fax : ID: Website: Client Code : Details of disputes/dues pending from/to such Member/AP: J. ADDITIONAL DETAILS Whether you wish to receive communication from member in electronic form on your id {Yes / No} - (If yes then please fill in Appendix A} Physical Contract Note Electronic Contract Note If ECN has been selected, provide your id: If you wish to receive Electronic Contract Note (ECN), an 'ECN declaration form' via would need to be provided as per the format and procedure given. The ECN declaration form should normally be in English. In case you are not conversant with the English language, the ECN form should be bi-lingual i.e., in English and the local language known to you. You can revoke the ECN facility and opt for the contract note in the physical form only by giving 7 working days notice to the member and copy of the same would be retained by you. Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Internet Trading INITIAL CHEQUE DETAILS CHEQUE FOR : ACCOUNT OPENING FEES SUBSCRIPTION FEES MARGIN ACCOUNT OPENING FEES `.: BANK : CHEQUE NO. SUBSCRIPTION FEES `.: BANK : CHEQUE NO. MARGIN AMOUNT `.: BANK : CHEQUE NO. 5

14 K. INTRODUCER DETAILS Name of the Introducer : (Surname) (Name) (Middle Name) Status of the Introducer: Authorized Person Existing Client Others, please specify : Address of the Introducer : PAN No. Rem Code Signature of the Introducer and Phone No. DECLARATION 1. 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. 2. I/We confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non-mandatory documents. 3. I/We further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document and Do s and Dont s. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on Member s designated website, if any. Place: Date: FOR OFFICE USE ONLY (6) Name and Signature of the Authorised Signatory(ies) UCC Code allotted to the Client: Documents verified with Originals In-Person Verification verified by Name of the Employee Employee Code Designation of the Employee Branch Name Date Signature I/We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of Rights and Obligations document (s), RDD, Do s and Don ts and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the voluntary/non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the Rights and Obligations and RDD would be made available on my/our website, if any, for the information of the clients. For Edelweiss Comtrade Limited Authorised Signatory (Seal/Stamp of the Member) Date : 6

15 FATCA CRS Declaration for Entities Details of ultimate beneficial owner including additional FATCA & CRS information (please include other references for completeness sake) 1. Name of the entity: 2. Customer ID: 3. Address of tax residence(including city, state, country and pin code) 4. Address Type: (Business or Registered office) 5. Country of incorporation: 6. City of incorporation: 7. Entity Constitution Type: (A- Partnership Firm, B HUF, C- Private Limited Company, D- Public Limited Company, E- Society, F- AOP/BOI, G Trust, H Liquidator, I Limited Liability Partnership, J- Artificial Juridical Person, Z Others specify ) 8. Date of Incorporation: (in DD/MM/YYYY format)(mandatory if valid PAN is not reported) 9. PAN 10. Mobile / Telephone Number (including ISD and STD code) 11. Identification type and Identification Number (if TIN or US GIIN not provided): Company Identification Number, Global Entity Identification Number, Other(please specify & provide) 12. Issuing country for identification number provided in 11. Above Please tick the applicable tax resident declaration:(any one) Entity is a tax resident of India and not tax resident of any other country OR Entity is a tax resident of the country/ies mentioned in the table below Please indicate the country/ies in which the entity is a resident for tax purposes and the associated Tax ID Number below: Country(ies) of tax residency # % Tax Identification Number % Identification Type (TIN or Other, please specify) % In case Tax Identification Number is not available, kindly provide functional equivalent1 In case the Entity s Country of Incorporation/Tax residence is U.S. but Entity is not a Specified U.S. Person, mention Entity s exemption code 2 here: 7

16 FATCA & CRSdeclaration (Please consult your professional tax advisor for further guidance on FATC & CRS classification) Part A(to be filled by Financial Institutions or Direct Reporting NFEs) 1 We are a Financial institution 3 or references to corresponding footers Direct reporting NFE 4 (please tick as appropriate) GIIN: Note: If you do not have a GIIN but you are sponsored by another entity, please provide your sponsor s GIIN above and indicate your sponsor s name below: Name of sponsoring entity: GIIN not available (please tick as applicable): Following options available only for Financial Institutions: Applied for Not required to apply for (Please specify sub- 5 category ) Please provide with Form W8-BEN-E, duly filled in Not obtained Non-participating FI 1 It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such identifiers. If no TIN is yet available or has not yet been issued, please provide an explanation and attach this to the form. 2 Refer 3(viii) of Part D 3 Refer 1 of Part D 4 Refer 3(vii) of Part D 5 Refer 1A. of Part D Part B (please fillany one as appropriate; to be filled by NFEs) 1 Is the Entity a publicly traded company 6 (that is, a company whose shares are regularly traded on an established securities market) Please provide reference to corresponding footers Yes (If yes, please specify any one stock exchange upon which the stock is regularly traded) Name of the stock exchange 2 Is the Entity a related entity of a publicly traded company 7 - a company whose shares are regularly traded on anestablished securities market Yes Name of the listed company, the stock of which is regularly traded (If yes, please specify any one stock exchange upon which the stock is regularly traded) Name of the stock exchange Nature of relation: Subsidiary of the listed company Controlled by a listed company 3 Is the Entity an active NFE 8 Yes Nature of business Please specify the sub-category of Active NFE: (Mention code refer 2c of Part D) 4 9 Is the Entity a passive NFE if yes, please fill Part C Yes Nature of business 6 Refer 2a of Part D 7 Refer 2b of Part D 8 Refer 2c of Part D 9 Refer 3(ii) of Part D 8

17 Part C (to be filled only by Passive NFEs) 10 Please list below the details of each controlling person(s), confirming ALL countries of tax residency/ permanent residency/ citizenship and ALL Tax Identification Numbers for EACH controlling persons (Please attach additional sheets if necessary): Name Country of tax residency* Residence Address for tax purpose (include City State, Country & Pin code) Telephone/mobile number with ISD code Tax identification number (or functional equivalent) for each country identified in relation to each person% Identification Type (TIN or Other, please specify) 11 Controlling person type code Controlling Person 1 Controlling Person 2 Controlling Person 3 Controlling Person 4 Controlling Person 5 Controlling Person 6 Additional details to be filled below ONLY by controlling persons having tax residency/permanent residency/citizenship in any country other than India including green card holders: Customer ID (if allotted) Gender (Male, Female, Others) City of Birth Country of birth Occupation Type (Service, Business, Others) Nationality Father s Name (if PAN not available) Birth Date PAN Address type for address mentioned above (Residence or business, Residential, Business, Registered office) Identification Type (Documents submitted as proof of identity of the individual)@ Identification Number (Mandatory if PAN or Aadhaar number is not reported) Spouse s name (optional) Aadhaar Number (optional) Controlling Person 1 Controlling Person 2 Controlling Person 3 Controlling Person 4 Controlling Person 5 Controlling Person 6 10 Refer 3 (iv) of Part D 11 Refer 3(iv) (A) of Part D 9

18 * To include US, where controlling person is a US citizen or green card holder % 1 In case Tax Identification Number is not available, kindly provide functional Permissible values are: Passport Election ID card PAN Card ID Card Driving License UIDAI Letter NREGA Job card Others FATCA CRS Terms and Conditions The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income-tax Rules, 1962, which Rules require Indian financial institutions such as the Bank to seek additional personal, tax and beneficial owner information and certain certifications and documentation from all our account holders. In relevant cases, information will have to be reported to tax authorities/ appointed agencies. Towards compliance, we may also be required to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding from the account or any proceeds in relation thereto. Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days. Please note that you may receive more than one request for information if you have multiple relationships with Edelweiss Comtrade Limited or its group entities. Therefore, it is important that you respond to our request, even if you believe you have already supplied any previously requested information. If you have any questions about your tax residency, please contact your tax advisor. If you are a US citizen or resident or greencard holder, please include United States in the foreign country information field along with your US Tax Identification Number. Certification I have understood the information requirements of this Form (read along with the FATCA/CRS Instructions) and hereby confirm that the information provided by me on this Form is true, correct, and complete. I also confirm that I have read and understood the FATCA CRS Terms and Conditions and hereby accept the same. Name: Designation Client Signature / Authorised Signatory (7) 99 Date: Place: D D M M Y Y Y Y 10

19 CONSENT FOR ENABLING TRADING IN COMMODITY OPTIONS To Edelweiss Comtrade Ltd. Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sir, I/We a registered client with you having a trading account code, hereby agree that: I have submitted my requisite KYC details at the time of account opening and afterwards for any modification in KYC details I wish to trade in commodity options subject to regulatory requirements of the Exchange and SEBI from time to time? I have read and understood the Additional Risk Disclosure documents for Options Trading covering Risk of Option Holders and Risk of Option Writers as provided to me. I give my consent for the brokerage on commodity options to be levied at Rs.200/- per lot. Client name: Unique Client Code: Signature of Client (Authorized signatory in case of non Individual with Seal) Date: Place: Enclosure - (In case of Non Individual Clients) : 1. Board resolution from Board of Directors/Trustee containing that Corporate/Trust is authorized to trade in Commodity Options on National Commodity Exchanges. 2. Current Partnership deed / Memorandum of Association and Articles of Association / Trust deed / (Name of document) covering the authorization to trade in Commodity Options on National Commodity Exchanges. Please Note You are requested to share the 15 digit Goods and Services Tax Identification Number (GSTIN) of your location by going to link (without prefixing www ) on and update the annexure for providing the information required by us to ensure seamless flow of GST credit as per provisions under proposed GST law. On entering the portal, you will be prompted for User Name which will be combination of first 3 characters of your /entity name and first 6 characters of your/entity PAN. For e.g. XYZ Ltd. and PAN no - ABCCX9999Z, the user name for this vendor will be XYZABCCX9. Further, request you to also attach the copy of the GST registration certificate of the entities registered. 11

20 ADDITIONAL RISK DISCLOSURE DOCUMENTS FOR OPTIONS TRADING Risk of Option holders: 1. An option holder runs the risk of losing the entire amount paid for the option in a relatively short period of time. This risk reflects the nature of an option as a wasting asset which becomes worthless when it expires. An option holder who neither sells his option in the secondary market nor exercises it prior to its expiration will necessarily lose his entire investment in the option. If the price of the underlying does not change in the anticipated direction before the option expires, to an extent sufficient to cover the cost of the option, the investor may lose all or a significant part of his investment in the option. 2. The Exchanges may impose exercise restrictions and have absolute authority to restrict the exercise of options at certain times in specified circumstances. Risks of Option Writers: 1. If the price movement of the underlying is not in the anticipated direction, the option writer runs the risks of losing substantial amount. 2. The risk of being an option writer may be reduced by the purchase of other options on the same underlying interest and thereby assuming a spread position or by acquiring other types of hedging positions in the options markets or other markets. However, even where the writer has assumed a spread or other hedging position, the risks may still be significant. A spread position is not necessarily less risky than a simple 'long' or 'short' position. 3. Transactions that involve buying and writing multiple options in combination, or buying or writing options in combination with buying or selling short the underlying interests, present additional risks to investors. Combination transactions, such as option spreads, are more complex than buying or writing a single option. And it should be further noted that, as in any area of investing, a complexity not well understood is, in itself, a risk factor. While this is not to suggest that combination strategies should not be considered, it is advisable, as is the case with all investments in options, to consult with someone who is experienced and knowledgeable with respect to the risks and potential rewards of combination transactions under various market circumstances. Further, please note that in absence of the GST number or incorrect GST number, GST credit will not be available to you, as we will not be able to show the GST charged by us against your GST number. Please note that we will not be able to entertain any financial claim from you in this regard, unless the correct GST details have been provided to us 12

21 Appendix A (VOLUNTARY) Electronic Contract Note [ECN] DECLARATION To, Edelweiss Comtrade Ltd Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sir, I/We, a client with Member Edelweiss Comrade Limited of MCX, NCDEX, NEML Exchange undertake as follows: I/We am aware that the Member has to provide physical contract note in respect of all the trades placed by me/us unless I/we myself/ourselves want the same in the electronic form. I/We am aware that the Member has to provide electronic contract note for my/our convenience on my/our request only. Though the Member is required to deliver physical contract note, I/we find that it is inconvenient for me/us to receive physical contract notes. Therefore, I/We am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me/us. I/We have access to a computer and am/are a regular internet user, having sufficient knowledge of handling the operations. My/Our ID is *. This has been created by me/us and not by someone else. I/We am/are aware that this declaration form should be in English or in any other Indian language known to me. I/We am/are aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above ID. [The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me/us. I/We am/are aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same] Client Name : Unique Client Code : (The ID must be written in own handwriting of the client) PAN : Address : Client Signature / Authorised Signatory (8) Date : Place : Verification of the client signature done by, For Edelweiss Comtrade Limited (Name of the designated officer of the Member) Signature : (Signature of Designated Officer) 13

22 Declaration for Opening Commodity account Along with Acceptance of KYC Document Booklet. By signing this document you confirm that you have read and understood the T&C, Rights and Obligations, Risk Disclosure, Policy and General Information mentioned in the additional booklet. You also confirm that all information furnished by you in this form is true. 1. I am desirous of opening the Commodity account with Edelweiss Comtrade Limited and I am in the process of executing client registration documents relating to the trading in commodity derivatives. 2. I have furnished all the details required in the KYC form as per SEBI and Commodity Exchanges confirm having read/been explained and understood the contents of the KYC documents which are provided to me in separate booklet. The KYC document booklet includes the following :- a) Instructions and Checklist for filling the KYC form Page No. 1 to5 b) Instructions for filling CKYC form Page No. 6 to 12 c) Instructions for filling FATCA form d) Information on Anti money Laundering e) Rights and Obligations f) Risk Disclosure Documents g) Guidance Note h) Policies and Procedures i) Terms and Conditions Page No. 13 to 14 Page No. 15 to 16 Page No. 17 to 33 Page No. 34 to 39 Page No. 40 to 41 Page No. 42 to 48 Page No. 49 to I understand and agree that any amendment/modifications as required by the exchanges and/or regulators will be applicable to me at all point of time and I understand that these changes will be intimated to me. 4. I understand that the KYC document booklet is in accordance of the exchanges and/or SEBI requirements applicable for opening trading account. 5. The KYC documents cover the additional terms and conditions mentioned at point no. 2 mentioned above and I hereby givemy consent for additional terms and conditions. 6. I understand that as additional control Edelweiss Comtrade Limited have registered the KYC documents related to opening of Commodity trading account and registered by Edelweiss Comtrade Limited with the Sub-Registrar of Assurances, Mumbai and same is available with the registrar for records and reference purpose. This is not mandated by SEBI. 7. I confirm having read/been explained and understood the contents of the documents on policy and procedures of the Commodity broker and the tariff sheet and their Terms & Conditions in the booklet. 8. I have received the booklet with above mentioned contents. 9. I have received and read the Rights and Obligations document and Terms and conditions and agree to abide by and be bound by the same and by the Bye laws as are in force from time to time. I declare that the particulars given by me above are true and to the best of my knowledge as on the date of making this application. I agree and undertake to intimate any change(s) in the details / particulars mentioned by me in this form. I further agree that any false / misleading information given by me or suppression of any material information will render my account liable for termination. Client Name : Date : (9) Client Signature / Authorised Signatory 14

23 Voluntary Document To, Edelweiss Comtrade Limited Edelweiss House, Opp. CST Road, Kalina, Mumbai I / We represent, declare and undertake as under: Subject: Further Representations and Declarations cum Undertaking I. I / We maintain a trading account with Edelweiss Comtrade Limited (Comtrade) and also maintain Comtrack account with Edelweiss Broking Limited (Comtrack Participant) collectively herein referred to as Edelweiss. II. III. IV. I/ We intend to execute delivery based buy and/or sell transactions in such of the commodities allowed by MCX/NCDEX/other Commodity Exchanges and/or by Edelweiss through my/our trading and/or comtrack account maintained with Edelweiss and for the purpose have read and understood the Rules / Regulations / Terms and Conditions for delivery based trading stipulated by concerned Regulating Authority and/or Authorities and / or Edelweiss and declare and undertake to always comply / abide such rules/regulations/terms and conditions as may be applicable from time to time; I/ We hereby declare that, I/we would undertake such delivery based commodity trading only upon knowing full consequences in respect of the losses which may arise on any count including but not limited to the Fire, Flood, Earthquake, Burglary, and Spontaneous Combustion of Agro Goods kept in the Commodity Exchange/s accredited or non-accredited warehouses in physical/electronic Form, liquidation of such commodity trades on expiry dates or otherwise; I/ We also undertake to bear all the losses arising on account of the seizure which may arise due to the stock holding limits which may be imposed by the different states from time to time under the Essential Commodities Act,1955 and/or any other applicable regulations; V. I/ We also undertake to accept the perils attached with Local Sales Tax Laws, and under applicable rules/laws including but not limited to the Agricultural Produce Marketing Committee (APMC) or any other statutory body s rules and the amendments thereto which may have the effect to change the entire value of the underlying commodities traded and/or held by me/us, at relevant times; VI. With regard to Voluntary document tilted Terms and Conditions executed and submitted by me/us with Edelweiss for the purpose of opening trading account and/or comtrack account with Comtrade and/or Edelweiss herein referred to and more particularly clauses relating to Trade obligations and Conditions of the use of the services referred to therein, I/We herein further declare, undertake and irrevocably authorize Comtrade and/or Edelweiss that:- A. In case there were to be any default committed by me/us towards margin and/or other payments during the course of trading and more particularly commitment or continuation of any default by me/us on the Expiry date (Date) or the Final Expiry Date(FED) (Date) or under any other situation warranting such liquidation (Date) in respect of the commodity traded by me/us where such Date may be stipulated by the concerned Regulator/Commodity Exchange or Edelweiss or accredited or non-accredited warehouse of the Exchange or its assayer where the commodity is kept by me/us, then in such a situation, I/we hereby specifically and severally authorize Comtrade and Edelweiss to liquidate such commodity either in part or in full for and on my/our behalf and upon my/our cost upon such terms and conditions and in such manner as Comtrade and Edelweiss may deem it fit and proper; B. For the purpose of enabling Comtrade and/or Edelweiss initiating actions contained herein above at clause (A), I/We hereby further severally authorize Comtrade and/or Edelweiss from time to time to take all requisite actions as may be deemed fit and proper including but not limited to appoint/engage C&F Agents and/or third parties for my/our behalf and at my/our cost, provide requisite instructions/writings to C&F Agents and/or third parties for and on my/our behalf for such liquidation trades/transactions, not allowing any further trade until settlement of dues is completed for such trades/transactions by me/us and to transfer such commodity to its pool account for and on my/our behalf for liquidation purposes so as to effectively carry out my/our instructions/authorizations herein contained and herein provided in favour of Comtrade and/or Edelweiss ; 15

24 C. I/We hereby further agree undertake and indemnify to fully reimburse and pay to Comtrade and /or Edelweiss against all costs, charges, fees and/or expenses which Comtrade and/or Edelweiss may have to incur while carrying-out the actions referred to herein this; D. I/We hereby further declare and agree that this declaration cum undertaking forms part and parcel of KYC documents submitted by me/us to Comtrade and/or Edelweiss and be always read and interpreted in conjunction therewith. Further, I/We hereby agree that in pursuance of this declaration cum undertaking, I/We hereby ratify all actions which may have been initiated by Comtrade and/or Edelweiss relating to any of my /our trades and transactions; and VII. I / We also further declare and undertake that I/We shall always indemnify and/or keep Edelweiss Comtrade Limited and Comtrack Participant (Edelweiss Broking Limited) and / or to any of the associate / group companies of Edelweiss with which I/We shall have dealings of whatever nature and any/all of its/their respective Directors/officials/employees and each of them always indemnified against all costs/charges and/or losses as may arise on account of each of them severally acting in pursuance of this declaration-cum-undertaking-cum-authorization and indemnification and further declare and undertake that under no circumstances it/they shall be severally held liable and/ or responsible for any cost/charges/loss incurred by me/us on account on any trades/transactions for any of the above mentioned events herein contained. Name Trading Code: Comtrack Account ID: Witness: Name: Address: Signature Place: Date: This Spac e is Intentiona lly Ke pt Blank 16