ANNEXURE O TRANSMISSION FORM Date

Transcription

1 To, Marwadi Shares & Finance Ltd. Marwadi Financial Plaza, Off. 150 Feet Ring Road, Rajkot. (1) I/We, the undersigned, being the ANNEXURE O TRANSMISSION FORM Date Executor(s) of the Will Administrator(s) of the Estate Successor(s) to the Estate Legal heir(s) Joint holder(s) Nominee Survivors of HUF of Mr./Mrs./Ms., Mr./Mrs./Ms. and Mr./Mrs./Ms., the deceased, of which *nomination / probate/ letter of administration / succession certificate was duly granted to me / us on the day of of hereby request you to register me/us as the beneficial owner(s) in respect of the securities standing in the name of the said deceased under Client ID DP ID IN (2) I/We give hereunder the details of my/our account with a Participant to which the security balances are requested to be transmitted: Name Client ID DP ID FOR OFFICE USE ONLY Branch Received By & Receipt No. Document Verified by Authorised Signatory Approval I Approval II Approval III Closed by

2 (3) List of Documents enclosed (for Individual accounts) (tick as applicable): A For surviving holder(s) in a joint account Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer. B For nominee of the deceased: Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer. In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the nominee. C For legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding not exceeding Rs.5 lakh on the date of application Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the claimant. Indemnity (format given at Annexure OC) Affidavit (format given at Annexure OD) No objection certificate(s) (format given at Annexure OE) Family Settlement Deed [as an alternate to No objection certificate(s)] D For legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding was Rs. 5 lakh or more on the date of application Copy of death Certificate duly attested by a Notary Public or by a Gazetted Officer In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the claimant. Succession certificate Letter of Administration Probate of the Will (4) Declaration: (Applicable only for legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding not exceeding Rs. 5 Lakh on the date of application) We declare that the below mentioned person(s) are the only legal heir(s) of the deceased and there are not other legal heir(s). Of these, as specified below, some/all of them are claimants and some of them have given a No Objection Certificate in favour of other legal heir(s). Details are given below: Sr. No. Name of the legal heir(s) Specify whether a claimant or given a No Objection Certificate

3 (5) List of Documents enclosed (for HUF accounts) (tick as applicable): A Value of holding not exceeding Rs.10 lakh on the date of application. [Where there is an objection from any member of HUF, documents mentioned at B below must be submitted] Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer. Indemnity (format given at Annexure OF) Affidavit (format given at Annexure OG) B Value of holding was Rs. 10 lakh or more on the date of application. Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer Court Decree Deed of Partition C Separation/ partition of HUF: Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer Settlement Deed Deed of Partition Court Decree (6) Signatures: Sr. No. Name of claimant Signature of claimant Notes:1. This request form should be signed by the surviving joint holder(s)/ legal heir(s)/ legal representative(s)/ nominee / all surviving members of the HUF, as the case may be. 2. * Strike off whichever is not applicable.

4 N Know Your Client (KYC) Application Form (For Non-Individuals Only) Please fill in ENGLISH and in BLOCK LETTERS with black ink A. Identity Details (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. Date of Incorporation d d / m m / y y y y Place of Incorporation 3. Registration No. (e.g. CIN) Date 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 Defence Establishment Body of Individuals Society LLP Others (Please specify) 5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card B. Address Details (please see guidelines overleaf) 1. Address for Correspondence City / Town / Village Postal Code State Country 2. Contact Details Tel. (Off.) (ISD) (STD) Tel. (Res.) Mobile (ISD) (STD) 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 Statement 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 State Country 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 Statement 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 Details (please see guidelines overleaf) 1. Gross Annual Income Details 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, DIN/UID, 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: DECLARATION 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 Document copies received (Attested) True copies of documents received NAME & SIGNATURE(S) Place: (ISD) (ISD) OF AUTHORISED PERSON(S) FOR OFFICE USE ONLY (STD) (STD) Date: PHOTOGRAPH Please affix the recent passport size photograph of Authorised Signatory and sign across it Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date

5 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: Residence/Driving 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 Statement/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/Documents 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/State submitted. Government and its Departments, 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 DIN 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 CDC 8. The proof of address in the name of the spouse may be accepted. (Continuous Discharge Certificate) is to be submitted. D. Exemptions/clarifications to PAN 10. For opening an account with Depository 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 State 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. States 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 Development Financial Institutions, State Industrial B. Proof of Identity( POI): List of documents admissible as Proof of Identity: Development Corporations, Insurance Companies registered with IRDA 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 D). Custodians shall verify the PAN card details with the original PAN card and provide 2. Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/driving 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/State Government and its Departments, 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, Designation & 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/debit 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 (*Documents 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. Incase of Non-Individuals, additional documents tobe obtained from non-individuals, over & above the POI & POA, as mentioned below: Types of entity Corporate Partnership firm Trust HUF Unincorporated Association or a body of individuals Banks/Institutional Investors Foreign Institutional Investors (FII) Army/Government Bodies Registered Society 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 directly 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 securities 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 Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years Authorized signatories list with specimen signatures Copy of SEBI registration certificate 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 Please Submit the KYC Documents on A4 Size Paper Only.

6 Details of Promoters/ Partners/ Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals Name of Applicant PAN of the Applicant Sr. No. PAN Name DIN (For Directors) / UID (For Others) Residential / Registered Address Relationship with Applicant (i.e. promoters, whole time directors etc.) Whether Politically Exposed Photograph PEP RPEP NO PEP RPEP NO PEP RPEP NO PEP RPEP NO PEP RPEP NO Name & Signature of the Authorised Signatory(ies) Date d d / m m / y y y y PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person

7 To, Marwadi Shares and Finance Limited Rajkot. Dear Sir / Madam, DECLARATION OF JOINT FAMILY (HUF) I/We have opened/applied to open a demat account with you in the name and style of for our HUF. In this regard, being a Karta of HUF, I hereby declare the details of the family members of the HUF as below; I hereby also declare that the particulars given by me as under are true to the best of my knowledge. I understand and agree that my false/misleading information given by me or suppression of any material information will render my said account liable for termination and further action. Further, I agree that I will immediately intimate any death/s or birth/s in the family as it changes the constitution of the HUF. We the coparceners / members hereby declare that: Sr. No We wish to authorize Marwadi Shares and Finance Limited as our lawful attorney to operate the demat account for the purposes mentioned in the Power of Attorney duly signed by Karta. We do not wish to authorize Marwadi Shares and Finance Limited to operate the demat account. [Strike out whichever is not applicable.] Sex (Male/ Relationship Name Date of Birth Signature Female) with Karta Name and Signature of Karta with Stamp of HUF Signature Name Date Place

8 CENTRAL KYC REGISTRY Know Your Customer (KYC) Application Form Individual Important Instructions: A) Fields marked with * are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD-MM-YYYY format. D) Please read section wise detailed guidelines / instructions at the end. E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end. F) List of two character ISO 3166 country codes is available at the end. G) KYC number of applicant is mandatory for update application. H) For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated. For office use only (To be filled by financial institution) Application Type* KYC Number Account Type* New Update (Mandatory for KYC update request) Normal Simplified (for low risk customers) Small 1. PERSONAL DETAILS (Please refer instruction A at the end) Prefix First Name Middle Name Last Name Name* (Same as ID proof) Maiden Name (If any*) Father / Spouse Name* Mother Name* Date of Birth* Gender* Marital Status* Citizenship* PHOTO M- Male F- Female T-Transgender Married Unmarried Others IN- Indian Others (ISO 3166 Country Code ) Residential Status* Resident Individual Foreign National Non Resident Indian Person of Indian Origin Occupation Type* S-Service ( Private Sector Public Sector Government Sector ) O-Others ( Professional Self Employed Retired Housewife Student) B-Business X- Not Categorised Signature / Thumb Impression 2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end) ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked) ISO 3166 Country Code of Jurisdiction of Residence* Tax Identification Number or equivalent (If issued by jurisdiction)* Place / City of Birth* ISO 3166 Country Code of Birth* 3. PROOF OF IDENTITY (PoI)* (Please refer instruction C at the end) (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted) A- Passport Number Passport Expiry Date B- Voter ID Card C- PAN Card D- Driving Licence Driving Licence Expiry Date E- UID (Aadhaar) F- NREGA Job Card Z- Others (any document notified by the central government) Identification Number S- Simplified Measures Account - Document Type code Identification Number 4. PROOF OF ADDRESS (PoA)* 4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end) (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted) Address Type* Proof of Address* Address Line 1* Line 2 Line 3 District* Residential / Business Residential Business Registered Office Unspecified Passport Driving Licence UID (Aadhaar) Voter Identity Card NREGA Job Card Others please specify Simplified Measures Account - Document Type code City / Town / Village* Pin / Post Code* State / U.T Code* ISO 3166 Country Code*

9 4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end) Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill Annexure A1 ) Line 1* Line 2 Line 3 District* Pin / Post Code* City / Town / Village* State / U.T Code* ISO 3166 Country Code* 4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked) Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details Line 1* Line 2 Line 3 City / Town / Village* State* ZIP / Post Code* ISO 3166 Country Code* 5. CONTACT DETAILS (All communications will be sent on provided Mobile no. / -ID) (Please refer instruction F at the end) Tel. (Off) FAX Tel. (Res) ID Mobile 6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill Annexure B1 ) (please refer instruction G at the end) Addition of Related Person Related Person Type* Name* Deletion of Related Person KYC Number of Related Person (if available*) Guardian of Minor Assignee Authorized Representative Prefix First Name Middle Name Last Name (If KYC number and name are provided, below details of section 6 are optional) PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end) A- Passport Number B- Voter ID Card C- PAN Card D- Driving Licence E- UID (Aadhaar) F- NREGA Job Card Passport Expiry Date Driving Licence Expiry Date Z- Others (any document notified by the central government) Identification Number S- Simplified Measures Account - Document Type code Identification Number 7. REMARKS (If any) 8. APPLICANT DECLARATION I hereby declare that the details furnished above are true and correct to the best of my 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 aware that I may be held liable for it. [Signature / Thumb Impression] I hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number/ address. Date : Place : Signature / Thumb Impression of Applicant 9. ATTESTATION / FOR OFFICE USE ONLY Documents Received Certified Copies KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS Date Emp. Name Emp. Code Emp. Designation Emp. Branch Name Code [Employee Signature] [Institution Stamp]

10 Signature Replacement Request Form To, Marwadi Shares & Finance Limited Marwadi Financial Plaza, Off. 150 Feet Ring Road, Nana Mava Main Road, Rajkot Date: / /20 DP ID: IN I having Client Id.. with Marwadi shares and Finance Ltd. Would like to replace existing signature with new signature as under. Existing (OLD) Signature: New Signature : ( in Black ink only) (To be Attested by Banker of the account holder) Bank Name :.Bank seal Bank Account No. (Saving/Current/CC-OD): Bank Manager Name:.Signature... Bank Telephone No.: Bank Address:. New Signature : (To be signed in the presence of official of DP) Reason for change in signature:.. (To be filled by APPROVED DP Branch ) IDENTITY OF THE PERSON(S) VERIFIED IN PERSON & SIGNED IN MY PRESENCE Name DP : Marwadi Shares and Finance Limited DP ID : IN Branch / Franchisee Emp. Name : Code : Signature : Date : Place : For office used only Replacement approved by Signature scanned by : Name Signature... : Name..Signature. Scanned signature verified by : Name Signature Note: Bring Identity Proof as well as latest transaction statement of the account. New signature is to by done in the Presence of DP Official with DP stamp. Encl.: 1. Identity Proof Verified copy by MSFL Officials. 2. Last Transaction / Holding Statement of the Demat Account.