Here is your key to a world of Financial Success Step In Client Registration Form Sumpoorna Comtrade Private Limited
SUMPOORNA COMTRADE PRIVATE LIMITED Exchange Member ID SEBI Code MCX 46150 MCX/TM/CORP/1927 ACE 1080 ACEL/TM/CORP/0437 Regd Office :- 648,3rd Floor Guru Ram Dass Nagar, Delhi-110092 Head Office : C-56A/13, 6th Floor, Sector-62, Noida-201301 (U.P) Ph.: +91-120-4505200 E-mail : info@sumpoornaonline.com Website : www.sumpoornaonline.com Compliance Officer s Details Name : Manoj Kumar Phone No. : 0120-4505200 E-mail Id : manoj.kumar@sumpoorna.com CEO s Details Name : Rahul Yadav Phone No. : 0120-4505200 E-mail Id : rahul@sumpoorna.com Clearing Member Globe Commodities Ltd. Address : 804, Ansal Bhawan, 16 K. G. Marg, Connaught Place, New Delhi-110 001 Phone : 011-30412345, 23720887-88, 23316916-20 Fax : 011-23720893, 23737410
S. No. Name of the Document Brief Significance of the Document MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES 1. KYC (Account Opening) application form VOLUNTARY DOCUMENTS AS PER PROVIDED BY THE MEMBER 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. Agreement Between SCPL & Client Electronic Contract Note [ECN] HUF Declaration Running Account Authorisation Undertaking for Transaction of Rs 5 Lakh or Above Declaration by the Person Filling the Form Declaration for Name Difference Authorization for Instructions by Third Party Authorisation Letter for Order Instructions Authorisation Family Accounts Authorization Standing Instructions/ Authorisation Letter Authorisation for Lien & Set-off Disclaimer Declaration NOC Letter SMS and E-mail Alerts to Client By the Exchange Debiting Demat Account Opening Charges Declaration By Employee/ Authorised Person Declaration by the Proprietor Declaration to be Given by Partnership Firm Board Resolution to be Given by Corporate Client Fema Declaration General Declaration Declaration for Mobile Number and Email Id Undertaking (forming The Part of Disclaimer) Fatca-CRS Declaration Form Acknowledgment Request Letter for Reactivation Client Registration Form / Key Information Acknowledgement Client Declaration Cum Undertaking (MCX) Order Sheet KYC form - Document captures the basic information about the constituent and an instruction/check list. 2. Uniform Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the commodities market 15-17 3. Rights and Obligations of Members, Authorized Persons and Clients 4. Do s and Don ts for the Investors 5. Tariff sheet Document stating the Rights & Obligations of member, Authorized Person and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). Document detailing do s and don ts for trading on exchange, for the education of the investors. Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the Commodity Exchange(s) Agreement Authorisation Authorisation Authorisation Undertaking Declaration Declaration Authorisation Authorisation Authorisation Authorisation Authorisation Authorisation Disclaimer Declaration Declaration Form for Registration and Verification of Mobile Number and Email Address Authorisation Declaration Format Format Format Declaration Declaration Declaration Undertaking Declaration Form Acknowledgment Request Letter Addendum to the Client Registration Form / Key Information Acknowledgement Declaration Format For any grievance/dispute please contact Sumpoorna Comtrade Private Limited at the above address or email id info@sumpoornaonline.com and Phone no. +91-120-4505200 In case not satisfied with the response, please contact the concerned exchange(s) at Exchange Name E-mail ID Phone No. Website MCX info@mcxindia.com 022-66494000 www.mcxindia.com ACE services@aceindia.com 022-6670 9201 www.aceindia.com Page No. 1-14 18-21 22-23 23 25-34 35 36 37 37 38 38 39 40 41 41 42 43 44 44 44 45 45 46 46 47 47 48 48 49 49 50-51 52 52 53 53 54 55-58
Know Your Client (KYC) Application Form (For Individuals Only) Application No. : Please fill in ENGLISH and in BLOCK LETTERS A. Identity Details (please see guidelines overleaf) 1. Name of Applicant (As appearing in support identification document). Name Father s/spouse Name 2. Gender Male Female B. Marital Status Single Married C. Date of Birth d d m m y y y y 3. Nationality Indian Other (Please specify) 4. Status Please tick ( ) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals) PHOTOGRAPH Please affix the recent passport size photograph and sign across it 5. PAN Please enclose a duly attested copy of your PAN Card Aadhaar Number, if any : 6. Proof of Identity submitted for PAN exempt cases Please Tick ( ) UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline D overleaf B. Address Details (please see guidelines overleaf) 1. Address for Correspondence City/Town/Village State Country Pin Code 2. Contact Details Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD) Mobile (ISD) (STD) Fax (ISD) (STD) E-Mail 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 Driving License Voter Identity Card *Latest Bank A/c Statement/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 4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant City/Town/Village State Country Pin Code 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 Driving License Voter Identity Card *Latest Bank A/c Statement/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 6. Any other information DECLARATION 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 Date SIGNATURE OF APPLICANT FOR OFFICE USE ONLY AMC/Intermediary name OR code SUMPOORNA COMTRADE PRIVATE LTD. (Originals Verified) Self Certified Document copies received (Attested) True copies of documents received Main Intermediary Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date IPV Done on d d m m y y y y Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date 1
A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients. 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 guidelines), copy of passport/piocard/ocic 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. For opening an account with Depository 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 States 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 wit h photograph. This is a mandatory requiremet applicants except those who are specifically exempt from obtaining PAN (listed in Section D). 2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license. 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 ailiated 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 2 INSTRUCTIONS / CHECK LIST FORM FILLING KYC FORM 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. 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 C o - O p e r a t i v e B a n k / M u l t i n a t i o n a F o r e i g n 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. For FII/sub account, Power of Attorney given by FII/subaccount to 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. D. Exemptions/clarications 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 State 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/ling 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, FVCIsnt for all, 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 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 offcials 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.
KYC Details Change Form (For Individuals Only) Application No. : Please fill this update / modification form in ENGLISH and in BLOCK LETTERS (Please strike off Sections that are not used) A Name of Applicant (Mandatory as per original KYC records) Title Mr. Ms. Other (Please Specify) Aadhaar Number, if any: PAN Name Date of Birth d d m m y y y y Please Provide the new KYC details which should be updated in your KYC records. st B Mandatory fields for KYCs done before 1 January 2012 1. Father s/spouse Name 2. Current Marital Status Single Married 3. Current Nationality Indian Other (Please Specify) Note FOR OFFICE USE ONLY : The IPV Column should be mandatory filled for all KYCs registered before 1st January 2012. Originals Seen and verified should be mandatory filled for changes to Identity and Address details. C Identity Details (Please see guidelines overleaf) 1. New Name (As appearing in supporting identification document). 2. New Status Please tick( ) Resident Individual Non Resident (Passport Copy Mandatory for NRIs & Foreign Nationals) 3. PAN Please enclose a duly attested copy of your PAN Card 4. Proof of Identity submitted for PAN exempt cases (Please tick( ) Aadhaar Card Passport Voter ID Driving Licence Others (Please see guideline D overleaf) D Address Details (Please see guidelines overleaf) 1. New Address for Correspondence City/Town/Village State 2. Contact Details Tel.(Off.) (ISD) Mobile E-Mail Id. (ISD) (STD) (STD) Country Tel.(Res.) Fax (ISD) (ISD) (STD) (STD) Pin Code 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 Driving License Voter Identity Card *Latest Bank A/c Statement/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 4. New Permanent Address of Resident Applicant if different from above C1 OR Overseas Address (Mandatory) for Non-Resident Applicant City/Town/Village State Pin Code 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 Driving License Voter Identity Card *Latest Bank A/c Statement/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 6. Any other information SIGNATURE OF APPLICANT Old signature as per original KYC Whichever Applicable AMC/Intermediary name OR code SUMPOORNA COMTRADE PRIVATE LTD. Country DECLARATION 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 (Originals Verified) Self Certified Document copies received (Attested) True copies of documents received Main Intermediary Date SIGNATURE OF APPLICANT FOR OFFICE USE ONLY IPV Done on d d m m y y y y Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date 3
A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients. 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 guidelines), copy of passport/piocard/ocic 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. For opening an account with Depository 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 States 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 wit h photograph. This is a mandatory requiremet applicants except those who are specifically exempt from obtaining PAN (listed in Section D). 2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license. 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 ailiated 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 4 INSTRUCTIONS / CHECK LIST FORM FILLING KYC FORM 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. 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 C o - O p e r a t i v e B a n k / M u l t i n a t i o n a F o r e i g n 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. For FII/sub account, Power of Attorney given by FII/subaccount to 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. D. Exemptions/clarications 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 State 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/ling 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, FVCIsnt for all, 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 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 offcials 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.
Know Your Client (KYC) Application Form (For Non-Individuals Only) Application No. : Please fill in ENGLISH and in BLOCK LETTERS A. Identity Details (please see guidelines overleaf) 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). 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 HUF FI FII PFI Category I PFI Category II PFI Category III 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 State 2. Contact Details Tel. (Off.) (ISD) Mobile E-Mail Id. (ISD) (STD) (STD) Tel. (Res.) Country Postal Code 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 4. Registered Address (If different from above) Fax (ISD) (ISD) d d m m y y y y (STD) (STD) City/Town/Village State 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 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 C. Other Details (please see guidelines overleaf) d d m m y y y y Country 1. Name, PAN, DIN/Aadhaar Number, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure to fill in the details) 1. 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. Place: Date: NAME & SIGNATURE(S) OF AUTHORISED PERSON(S) AMC/Intermediary name OR code SUMPOORNA COMTRADE PRIVATE LTD. (Originals Verified) Self Certified Document copies received (Attested) True copies of documents received Main Intermediary FOR OFFICE USE ONLY Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date 5
INSTRUCTIONS / CHECK LIST FORM FILLING KYC FORM A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients. 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 guidelines), copy of passport/piocard/ocic 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. For opening an account with Depository 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 States 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 wit h photograph. This is a mandatory requiremet applicants except those who are specifically exempt from obtaining PAN (listed in Section D). 2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license. 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 ailiated 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. 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/ Multinationa 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. For FII/sub account, Power of Attorney given by FII/sub-account to 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. D. Exemptions/clarications 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 State 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/ling 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, FVCIsnt for all, 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 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 offcials 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. F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below : Type of Entity Documentary Requirements Corporate 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. Partnership Firm 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. Trust 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. HUF 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. Unincorporated Association Proof of Existence/Constitution document. or a Body of Individuals Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures. Banks/Institutional Investors Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures. Foreign Institutional Investors (FII) Copy of SEBI registration certificate. Authorized signatories list with specimen signatures. Army/Government Bodies Self-certification on letterhead. Authorized signatories list with specimen signatures. Registered Society 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. 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 1. Name PAN Residential /Registered Address City/Town/Village State Relationship with Applicant (i.e. promoters, whole time directors etc.) DIN (For Directors) / UID (for Others) Country Pin Code Please affix the recent passport size photograph and sign across it Whether Politically Exposed PEP (Politically Exposed Person) RPEP (Related to Politically Exposed Person) NO 2. Name PAN Residential /Registered Address City/Town/Village State Relationship with Applicant (i.e. promoters, whole time directors etc.) DIN (For Directors) / UID (for Others) Country Pin Code Please affix the recent passport size photograph and sign across it Whether Politically Exposed PEP (Politically Exposed Person) RPEP (Related to Politically Exposed Person) NO 3. Name PAN Residential /Registered Address City/Town/Village State Relationship with Applicant (i.e. promoters, whole time directors etc.) DIN (For Directors) / UID (for Others) Country Pin Code Please affix the recent passport size photograph and sign across it Whether Politically Exposed PEP (Politically Exposed Person) RPEP (Related to Politically Exposed Person) NO 4. Name PAN Residential /Registered Address City/Town/Village State Relationship with Applicant (i.e. promoters, whole time directors etc.) DIN (For Directors) / UID (for Others) Country Pin Code Please affix the recent passport size photograph and sign across it Whether Politically Exposed PEP (Politically Exposed Person) RPEP (Related to Politically Exposed Person) NO 5. Name PAN Residential /Registered Address City/Town/Village State Relationship with Applicant (i.e. promoters, whole time directors etc.) DIN (For Directors) / UID (for Others) Country Pin Code Please affix the recent passport size photograph and sign across it Whether Politically Exposed PEP (Politically Exposed Person) RPEP (Related to Politically Exposed Person) NO Name & Signature of the Authorised Signatory(ies) d d m m y y y y Date 7
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A. OTHER DETAILS ADDITIONAL INFORMATION RELATED TO TRADING ACCOUNT FOR INDIVIDUAL Gross Annual Income Details (please specify): Income Range per annum Below ` 1 Lac ` 1-5 Lac ` 5-10 Lac ` 10-25 Lacs Above ` 25 Lacs OR Net-worth as on (Net worth should not be older than 1 year) Occupation (please tick any one and give brief details) Private Sector Farmer Public Sector Other Specify Government Service Business Professional Please tick, as applicable Politically Exposed Person (PEP) Not a Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Not Related to a Politically Exposed Person (PEP) # If you have a landline connection, kindly provide the same B. BANK ACCOUNT(S) DETAILS Bank Name (1) Branch Address City/District/Village State Bank Account No. Pin Code Country Account Type Saving Current Others - In case of NRI NRE NRO MICR Number IFSC Code Note: Provide a copy of cancelled cheque leaf/ pass book/bank statement specifying name of the client, MICR Code or/and IFSC Code of the bank. C. DEPOSITORY ACCOUNT(S) DETAILS, If Available Depository Participant Name (1) Depository Name NSDL DP ID I N BO ID CDSL DP ID BO ID Beneficiary Name Note: Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. D. TRADING PREFERENCES Note: Please sign in the relevant boxes against the Exchange with which you wish to trade. The Exchange not chosen should be struck off by the client. Sr. Name of the National Commodity Date of Consent for trading Signature of the Client No. Exchanges on concerned Exchange 1. MCX (1) 2. ACE (2) [In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent letter is required to be obtained by the Member from client and to be kept as enclosure with this document] E. INVESTMENT/TRADING EXPERIENCE No Prior Experience D D M M Y Y Y Y Years in Commodities D D M M Y Y Y Y Years in other investment related fields 9
F. SALES TAX REGISTRATION DETAILS (As applicable, State wise) Local Sales Tax State Registration No. Name of the State Central Sales Tax Registration No Other Sales Tax State Registration No. Name of the State G. VAT DETAILS (As applicable, State wise) Local VAT Registration No. Name of the State Other VAT Registration No. Name of the State H. PAST REGULATORY ACTIONS Validity Date Validity Date Validity Date Validity Date Validity Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y Details of any action/proceedings initiated/pending/ taken by SEBI/ SEBI / Stock exchange / Commodity exchange/any other authority against the client during the last 3 years: 10 I. DEALINGS THROUGH OTHER MEMBERS If client is dealing through any other Member, provide the following details (in case dealing with multiple Members, provide details of all in a separate sheet containing all the information as mentioned below) : Member s / Authorized Person (AP) s Name Exchange Exchange s Registration No. Concerned Member s Name with whom the AP is registered Registered office address Ph. Email Website Client Code Details of disputes/dues pending from/to such Member/AP J. INTRODUCER DETAILS (optional) Name of the Introducer S u r n a m e N a m e M i d d l e N a m e Status of the Introducer BDR Authorised Person Employee Existing Client Other, please specify Address of Introducer City/Town/Village State Country Phone No. Signature of the Introducer K. ADDITIONAL DETAILS Whether you wish to receive communication from Member in electronic form on your Email-id [Yes / No] :...... {If yes then please fill in Appendix-A} Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify) :...... Specify your Email id, if applicable:...... Whether you wish to receive Statement of account physically or through electronic mode (Please Specify)...... Specify your email ID if applicable:...... Whether you wish to receive trade confirmation on your mobile:...... Yes/No...... Please specify your mobile no. if applicable:...... Whether you wish to avail of the facility of internet trading/ wireless technology (please specify):...... Fax
L. NOMINATION DETAILS I/We wish to nominate I/ We do not wish to nominate Name of the Nominee Relationship with the Nominee PAN of Nominee Address of the Nominee Phone No. If Nominee is a minor, details of guardian Name of guardian Address of Guardian Phone No. Signature of guardian WITNESSES (Only applicable in case the account holder has made nomination) 1st WITNESSES Date of Birth 2st WITNESSES D D M M Y Y Y Y Name Signature Address Pin Code Name Signature Address Pin Code 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 change 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 UCC Code allotted to the Client: Name of the Employee Employee Code Designation of the employee Date D D M M Y Y Y Y Signature ( (3) ) Signature of Client/ (all) Authorised Signatory (ies) FOR OFFICE USE ONLY Documents verified with Originals 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 Dont s 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 Sumpoorna Comtrade Private Limited Signature of the Authorised Signatory Date D D M M Y Y Y Y Seal/Stamp of the Member 11
ADDITIONAL INFORMATION RELATED TO TRADING ACCOUNT A. BANK ACCOUNT(S) DETAILS Bank Name (1) Branch Address City/District/Village State Bank Account No. C. TRADING PREFERENCES Pin Code Country Account Type Saving Current Others - In case of NRI NRE NRO MICR Number IFSC Code Bank Name (2) Branch Address City/District/Village State Bank Account No. Pin Code Country Account Type Saving Current Others - In case of NRI NRE NRO MICR Number IFSC Code Note: Provide a copy of cancelled cheque leaf/ pass book/bank statement specifying name of the client, MICR Code or/and IFSC Code of the bank. B. DEPOSITORY ACCOUNT(S) DETAILS, If Available Depository Participant Name (1) Depository Name Beneficiary Name Depository Participant Name (2) Depository Name Beneficiary Name NSDL CDSL NSDL CDSL DP ID DP ID DP ID DP ID Note: Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. I N I N BO ID BO ID BO ID BO ID FOR NON-INDIVIDUAL Note: Please sign in the relevant boxes against the Exchange with which you wish to trade. The Exchange not chosen should be struck off by the client. Sr. Name of the National Commodity Date of Consent for trading Signature of the Client No. Exchanges on concerned Exchange 1. MCX (4) 2. ACE (5) [In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent letter is required to be obtained by the Member from client and to be kept as enclosure with this document] 12 D. INVESTMENT/TRADING EXPERIENCE No Prior Experience D D M M Y Y Y Y Years in Commodities D D M M Y Y Y Y Years in other investment related fields
E. SALES TAX REGISTRATION DETAILS (As applicable, State wise) Local Sales Tax State Registration No. Name of the State Central Sales Tax Registration No Other Sales Tax State Registration No. Name of the State F. VAT DETAILS (As applicable, State wise) Local VAT Registration No. Name of the State Other VAT Registration No. Name of the State G. PAST REGULATORY ACTIONS Validity Date Validity Date Validity Date Validity Date Validity Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y Details of any action/proceedings initiated/pending/ taken by SEBI / Stock exchange / Commodity exchange/any other authority against the client or its Partners/promoters/whole time directors/authorized persons in charge during the last 3 years: H. DEALINGS THROUGH OTHER MEMBERS If client is dealing through any other Member, provide the following details (in case dealing with multiple Members, provide details of all in a separate sheet containing all the information as mentioned below) : Member s / Authorized Person (AP) s Name Exchange Exchange s Registration No. Concerned Member s Name with whom the AP is registered Registered office address Ph. Email Website Client Code Details of disputes/dues pending from/to such Member/AP I. INTRODUCER DETAILS (optional) Name of the Introducer S u r n a m e N a m e M i d d l e N a m e Status of the Introducer BDR Authorised Person Employee Existing Client Other, please specify Address of Introducer City/Town/Village State Country Phone No. Signature of the Introducer J. ADDITIONAL DETAILS a. Whether you wish to receive communication from Member in electronic form on your Email-id [Yes / No] :... {If yes then please fill in Appendix-A} b. Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify):.. Specify your Email id, if applicable:.. c. Whether you wish to receive Statement of account physically or through electronic mode (Please Specify). Specify your email ID if applicable:.. d. Whether you wish to receive trade confirmation on your mobile:..yes/no Please specify your mobile no. if applicable:.. e. Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): f. In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of company/firm/others:.. Fax 13
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 D D M M Y Y Y Y (6) ( ) Signature of (all) Authorized Signatory (ies)* *Form needs to be signed by all the authorized signatories. FOR OFFICE USE ONLY UCC Code allotted to the Client: Name of the Employee Employee Code Designation of the employee Date Signature Documents verified with Originals 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 Dont s 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 Sumpoorna Comtrade Private Limited Signature of the Authorised Signatory Date D D M M Y Y Y Y Seal/Stamp of the Member 14
RISK DISCLOSURE DOCUMENT ANNEXURE-2 The Exchange does not expressly or impliedly, guarantee nor make any representation concerning the completeness, the adequacy or accuracy of this disclosure documents nor has the Exchange endorsed or passed any merits of participating in the Commodity Derivatives market/trading. This brief statement does not disclose all of the risks and other significant aspects of trading. You should, therefore, study derivatives trading carefully before becoming involved in it. In the light of the risks involved, you should undertake transactions only if you understand the nature of the contractual relationship into which you are entering and the extent of your exposure to risk. You must know and appreciate that investment in commodity futures contracts/ derivatives or other instruments traded on the Commodity Exchange(s), which have varying element of risk, is generally not an appropriate avenue for someone of limited resources/ limited investment and/ or trading experience and low risk tolerance. You should, therefore, carefully consider whether such trading is suitable for you in the light of your financial condition. In case, you trade on the Exchange and suffer adverse consequences or loss, you shall be solely responsible for the same and the Exchange shall not be responsible, in any manner whatsoever, for the same and it will not be open for you to take the plea that no adequate disclosure regarding the risks involved was made or that you were not explained the full risk involved by the concerned member. The Client shall be solely responsible for the consequences and no contract can be rescinded on that account. You must acknowledge and accept that there can be no guarantee of profits or no exception from losses while executing orders for purchase and/or sale of a commodity derivatives being traded on the Exchange. It must be clearly understood by you that your dealings on the Exchange through a member shall be subject to your fulfilling certain formalities set out by the member, which may, inter alia, include your filing the know your client formand are subject to Rules, Byelaws and Business Rules of the Exchange guidelines prescribed by SEBI from time to time and circulars as may be issued by the Exchange from time to time. The Exchange does not provide or purport to provide any advice and shall not be liable to any person who enters into any business relationship with any member of the Exchange and/ or third party based on any information contained in this document. Any information contained in this document must not be construed as business advice/investment advice. No consideration to trade should be made without thoroughly understanding and reviewing the risks involved in such trading. If you are unsure, you must seek professional advice on the same. In considering whether to trade, you should be aware of or must get acquainted with the following:- 1. Basic Risks involved in the trading of Commodity Futures Contracts and other Commodity Derivatives Instruments on the Exchange. i. Risk of Higher Volatility ii. iii. Volatility refers to the dynamic changes in price that commodity derivative contracts undergo when trading activity continues on the Commodity Exchange. Generally, higher the volatility of a commodity derivatives contract, greater is its price swings. There may be normally greater volatility in thinly traded commodity derivatives contracts than in actively traded commodities/ contracts. As a result of volatility, your order may only be partially executed or not executed at all, or the price at which your order got executed may be substantially different from the last traded price or change substantially thereafter, resulting in real losses. Risk of Lower Liquidity a. Liquidity refers to the ability of market participants to buy and/ or sell commodity derivative contract expeditiously at a competitive price and with minimal price difference. Generally, it is assumed that more the number of orders available in a market, greater is the liquidity. Liquidity is important because with greater liquidity, it is easier for investors to buy and/ or sell commodity derivatives contracts swiftly and with minimal price difference and as a result, investors are more likely to pay or receive a competitive price for commodity derivative contracts purchased or sold. There may be a risk of lower liquidity in some commodity derivative contracts as compared to active commodity derivative contracts. As a result, your order may only be partially executed, or may be executed with relatively greater price difference or may not be executed at all. b. Buying/ Selling without intention of giving and/ or taking delivery of certain commodities may also result into losses, because in such a situation, commodity derivative contracts may have to be squared-off at a low/ high prices, compared to the expected price levels, so as not to have any obligation to deliver/ receive such commodities. Risk of Wider Spreads 15