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Branch Code :
DP ID :
Visit us atwww.rathionline.com
For Assistance : 1-800 200 - 1002 / 1-800 121 - 1003
0291-309 - 1400(Local call charges)Version 04/2016
Form No. :
Client Code :
CLIENT ENROLLMENT FORM
PRODUCTS
EQUITY / F&O / CURRENCY / MF / SLB
DP Annual Maintenance Charges (Tick any one)(view chargesheet for your plan)
LIFE TIME FREE AMC
BSDA
DP-CDSL
ONLINE
EXEWEB
COMMODITY (MCX / NCDEX)
GREAT SCHEME
Anand Rathi Share and Stock Brokers Ltd.Anand Rathi Commodities Ltd.
Acknowledgment (Office Copy)
Form No. :
Date :
Account opening cheque details
Amount Chq. No. Bank Name Date
Margin Cheque Details
Amount Chq. No. Bank Name Date
Executive Name Executive Signature
COMMODITIES
MCX
NCDEX
CURRENCYF & OCASH
BSE
NSE
BSE
NSE
MSEI
OTHERS
MF
DP
SLB
NSE
BSE
Version 04/2016
Anand Rathi Share and Stock Brokers Ltd.Anand Rathi Commodities Ltd.
Acknowledgment (Client Copy)
Form No. :
Account opening cheque details
Amount
Date :
Chq. No. Bank Name Date
Margin Cheque Details
Amount Chq. No. Bank Name Date
Executive Name Executive Signature
COMMODITIES
MCX
NCDEX
CURRENCYF & OCASH
BSE
NSE
BSE
NSE
MSEI
OTHERS
MF
DP
SLB
NSE
BSE
I have read and understood all the clause of Right and Obligation ( Trading and DP ), Risk Disclosure Document ( RDD ), Guidance Note detailing DO’s and Don’ts for Trading, Policies and Procedure.
Further I/We, wish to receive the above mentioned documents by:
Electronic mode OR Physical Mode
Client Signature
I/We acknowledge the receipt of copy of executed client registration form, tariff sheet, Right and Obligation ( Trading and DP), Risk Disclosure Document ( RDD), Guidance Note detailing DO’s and Don’ts for Trading, Policies and Procedure.
For any grievance/dispute please contact Anand Rathi Share and Stock Brokers Ltd. at the above address or email id [email protected] and phone no. 022-40013700. In case not satisfied with the response, please contact the concern exchange(s) at :
Registered Office :
Opp. Bimbisar Nagar, Goregaon (E), Mumbai-400 063.Tel.: (B) : +091-022-4001 3700 (F) : +091-022-4001 3770
Website : www.rathionline.com
4th Floor, Silver Metropolis, Jai Coach Compound,
CEO :Mr. Roop Bhootra
E-mail : [email protected] : 022-4001 3700
Compliance Officer :Mr. Deepak Kedia
E-mail : [email protected] : 022-4001 3700
Processing Office :Plot No. CYB-2, Cyber Park, Heavy Industrial Area,
Near Saras Dairy, Jodhpur - 342 003.Tel.: +91 291 2745400 / 7117001
Particulars BSE NSE
E-mail ID
Tel. No.
022-2272 8097
1800220058
MSEI (MCX - SX) CDSL
[email protected] [email protected]
022-6112 9000, Ext. 9028 022-2272 3333
SEBI Website : http://scores.gov.in • Toll Free : 1800227575
Version 04/2016
ANAND RATHI SHARE AND STOCK BROKERS LTD.CIN : U67120MH1991PLC064106
Segment Exchange Registration No. & Date
EQUITYBSE
NSE
INB011371557 Membership No. 949 Dated 19/03/2010
INB 230676935 Member ID 06769 Dated 16/12/1994
INF 230676935 Member ID 06769 Dated 26/07/2000
Exchange Registration 949 Dated 04/12/2013
INE 230676935 Dated 27/08/2008
INE 260676935 Member ID - 1014 Dated 29/09/2008
IN-DP-CDSL-04-99 Dated 12/03/1999
ARN-4478
INF 010676931 Dated 02/04/2009
Membership No.
F & OBSE
NSE
BSE - CDS
NSE - CDS
MSEI
CDSL
--
DP
CURRENCY
AMFI
INDEX
1. Account Opening Form
S. No. Name of the Document Brief Significance of the Document
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
Page NoPage No
Equity Commodity
3-9
10
11-15
1-2
23-28
--
?Signature of the Client First Holder?? Signature of Second Holder
?
??
F - 1 - 25
S - 1 - 9
T - 1 - 7
?Signature of Third Holder ?
?
Version 04/2016
6. Brokerage Tariff Structure Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s). 16 29
7. DP Form
8. DP Tariff Sheet
Individual & Corporate, DP Tariff, Owner and Depository Participant
Rights and Obligations of Beneficial
DP Tariff Charges
17-19
20
--
--
34-35
36-37
--
--
9. MFSS
10. BSE StAR MF
Mutual Fund Service System Facility
BSE StAR MF Service System Facility
1. POA Auto Pay-In 21-22 --
NON MANDATORY Equity Commodity
2. ECN 3230
3. LOA 31 33
Electronic Contract Note (Declaration)
Letter of Authority
47--4. Declaration Declaration (Commodity)
38-46 --11. FATCA FATCA Declaration for Individual & Non Individual
A. Instruction / check list for filing KYC Form and relevant to trading and DP account. (Equity & Commodities)
B. KYC form - Document captures the basic information about the constituent.
C. HUF Declaration
D. Document captures the additional information about the constituent relevant to trading account & nomination form.
--
--
INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM (FOR EQUITY & COMMODITY)
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 securit ies 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 FIEB/FEMA guidelines), 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 bo submitted.
10. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to bo submitted along with other statutory approvals required for investment in commodities.#
11. 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.*
12. 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. 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.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
S c h e d u l e d Co m m e rc i a l B a n k s / S c h e d u l e d Co - O p e rat i ve Bank/Multinational Foreign Banks/Gazetted Officer/Notary p u b l i c / E l e c t e d r e p r e s e n t a t i v e s t o t h e L e g i s l a t i v e 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 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.*
8. The proof of address in the name of the spouse may be accepted.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 holdersD. Exemptions/clarifications to PAN
(*Sufficient documentary evidence in support of such claims to be collected.)1. In case of transactions undertaken on behalf of Central Government
and/or 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/filing tax
returns in India.*4. SIP of Mutual Funds upto Rs 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 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.
* Applicable for equity. # Applicable for commodity. 1 Version 04/2016
• Please note that we Brokers are undertaking proprietory arbitrage as well as Investment Business in our own account in addition to client base business.
F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: (Applicable for Equity & Commodity)
Types of entity 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 securities / commodity market.• Authorised signatories list with specimen signatures.• Copy of Board Resolution or Declaration (on the letter head) having the person authorised to deal in securities / commodity on
behalf of company / firm / others and their specimen signature.
Corporate
• 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 Specified 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 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.
Partnership firm
• 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.
Trust
HUF
*Unincorporated association or a body of individuals
Banks / Institutional Investors*
Foreign Institutional Investors*
Army / Government Bodies
Registered Society
* Applicable for equity. # Applicable for commodity.
2 Version 04/2016
INSTRUCTIONS/CHECK LIST1. Additional documents in case of trading in derivatives segments : illustrative list
Copy of ITR Acknowledgement
In case of salary income - Salary Slip, Copy of Form 16
Copy of demat account holding statement.
Any other relevant documents substantiating ownership of assets.
Copy of Annual Accounts
Net worth certificate
Bank account statement for last 6 monthsSelf declaration with relevant supporting documents.
*ln respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be submitted.3. Demat master or recent holding statement issued by DP bearing name of the client.4. For individuals:
a. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub-Broker’s office.b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’ verification. Further, considering the infeasibility of
carrying out ‘In-person’ verification of the non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker Indian Embassy / Consulate General in the country where the client resides may be permitted.
5. For non-individuals:a. Form need to be initialized by all the authorized signatories.b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on benalf of company/firm/others and their
specimen signatures.
"Ple
ase
no
te t
hat
rhe K
YC
ap
plic
ati
on
Fo
rm a
nd
ove
rleaf
inst
ruct
ion
s sh
ou
ld b
e p
rin
ted
on
th
e s
am
e p
ag
e (
back
to
back
). If
pri
nte
d s
ep
ara
tely
th
en
bo
th t
he p
ag
es
sho
uld
be a
ttach
ed
an
d s
ign
ed
by
the a
pp
lican
t."
Know Your Client (KYC) Application form - (For Individuals Only)
A. IDENTITY DETAILS
1. Name of Applicant
Father's/Spouse Name
PHOTOGRAPH
Please affix
the recent passport
size photograph and
sign across it
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 ( 3) Resident Individual Non Resident Foreign National
5. PAN
Unique Identification Numbar (UID)/Aadhaar, if any:
6. Proof of Identity submitted Please Tick (3)
B. ADDRESS DETAILS
1. Residence AddressCorrespondence
City / Town / Villeage
State
Pin Code
Country
3. Contact Details
Tel. (Off.)
MobileE-Mail Id.
(ISD) (STD
(ISD) (STD
Tel. (Res.)
Fax
(ISD) (STD
(ISD) (STD
FIRST HOLDER
F1F
F2F
behind every successful investorPlease fill this form in ENGLISH and in BLOCK LETTERS(Please tick the box left margin of appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding now)
PAN Card Others (Please Specify)
2. Specify the proof of address submitted for correspondence address:____________________________________________________________
City / Town / Villeage
State CountryPin Code
4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant):
C. 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.
Date: d d / m m / y y y ySignature of the Applicant
FOR OFFICE USE ONLY
Date of IPV
Inperson Verification (IPV) Details:
Name of the person who has done the IPV
Name of the Organization
Designation Employee ID
d d / m m / y y y y
Originals Verified and Self attested Document copies received
Signature of the person who has the IPV
Signature of the Authorised SignatoryDate: d d / m m / y y y y
3
Seal/Stamp of the Intermediary
Application No. :
Version 04/2016
INSTRUCTIONS / CHECK LIST FOR 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/OCICard 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. 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 ldentity (POI): List of documents admissible as Proof of Identity:
1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specially exempt from obtaining PAN (listed in Section D).
2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter lD 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 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.)
4 Version 04/2016
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 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.
8. The proof of address in the name of the spouse may be accepted.
D. Exemptions/clarifications to PAN(*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or 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/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 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.
"Ple
ase
no
te t
hat
rhe K
YC
ap
plic
ati
on
Fo
rm a
nd
ove
rleaf
inst
ruct
ion
s sh
ou
ld b
e p
rin
ted
on
th
e s
am
e p
ag
e (
back
to
back
). If
pri
nte
d s
ep
ara
tely
th
en
bo
th t
he p
ag
es
sho
uld
be a
ttach
ed
an
d s
ign
ed
by
the a
pp
lican
t."
Know Your Client (KYC) Application form - (For Individuals Only)
A. IDENTITY DETAILS
1. Name of Applicant
Father's/Spouse Name
PHOTOGRAPH
Please affix
the recent passport
size photograph and
sign across it
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 ( 3) Resident Individual Non Resident Foreign National
5. PAN
Unique Identification Numbar (UID)/Aadhaar, if any:
6. Proof of Identity submitted Please Tick (3)
B. ADDRESS DETAILS
1. Residence AddressCorrespondence
City / Town / Villeage
State
Pin Code
Country
3. Contact Details
Tel. (Off.)
MobileE-Mail Id.
(ISD) (STD
(ISD) (STD
Tel. (Res.)
Fax
(ISD) (STD
(ISD) (STD
SECOND HOLDERbehind every successful investorPlease fill this form in ENGLISH and in BLOCK LETTERS
(Please tick the box left margin of appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding now)
PAN Card Others (Please Specify)
2. Specify the proof of address submitted for correspondence address:____________________________________________________________
City / Town / Villeage
State CountryPin Code
4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant):
C. 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.
Date: d d / m m / y y y ySignature of the Applicant
FOR OFFICE USE ONLY
Date of IPV
Inperson Verification (IPV) Details:
Name of the person who has done the IPV
Name of the Organization
Designation Employee ID
d d / m m / y y y y
Originals Verified and Self attested Document copies received
Signature of the person who has the IPV
Signature of the Authorised SignatoryDate: d d / m m / y y y y
5
Seal/Stamp of the Intermediary
Application No. :
S1 ?
S2 ?
Version 04/2016
INSTRUCTIONS / CHECK LIST FOR 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/OCICard 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. 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 ldentity (POI): List of documents admissible as Proof of Identity:
1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specially exempt from obtaining PAN (listed in Section D).
2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter lD 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 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.)
6 Version 04/2016
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 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.
8. The proof of address in the name of the spouse may be accepted.
D. Exemptions/clarifications to PAN(*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or 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/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 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.
7 Version 04/2016
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Know Your Client (KYC) Application form - For Non Individuals
B. ADDRESS DETAILS
1. Address for Correspondence
City / Town / Villeage
State
Pin Code
Country
3. Contact Details
Tel. (Off.)
MobileE-Mail Id.
(ISD) (STD
(ISD) (STD
Tel. (Res.)
Fax
(ISD) (STD
(ISD) (STD
AS1
behind every successful investorAcknowledgement No. :NEW CHANGE REQUEST (Please tick 3 the appropriate)
Please fill this form in ENGLISH and in BLOCK LETTERS(Please tick the box left margin of appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding now)
2. Specify the proof of address submitted for correspondence address:____________________________________________________________
City / Town / Villeage
State CountryPin Code
4. Registered Address (if different from above)
C. OTHER DETAILS (If space is sufficient, enclose these details separately [Illustrative format enclosed page no. 12])
D. DECLARATION
I/We have 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: d d / m m / y y y y Name & Signature of Authorised Signatory
FOR OFFICE USE ONLY
Seal/Stamp of the Intermediary
Date of IPV
Inperson Verification (IPV) Details:
Name of the person who has done the IPV
Name of the Organization
Designation Employee ID
d d / m m / y y y y
Originals Verified and Self attested Document copies received
Signature of the person who has the IPV
Signature of the Authorised SignatoryDate: d d / m m / y y y y
A. IDENTITY DETAILS1. Name of Applicant
Date of Incorporation d d / m m / y y y y 2b. Place of Incorporation2a.
4a. Registration No. (e.g. CIN)
3. Date of commencement of business d d / m m / y y y y
4. PAN
5. Status (please tick the appropriate) 3
Private Limited Co.
Charities
AOP
BOI
FPI-Category III
Public Ltd. Co.
NGO's
Bank
Society
Others (Please specify)
Body Corporate
FI
Government Body
LLP
Partnership
FII
Non-Government Organization
FPI-Category I
Trust
HUF
Defense Establishment
FPI - Category II
Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees and whole time directors:
Aadhar number of Promoters/Partners/Karta
DIN of whole time directors
INSTRUCTIONS / CHECK LIST FOR 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/OCICard 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. 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 ldentity (POI): List of documents admissible as Proof of Identity:
1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specially exempt from obtaining PAN (listed in Section D).
2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter lD 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 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.
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 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.
8. The proof of address in the name of the spouse may be accepted.
D. Exemptions/clarifications to PAN
(*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or 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/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 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.
F. Incase of Non-Individuals, additional documents tobe obtained from non-individuals, over & above the POI & POA, as mentioned below:
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 onlyj.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
• Serf-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
Types of entity
Corporate
Partnership firm
Trust
HUF
Unincorporated Association
or a body of individuals
Banks/Institutional Investors
Foreign Institutional
Investors (Fll)
Army/Government Bodies
Registered Society
8 Version 04/2016
9
Date D D M M Y Y Y YName & Signature of the Authorised Signatory(ies)
AS2
Details of Promoters/ Partners/ Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals
Version 04/2016
PHOTOGRAPH
Please affix your recent
passport sizePhotograph
and sign across it
1. Name2. Relationship with Applicant (i.e. promoters, whole time directors etc)
3a. PAN 3b. DIN
3c. Aadhar (UID) Number
4. Residence / Registered Address
State: Country:
City/town/village.
Pin Code:
PHOTOGRAPH
Please affix your recent
passport sizePhotograph
and sign across it
1. Name2. Relationship with Applicant (i.e. promoters, whole time directors etc)
3a. PAN 3b. DIN
3c. Aadhar (UID) Number
4. Residence / Registered Address
State: Country:
City/town/village.
Pin Code:
PHOTOGRAPH
Please affix your recent
passport sizePhotograph
and sign across it
1. Name2. Relationship with Applicant (i.e. promoters, whole time directors etc)
3a. PAN 3b. DIN
3c. Aadhar (UID) Number
4. Residence / Registered Address
State: Country:
City/town/village.
Pin Code:
PHOTOGRAPH
Please affix your recent
passport sizePhotograph
and sign across it
1. Name2. Relationship with Applicant (i.e. promoters, whole time directors etc)
3a. PAN 3b. DIN
3c. Aadhar (UID) Number
4. Residence / Registered Address
State: Country:
City/town/village.
Pin Code:
10
HUF DECLARATION FORM
M/s. ___________________________________________________________________________________the Karta
of Hindu Undivided Family, here by declare that the following are the co-parcener/member of my family.
Signed & HUF Stamp
Name :___________________________________________
Sr.No.
Particulars Name Date of Birth Relationship
Karta
Co-Parcener/member2
Co-Parcener/member
Co-Parcener/member4
Co-Parcener/member5
Co-Parcener/member6
Co-Parcener/member7
Co-Parcener/member8
Co-Parcener/member9
Co-Parcener/member10
Co-Parcener/member11
Co-Parcener/member12
3
1
2
3
4
5
6
7
8
9
10
11
12
Version 09/2015
11
COMMON DETAILS FOR INDIVIDUAL / NON-INDIVIDUAL
Depository Participant Name
Depository Name NSDL CDSL
DP ID Beneficiary ID (BO ID)
First Holder Name
Second Holders Name
Third Holders Name
Proof of DP submitted DP Statement Client Master Report (CMR)
1) Client name & DP A/c No. on the proof of DP submitted should mach with that mentioned in the account opening form.
2) DP statement should be clearly show DP ID & Client ID.
3) In case of NRI's proof of Demat Account should be only with NRI status.
B. DEPOSITORY ACCOUNT(S) DETAILS (if existing)
(Trading & DP Account Related Details)
Bank Name
Branch Name
Branch Address
Bank A/c. No.
A/c. Type Savings Current NRE/NRO Others
MICR Number IFSC Code
A. BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER
P.N. : In case of NRI's, Bank Account should be Repatrible Bank Account for NRE or Non Repatrible Bank Account for NRO.
Bank Name
Branch Name
Branch Address
Bank A/c. No.
A/c. Type Savings Current NRE/NRO Others
MICR Number IFSC Code
ADDITIONAL BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER
P.N. : In case of NRI's, Bank Account should be Repatrible Bank Account for NRE or Non Repatrible Bank Account for NRO.
Version 04/2016
12 Version 04/2016
Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired
Housewife Student Forex Dealer Others (Please specify)
2. Occupation (Please tick (3) any one and give brief details):
3. Please tick, if applicable : Politically Exposed Person Related to a Politically Exposed Person
For definition of PEP, please refer guideline overleaf
4. Any other information:
OR
C. OTHER DETAILS (please see guidelines overleaf) - For Individual
1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs
Net-worth in `. as on (date) (*Net worth should not be older than 1 year) d d / m m / y y y y
D. OTHER DETAILS (please see guidelines overleaf) - For Non Individual
2. 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
1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac
Net-worth in `. as on (date) (*Net worth should not be older than 1 year) d d / m m / y y y y
25 Lacs - 1 Crore > 1 Crore
3. Any other information:
E. TRADING PREFERENCES
OR else if you wish trade in selected segment / exchange, Please sign the relevent boxes where you wish to Trade.
SegmentExchanges
NSE
BSE
MSEI
Cash F&O Currency *SLB
F3?
MF
# 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.*SLB (Securities Lending & Borrowing): This segment will be activated only after obtaining duly signed member Client agreement from the customer.
In case you wish to trade in all segment and in all exchange
kindly sign Here
13 Version 04/2016
F. PAST ACTIONS
• Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:_____________________________________________________________________________________________________
G. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
(If client is dealing through the sub-broker, provide the following details)
SEBI Registration number:
Registered office address
Phone Fax
Website
• Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)
Name of stock broker
Name of Sub-Broker, if any:
Client Code: Exchange:
Details of disputes/dues pending from/to such stock broker
Sub-broker’s Name:
S u r n a m e N a m e M i d d l e N a m eName of Introducer
Introducer Address
Tel. No.
Signature of the Introducer _______________________________________
Status of the Introducer: Sub-broker Remisier Authorized Person Existing Client Others, please specify__________
I. INTRODUCER DETAILS (OPTIONAL)
• 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 avail of the facility of internet trading/ wireless technology (please specify):• Number of years of Investment/Trading Experience:
_____________________________________________________________________________________________________________
______________________________________________________________________________________________________
H. ADDITIONAL DETAILS
Place : Date :
*To receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders.This nomination is in accordance with the section 109 A of the companies act, 1956, and shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.
(To be filled By DP)
For Anand Rathi Share & Stock Brokers Ltd.
(Authorised Signatory)
Nomination accepted and registered wide
Registration No. ____________________
Dated ________________
(Signature of 1st Holder) (Signature of 2nd Holder)
F4? S3 ?
x
x
Details of the Witness
(1)
(2)
Name & Address (1) Signature With Date
*(As the Nominee is Minor on this date, I/We appoint following person to act as Guardian)Name
*Guardian Details : (In case of Minor)
PINAddress
Phone
Age CountryCity State
(Applicable for only Individual Account)
Nominee Details :- Name
I/We the sole holder / Joint holders / Guardian (in case of minor) hereby nominate the following person who is entitled to receive security Balances lying in my Trading and Demat account, particulars whereof are given, in the event of the death of the Sole Holder or the death of all the Joint Holders.I/We do not wish to Nominate any one for this Trading Account / Demat Account.
DP ID Client ID
Relationship with BO (if any)
Title Mr. Mrs. Ms. DOB (if Minor) D D M M Y Y Y Y
AddressPIN
Telephone No.FaxPAN No.
E-mail UID
City
CountryState
Please Select,
NOMINEE DETAILS FOR TRADING AND DP ACCOUNT
14
PAN No. of Nominee
Version 04/2016
Trading Code
(Signature of 3rd Holder)
T1 ?
15
1. I/We hereby declare that trie details furnished above are true and correct to the best of my/our knowledge and belief and l/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 l/we may be held liable for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet.
3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) and ‘Risk Disclosure Document’. 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 stock broker’s designated website, if any.
Place :
Date : Signature of Client/ (all) Authorized Signatory (ies)
DECLARATION
F5?
FOR OFFICE USE ONLY
UCC Code allotted to the Client
Documents verified with Originals Client Interviewed By In-Person Verification done by
Name of the Employee
Employee Code
Designation of the employee
Date
Signature
I/We undertake that we have made the client aware of Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the Policy and Procedures’, tariff sheet and all the 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.
Signature of the Authorised Signatory
Date : Seal/Stamp of the stock brokerD D M M Y Y Y Y
Version 04/2016
BROKERAGE TARIFF STRUCTURE
16
Equity
Cash F&O Currency
Min
(Paise)
In
(%)
Min
(Paise)
In
(%)
In
(%)
Min
(Paise)
Trading Brokerage
Delivery Brokerage
Option BrokeragePer Lot
Rs.
Per Lot
Rs.
Version 04/2016
p c ia
This s a e is ntention lly kept blank
• Special rates as may be agreed by the sub-broker/Authorised Person and client and the same are mentioned here.
Other charges
1) Trading Account opening charges is Rs 552/- (Will be waived off in case of receipt of upfront payment of Rs 10000/- towards margin amount along with account opening application.)
2) Rs 10/- per transaction will be charged for Securities transferred on account of Inter-settlement and /or inter exchange and/or Securities movement Stock Broker’s pool and/or beneficiary account on client behalf, Rs 10/- per transaction will be charged
3) SEBI Turnover fees, STT, Service Tax , Stamp Duty and Transaction charges will be levied separately from brokerage as applicable from time to time
4) Delivery Handling charges ( DHC) would be levied on each sale transaction in case if the value of brokerage levied is less than Rs 20/- The value of DHC would be difference of Rs 20/- and the brokerage charged .
Signature of Client
F6?Sub Broker / Branches Auth. Person Signature
17
SELECT ACCORDINGLY THE TYPE OF ACCOUNT
OR
Status (Please Tick whichever is applicable)
q q qq q
q FII q CM q FI q Clearing House q Other (Specify)________________
Body Corporate Banks Trust Mutual Fund OCB
(for corporate / clearing member only)Type of Account Sub-Status(To be Filled by DP)
DEPOSITORY PARTICIPANT (CDSL)ACCOUNT DETAILS
Status
q Individualq q q q Individual HUF / AOP q Individual Promoter q Minorq Individual Margin Trading A/C (MANTRA) q Others (specify)
Individual Resident Individual-Director Individual Director’s Relative
Sub – Status (Please Tick whichever is applicable)
q NRIq q q NRI Repatriable Promoter q NRI Non-Repatriable Promoter q NRI – Depository Receipts q Others (specify)______________
NRI Repatriable NRI Non-Repatriable
q Foreign National q Foreign National q Foreign National - Depository Receipts q Others (specify)___________________
Type of Account (for individual / nri / foreign national only)
General Instructions for the Applicant
•
•
•
•
•
•
•
•
impressions and signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate under his/her official seal.
Signatures should be preferably in black ink.
Details of the Names, Address, and Tel No. etc. of the Magistrate / Notary Public / Special Executive Magistrate are to be provided in case of any attestation done by them.
In case of additional signatures (For accounts other than individuals), separate annexure should be attached to the application form.
In case of applications under a Power of Attorney, the relevant Power of Attorney or the certified and duly notarized copy thereof must be lodged along with the application.
All correspondence / queries shall be addressed to the first / sole applicant.
Nomination: Nomination is allowed only in case of Individual account. No nomination is allowed on HUF account, Corporate account.
Strike off whichever is not applicable
thSignatures can be in English or Hindi or any of the other languages contained in the 8 schedule of the Constitution of India. Thumb
Version 04/2016
Name *
* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.
DP ID : 10600 (Equities)
BO IDForm No.
Client IDDate
1 2 0 1 0 6 0 0I / We request you to open a Demat Account in my / our name as per the following details: -
(To be filled by the applicant in BLOCK LETTERS in English)
Please Select the Account Type qIndividual qCorporate
Application Form for Opening a Securities Demat Account - Individual / Corporate
18
HOLDERS DETAILS
Sole / First Holder's Name
Second Holder's Name
Third Holder's Name
PAN
PAN
PAN
PAN
Details of Guardian (in case the account holder is minor)
Guardian's Name
Relationship with the aplicant
I / We instruct the DP to receive each and every credit in my / our account
I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID
[Automatic Credit] Yes Noqq
Account Statement Requirement q q q q qDaily Weekly Fortnightly Monthly As per SEBI regulation
q Yes Noq
Bank Name
Branch Name
Branch Address
Bank A/c. No.
A/c. Type Savings Current NRE/NRO Others
MICR Number IFSC Code
A. BANK ACCOUNT DETAILS
* I/We hereby Declare that I/We has complied with, and will continue to comply with, FEMA regulations and other applicable laws
For NRIs / OCBs
I/we wish to receive dividend / interest directly in to my bank account given below through ECS? (If not marked, the default option would be 'Yes') [ECS is mandatory for locations notified by SEBIfrom time to time]
I/We would like to instruct the DP to accept all the pledge instructions in my/our account without any furtherinstruction from my/our end. (If not marked, the default option would be "No")
I/We would like to share the Email Id with RTA
I/We would like to received the Annual Report (Tick the applicable box, If not marked the default option would be physical)
q Physical / q Electronic / q Both Physical & Electronic
UID
UID
UID
Version 04/2016
q Yes Noq
q Yes Noq
q Yes Noq
3
Mobile Registration
Additional Details
19
SEBI Regn. No. (If applicable)
ROC Regn. No. (If applicable)
RBI Regn. No. (If applicable)
SEBI Regn. Date
ROC Regn. Date
RBI Approval Date
Additional Information (for corporate / clearing member only)
Clearing Member ID
Name of the Stock Exchange
Name of the CC / CH
Trading Id
Clearing Members Details (to be filled by cms only)
DeclarationI/We have received and read the rights and obligations documents 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/We declare that the particulars given by me / us above are true and to the best of my / our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.
A] Names B) Designation (For Corporate) C] Signature of Holders
Sole / First Holder Second Holder Third Holder
A.B.
First / Sole Authorised Signatory(For Corporate)
Second Authorised Signatory(For Corporate)
Third Authorised Signatory(For Corporate)
Name
Designation
Name
Designation
Name
Designation
Spec
imen
Si
gnat
ure
(Signature of 1st Holder) (Signature of 2nd Holder) (Signature of 3rd Holder)
F7? S4 ? T2 ?
EasiTo register for easi, please visit our website www.cdslindia.comEasi allows a BO to view his ISIN balances, transactions and value of the portfolio online.
Transactions Using Secured Texting Facility(TRUST)Refer to Terms & Conditions given as Annexure - Aavailable at our websitewww.rathionline.com
I wish to avail the TRUST facility using the Mobile No. registered for SMS Alert Facility. I have read andunderstood the Terms & Conditions prescribed by CDSL for the same.
q
q NoYes
I/We wish to registered the following clearing member IDs under my/our below mentioned BO ID registered for TRUST
Stock Exchange Name / ID
Clearing Member Name
Clearing Member ID (Optional)
Version 04/2016
SMS Alert Facility Refer to terms and condition given as Annexure 'A' available at our website www.rathionline.com
[(Mandatory, if you are giving Power of Attorney (POA)]
MOBILE NO.: +91_____________________
(if POA is not granted & you do not wish to avail of this facility, cancel this option).
q Self Relationship with the client: q Spouse q Dependant Child q Dependant ParentE-mail ID__________________________________
S5
?
(Sec
ond
Hold
er)
T3
?
(Thi
rd H
olde
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ole /
Firs
t Hol
der)
ARSS
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utho
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in AR
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arke
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Mas
ter d
etail
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me,P
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ddre
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struc
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nwar
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Rs.95
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STRs
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on PO
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in A
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Value
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ax Rs
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lueRs
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ertif
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In ca
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er IS
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d Max
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- or 0
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Value
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0/-
Rs.50
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- per
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se of
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abov
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tual
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bo ce
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min
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E AM
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in.Rs
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or
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Othe
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/ Bro
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Min.
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ax Rs
. 250
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or 0.
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of Va
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/-Rs
. 3/-
per c
ertif
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+ Rs
. 35/
- per
requ
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In ca
se of
bulk,
abov
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certi
ficat
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Ac
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Cour
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Rs 15
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in Rs
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eqRs
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per s
tate
men
tRs
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per D
IS bo
ok
F8?
I do
not w
ish to
avai
l BSD
A sc
hem
eI w
ish to
avai
l BSD
A sc
hem
e
Othe
r sal
ient
feat
ures
: 1. F
ees s
ched
ule is
base
d on e
xistin
g CDS
L ch
arge
s and
may
be ch
ange
d at o
ur di
scret
ion &
will
be in
form
ed w
ell in
adva
nce b
efore
imple
men
tatio
n. 2
. In ca
se of
Life
time f
ree A
Mc s
chem
e Cre
dit ba
lance
will
be pu
rely
Inte
rest
free d
epos
it. 3
. In ca
se of
Life
time f
ree A
MC,i
f acco
unt is
clos
ed b
efore
12 m
onth
s, th
en AM
C of R
s. 500
/-will
be le
vied a
nd th
e rem
aining
balan
ce w
ill be
refu
nded
to cl
ient.
4. D
epos
it am
ount
wou
ld be
refu
nded
on
Closu
re of
DP A/
c af
ter a
djusti
ng DP
Dues
if an
y. 5
. Che
que s
hould
be dr
awn i
n fav
our o
f “ANA
ND RA
THI S
HARE
& ST
OCK B
ROKE
RS LT
D.” ( F
or Bo
unce
cheq
ue Rs
. 250
/- pe
nalty
will
be ch
arge
d ) 6
. Rs.2
5/-p
er sc
rip w
ill be
char
ged i
n cas
e In
struc
tion r
eceiv
ed on
the s
ame d
ay of
Payin
(Com
pany
will
not b
e res
pons
ible f
or an
y clai
ms in
case
instr
uctio
n rec
eived
late
i.e.on
sam
e day
of PA
YIN]
. 7. In
tere
st @
18%
for n
on pa
ymen
t of b
ill. &
Serv
ice ta
x and
othe
r levie
s wou
ld be
lev
ied as
appli
cable
.De
clara
tion b
y clie
nt*
I/We h
ereb
y aut
horiz
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to de
bit /
tran
sfer o
f fun
d fro
m DP
acco
unt t
o Tra
ding
acco
unt o
r vice
-ver
sa, i
n ord
er to
set o
ff ou
tsta
ndin
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s in m
y /ou
r acc
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.* I
/We h
ave r
ead a
nd un
ders
tood
the r
egul
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BI) g
uide
lines
for o
peni
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Basic
Serv
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emat
Acco
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nd un
dert
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o com
ply w
ith th
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idel
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from
tim
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ime.
I/W
e also
unde
rtak
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com
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e gui
delin
es is
sued
by an
y suc
h aut
horit
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BSDA
facil
ity fr
om ti
me.
I/W
e also
agre
e tha
t in c
ase o
ur de
mat
acco
unt o
pene
d und
er BS
DA fa
cility
does
not m
eet t
he el
igib
ility
for B
SDA f
acili
ty
as pe
r gui
delin
e iss
ued b
y SEB
I or a
ny su
ch au
thor
ity at
any p
oint
of ti
me,
my/
our B
SDA a
ccou
nt w
ill be
conv
erte
d to r
egul
ar de
mat
acco
unt w
ithou
t fur
ther
refe
renc
e to m
e/ us
and w
ill be
levi
ed ch
arge
s as
appl
icabl
e to r
egul
ar ac
coun
ts as
info
rmed
by th
e ARS
SBL.
I, the
firs
t / so
le ho
lder
also
here
by de
clare
that
I do n
ot ha
ve / p
ropo
se to
have
any o
ther
dem
at ac
coun
t acr
oss d
epos
itorie
s as a
firs
t/ so
le ho
lder
.
In ca
se of
any f
urth
er cl
arifi
catio
n, co
ntac
t to n
eare
st b
ranc
h / e
mai
l us a
t cus
tom
ersu
ppor
t@ra
thi.c
om / c
all u
s on
our T
oll F
ree n
umbe
r 180
0-20
0-10
02.
For A
nand
Rat
hi Sh
are a
nd St
ock B
roke
rs Lt
d.
20 Version 04/2016
21
F10? S7 ? T5 ?Version 04/2016
KNOW ALL MEN BY THESE PRESENTS THAT I/WE Mr. / Mrs. / M/s. (first holder), ________________________________________________________________(second holder_______________________________________________________________(third holder) ________________________________________________________________ an individual / a sole proprietary concern / a partnership firm / a body corporate / trust, registered / incorporated, under the provisions of the Indian Partnership Act, 1932 / the Companies Act, 1956 or any relevant Act, having his / her / its residence / registered office / place of business at__________________________ _________________________________________________________________________________________________ (hereinafter referred to as "the client") having unique client code as______________________ wish to avail / have availed the Broking / E-broking facilities and other services offered (hereinafter referred to as "Services") by Anand Rathi Share and Stock Brokers Ltd. (hereinafter referred to as "ARSSBL"), companies incorporated under the Companies Act, 1956 and having their offices at 4th Floor, Silver Metropolis, Jai Coach Compound, Opposite Bimbisar Nagar, Goregaon (East), Mumbai - 400 063 and processing office at Anand Rathi Tower, CYB-2, Cyber Park, Heavy Industrial Area, Near Saras Dairy, Jodhpur - 342 003 (Rajasthan) and is a Member (Trading Member) of various exchanges (hereinafter referred to as "the Exchanges") and is also a "Depository Participant" registered with (CDSL) Whereas in the course of availing the services and for meeting the settlement obligations thereof on the Exchanges, I/We do hereby nominate, constitute and appoint Anand Rathi Share and Stock Brokers Ltd. (Member Broker), hereinafter referred to as my/our true and lawful attorneys for my depository account with Anand Rathi Share and Stock Brokers Ltd. (Depository Participant) DP ID 12010600 Client ID______________, to execute and perform severally the following acts, deeds, matters and things, provided the attorney complies with all the applicable conditions of all or any of their services offered by them in their capacity as Stock Brokers. In this Power of Attorney the term “Securities” shall include shares, scrips, stocks, bonds, warrants, options, futures, derivatives, convertible debentures, non-convertible debentures, securitized debt instruments, fixed return investment, equity linked instruments or other marketable Securities like nature in or of any incorporated company or other body corporate, negotiable instruments including usuance Bills of Exchange, deposits or other money market instruments, commercial paper, Certificate of deposit, units issued by the Unit trust of India and units of Mutual Funds, mortgage backed or other asset backed Securities issued by any incorporate company and Securities issued by the Central Government or a State Government for the purpose of raising public loan and having one of the forms specified in Clause (2) of Section 2 of the Public Debt Act, 1944, any other new form of capital or money market instruments that may be issued in the future by any incorporated company /firm/institution or Government. 1. To retain /debit in my/our aforesaid beneficiary account or transfer securities there-out to pool/collateral /margin/any other beneficiary account of the ARSSBL
for the purpose of delivering /pledging the same to the clearing house of the recognized stock exchange in any segment to discharge my / our settlement / Pay in obligation / Margin obligations, in respect of securities sold by me/us or for the purpose of providing margins in respect of the trading positions taken by me/us in BSE(F&O)/NSE(F&O)/ MSEI / NSE (Currency Future) segment as well as providing the exposure in the BSE(F&O)/NSE(F&O) MSEI/NSE (Currency Future).The demat account details of ARSSBL where shares can be transferred for above purpose is mentioned below.
POWER-OF-ATTORNEY (VOLUNTARY)
F9?
S6
?
T4
?
Segment Demat Account No. Account TypeDP ID CM-BP ID
BSE 10020525 IN301803 NSDL POOL Account IN609492
1201060000201190 12010600 CDSL CM POOL Account
1201060000201186 12010600 CDSL CM Principal Account
1100001000012579 12010600 Early pay in Account
NSE 10003814 IN301803 NSDL POOL Account IN559169
120106000045171 12010600 CDSL CM POOL / Principal Account
1100001100016041 12010600 Early pay in Account
NSEFO 10026620 IN301803 Client Margin account
NCDEX 10026267 IN301803 Client Margin account
MCX 10026259 IN301803 Client Margin account
MSEI 10026735 IN301803 Client Margin account
NSE CD 10026873 IN301803 Client Margin account
Bse Cash 1201060001831771 12010600 Client Margin account
Bse F & O 1201060002156578 12010600 Client Margin account
Further in case the Stock Broker is required to open any new accounts for the purpose of pay-in for trades on any recognized stock exchange, I/we hearby agree that this Poa shall be applicable to all such accounts and would be covered by this POA as long as the details of such accounts are informed to me/us in writing by the said stock broker.
22Version 04/2016
2. Pursuant to my/our instruction or instruction of my/our Authorised Representative to do all such acts and things as may be necessary to effect the subscription / purchase / redemption or any other transaction for mutual funds/online Mutual Fund or otherwise of initial public offer / follow on public offer / right issue / offer for sale of securities of the company/or any other like issues and / or Investment Product for which services are availed from ARSSBL and to perform, do, undertake, discharge all incidental and ancillary acts, deeds, matters, things, functions and obligations in connection therewith.
3. To debit my/our ledger account maintained with ARSSBL for fees/charges etc. And to discharge all financial obligations relating to transactions undertaken by me/us on any of stock exchanges.
4. I/We authorizes to my attorney to set off outstanding in any of my/our accounts against credits available or arising in any other accounts maintained with ARSSBL irrespective of the fact that such accounts may pertain to transaction in any of the Exchange and/or against the value of cash margin or collateral securities provided to by me/us.
5. I/We authorize to my attorney to maintain a running account of my/our in order to facilitate the transfer of funds across segments /retain credit balance /to set off outstanding.
6. I/we do hereby ratify and confirm whatsoever my/our said attorney shall have lawfully done or may lawfully do or caused to be done by virtue of or in exercise of any power hereby granted, given authorized or implied or intended to be so granted, given or authorized and also all lawful acts, deeds, matters and things done by the said attorney of the nature mentioned above or incidental or ancillary thereto or arising there-from or deemed by my/our attorney to be requisite or expedient to be done or performed in exercise of any power herein.
7. I/we do hereby agree to bear interest @18% p.a. which would be charged on outstanding dues in order to meet up with my/our obligations temporarily. The above interest rate can be changed from time to time at broker discretion.
8. To authorize ARSSBL to send trades and accounts related information and also Scrip-wise buy and sell positions taken by way of SMS/email on a regular basis.9. I/We further agree and confirm that the powers and authorities conferred by this POA shall continue to be good, valid and effective until revoked by me/us in
writing given to my attorney and that the POA shall not be affected by lapse of time. This POA shall continue in full force and effect until my/our attorney shall receive written notice of revocation thereof, signed by me/us; or, in the event of termination thereof by my/our death, until my/ our attorney shall have received actual notice thereof and such revocation or termination shall in no way affect the validity of this POA with reference to any transactions initiated by my/our attorney, prior to the actual receipt by the attorney of the notice of such revocation / termination as above provided.. Further, without prejudice to the generality of the aforesaid, such revocation of this POA, in so far as any transaction, settlement of which is pending on the date of receipt of notice of revocation by my/our attorney is concerned, shall become effective only after all pending obligations in respect of such transactions are settled on the respective settlement dates and all dues owing by me/ us in connection therewith have been fully paid by me / us to the stock broker. Further, such revocation of power and authority given to my/our attorney hereby shall in no way affect the validity of any relevant Act, deeds or things done or action taken by my/our attorney for the time being in force, for discharging any of my/our settlement obligations in respect of any transactions settlement of which is pending on the date of receipt of the notice of revocation by the attorney.
10. To return to me/us, the securities that may have been received by the stock broker erroneously or those securities that the stock broker was not entitled to receive from me/us.I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) through a writing notice served by me/us to the stock BrokerI/We hereby agree & undertake to indemnify and keep indemnified and save harmless you from and against all claims / demands / penalties / suits / actions or any loss or damage suffered or incurred by you as a consequence of such instructions.
11. In WITNESS WHEREOF I/We have hereunto set and subscribed my/our respective hands to these presents on the _______ day of ___________________ in presence of:
Signed for and on behalf of 1st Holder 2nd Holder 3rd Holder
SignatureFor Anand Rathi Share and Stock Brokers Ltd.
Name of Authorised Signatory
Tital / Designation
Witness 1
Witness 2
Name & Address
Name & Address
F11?S8 ? T6 ?
In case of HUF (Co-parcener's sign.)
Authorised Sigmatory
Signature Signature Signature Signature
Segment Exchange Registration No. & Date
NCDEX
MCX
NCDEX-SPOT
00147 FMC-UMC; NCDEX/TCM/CORP/0178 Dated 27/01/2004
8500/10875/FMC-UMC; MCX/TCM/CORP/0525 Dated 21-05-2004
Membership No. 10050 Dated 03/12/2008
COMMODITY
SPOT
For any grievance/dispute please contact Anand Rathi Share and Stock Brokers Ltd. at the above address or email id [email protected] and phone no. 022-40013700. In case not satisfied with the response, please contact the concern exchange(s) at :
Registered Office :
Opp. Bimbisar Nagar, Goregaon (E), Mumbai-400 063.Tel.: (B) : +091-022-4001 3700 (F) : +091-022-4001 3770
Website : www.rathionline.com
4th Floor, Silver Metropolis, Jai Coach Compound,
CEO :Mr. Roop Bhootra
E-mail : [email protected] : 022-4001 3700
Compliance Officer :Mr. Deepak Kedia
E-mail : [email protected] : 022-4001 3700
Processing Office :Plot No. CYB-2, Cyber Park, Heavy Industrial Area,
Near Saras Dairy, Jodhpur - 342 003.Tel.: +91 291 2745400 / 7117001
Version 04/2016
ANAND RATHI COMMIDITIES LTD.CIN : U67120MH1991PLC064107
Particulars MCX NCDEX
E-mail ID
Tel. No.
[email protected] [email protected]
022-6649 4000 022-6640 6789
"Ple
ase
no
te t
hat
rhe K
YC
ap
plic
ati
on
Fo
rm a
nd
ove
rleaf
inst
ruct
ion
s sh
ou
ld b
e p
rin
ted
on
th
e s
am
e p
ag
e (
back
to
back
). If
pri
nte
d s
ep
ara
tely
th
en
bo
th t
he p
ag
es
sho
uld
be a
ttach
ed
an
d s
ign
ed
by
the a
pp
lican
t."
Know Your Client (KYC) Application form - (For Individuals Only)(COMMODITY)
A. IDENTITY DETAILS
1. Name of Applicant
Father's/Spouse Name
PHOTOGRAPH
Please affix
the recent passport
size photograph and
sign across it
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 ( 3) Resident Individual Non Resident Foreign National
5. PAN
Unique Identification Numbar (UID)/Aadhaar, if any:
6. Proof of Identity submitted Please Tick (3)
B. ADDRESS DETAILS
1. Residence AddressCorrespondence
City / Town / Villeage
State
Pin Code
Country
3. Contact Details
Tel. (Off.)
MobileE-Mail Id.
(ISD) (STD
(ISD) (STD
Tel. (Res.)
Fax
(ISD) (STD
(ISD) (STD
F12F
F13F
behind every successful investorPlease fill this form in ENGLISH and in BLOCK LETTERS(Please tick the box left margin of appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding now)
PAN Card Others (Please Specify)
2. Specify the proof of address submitted for correspondence address:____________________________________________________________
City / Town / Villeage
State CountryPin Code
4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant):
C. 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.
Date: d d / m m / y y y ySignature of the Applicant
FOR OFFICE USE ONLY
Date of IPV
Inperson Verification (IPV) Details:
Name of the person who has done the IPV
Name of the Organization
Designation Employee ID
d d / m m / y y y y
Originals Verified and Self attested Document copies received
Signature of the person who has the IPV
Signature of the Authorised SignatoryDate: d d / m m / y y y y
23
Seal/Stamp of the Intermediary
Application No. :
Version 04/2016
Private Sector Service Public Sector Government Service Business Professional Agriculturist RetiredHousewife Student Forex Dealer Others (Please specify)
2. Occupation (Please tick (3) any one and give brief details):
3. Please tick, if applicable : Politically Exposed Person Related to a Politically Exposed Person
For definition of PEP, please refer guideline overleaf
4. Any other information:
OR
D. OTHER DETAILS
1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs
Net-worth in `. as on (date) (*Net worth should not be older than 1 year) d d / m m / y y y y
Name of the Nominee:
I/We wish to nominate I/We do not wish to nominate
Relationship with the Nominee:
PAN of Nominee: Date of Birth of Nominee:
Address of the Nominee:
Phone No. of the Nominee:
E. NOMINATION DETAILS (for individuals only)
24
WITNESS (Only applicable in case the account holder has made nomination)
Witness 1
Name
Signature__________________________________________
Address
Witness 2
Name
Signature__________________________________________
Address
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.
DECLARATION
Place :
Date : Signature of Client
F14?
Name of guardian: Address of the Guardian:
Phone No. of the Guardian:
Signature of Guardian: _________________________
IF NOMINEE IS A MINOR, DETAILS OF GUARDIAN:
Please tick, if applicable: Politically Exposed Person (PEP) / Related to a Politically Exposed Person (PEP) Not Politically Exposed Person (PEP) / Not Related to a Politically Exposed Person (PEP)
Version 04/2016
25 Version 04/2016
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Know Your Client (KYC) Application form (COMMODITY) - For Non Individuals
B. ADDRESS DETAILS
1. Address for Correspondence
City / Town / Villeage
State
Pin Code
Country
3. Contact Details
Tel. (Off.)
MobileE-Mail Id.
(ISD) (STD
(ISD) (STD
Tel. (Res.)
Fax
(ISD) (STD
(ISD) (STD
AS3
behind every successful investorAcknowledgement No. :NEW CHANGE REQUEST (Please tick 3 the appropriate)
Please fill this form in ENGLISH and in BLOCK LETTERS
(Please tick the box left margin of appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding now)
2. Specify the proof of address submitted for correspondence address:____________________________________________________________
City / Town / Villeage
State CountryPin Code
4. Registered Address (if different from above)
C. OTHER DETAILS (If space is sufficient, enclose these details separately [Illustrative format enclosed])
D. 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.
Date: d d / m m / y y y y Name & Signature of Authorised Signatory
FOR OFFICE USE ONLY
Seal/Stamp of the Intermediary
Date of IPV
Inperson Verification (IPV) Details:
Name of the person who has done the IPV
Name of the Organization
Designation Employee ID
d d / m m / y y y y
Originals Verified and Self attested Document copies received
Signature of the person who has the IPV
Signature of the Authorised SignatoryDate: d d / m m / y y y y
A. IDENTITY DETAILS1. Name of Applicant
Date of Incorporation d d / m m / y y y y 2b. Place of Incorporation2a.
4a. Registration No. (e.g. CIN)
3. Date of commencement of business d d / m m / y y y y
4. PAN
5. Status (please tick the appropriate) 3
Private Limited Co.
Charities
AOP
BOI
FPI-Category III
Public Ltd. Co.
NGO's
Bank
Society
Others (Please specify)
Body Corporate
FO
Government Body
LLP
Partnership
FII
Non-Government Organization
FPI-Category I
Trust
HUF
Defense Establishment
FPI - Category II
Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees and whole time directors:
Aadhar number of Promoters/Partners/Karta
DIN of whole time directors
26
Name, PAN, Residential Address and Photograph of Promoters/Partners/Karta/Trustees and whole time directors
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.
DECLARATION
Place :
Date : Signature of (all) Authorized Signatory (ies)*
AS4
Sr.No.
Name PAN No.Residential /
Registered AddressPhotograph
(stamp & signature across photo)
Version 04/2016
27
COMMON DETAILS FOR INDIVIDUAL / NON-INDIVIDUAL
Bank Name
Branch Name
Branch Address
Bank A/c. No.
A/c. Type Savings Current NRE/NRO Others
MICR Number IFSC Code
A. BANK ACCOUNT DETAILS
• 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.
Version 04/2016
B. DEPOSITORY ACCOUNT(S) DETAILS
Depository ParticipantName
Depository (NSDL/CDSL)
Name Beneficiary Name DP ID Beneficiary ID(BO ID)
• Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client.
C. TRADING PREFERENCES *Please sign the relevant boxes where you wish to trade.e segment not chosen should be struck off by the client
Sr.No. Name of the National Commodity Exchanges Signature of the Client
F15?F16?
MCX
NATIONAL COMMODITY AND DERIVATIVES EXCHANGE LTD. NCDEX
MULTI COMMODITY EXCHANGE OF INDIA LTD.1.
2.
D. INVESTMENT/TRADING EXPERIENCE:
• No Prior Experience • _____Years in Commodities • _____Years in other investment related fields
E. SALES TAX REGISTRATION DETAILS:
Local Sales Tax State Registration No.
Central Sales Tax Registration No.
Other Sales Tax State Registration No.
Name of the State
Validity Date : D D M M Y Y Y Y
Validity Date : D D M M Y Y Y Y
Validity Date : D D M M Y Y Y Y
F. VAT DETAILS (As applicable, State wise)
Local VAT Registration No. :
Name of the State :
Name of the State :
Other VAT Registration No. :
Validity Date : D D M M Y Y Y Y
Validity Date : D D M M Y Y Y Y
Gross Annual Income Details (please specify):
Net-worth as on (date) ( ______________ ) (Net worth should not be older than 1 year)D D M M Y Y Y Y
1 crore > 1 crore1-5 Lacs 5-10 Lacs 10-25 Lacs 25 Lacs Income Range per annum: Below Rs 1 Lac ORC. OTHER DETAILS
Please tick, if applicable, for any of your authorised signatories / Promoters / Partners / Karta / Trustees / whole time directors: Politically Exposed Person (PEP) / Related to a Politically Exposed Person (PEP)
Any other information:
28 Version 04/2016
• Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify):• If ECN has been selected, provide your Email id:• If you wish to receive Electronic Contract Note (ECN), an 'ECN declaration form' via email would need to be provided as per the format and procedure given at
Appendix A.• 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):• In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in commodities on behalf
of company / firm / others:
• Any other information:
___________________________________ ___________________________________________________________________
_____________________________________
_______________________________________________________________________________
_________________________________________________________________________________• Number of years of Investment/Trading Experience:________________________________________________________________
L. ADDITIONAL DETAILS
J. 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:___________________________________________________ _____________________
K. DEALINGS THROUGH AUTHORIZED PERSONS AND OTHER MEMBERS:
Member’s / AP’s Name:
Registered office address:
Exchange:
Exchange’s Registration number:
Phone Fax
Website
Details of disputes/dues pending from/to such Member/AP: ______________________________________________________________
• If client is dealing through the 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) :
Concerned Member’s Name with whom the AP is registered:
Email:Client Code:
Introducer Address
Signature of the Introducer _______________________________________
Status of the Introducer: Authorized Person Existing Client Others, please specify_______________________________
Phone no.:
S u r n a m e N a m e M i d d l e N a m eName of Introducer
M. INTRODUCER DETAILS (OPTIONAL)
Version 04/2016
Commodities Brokerage Tariff Structure
Min. (paise)Delivery (%)
Trading (Cash Leg) (%) Min. (paise)
• Special rates as may be agreed by the sub-broker/Authorised Person and client and the same are mentioned here.
OTHER CHARGES
1) Trading Account opening charges is Rs 552/- (Will be waived off in case of receipt of upfront payment of Rs 10000/- towards margin amount along with account opening application.)
2) Rs 10/- per transaction will be charged for Securities transferred on account of Inter-settlement and /or inter exchange and/or Securities movement Stock Broker’s pool and/or beneficiary account on client behalf, Rs 10/- per transaction will be charged
3) SEBI Turnover fees, STT, Service Tax , Stamp Duty and Transaction charges will be levied separately from brokerage as applicable from time to time
4) Delivery Handling charges ( DHC) would be levied on each sale transaction in case if the value of brokerage levied is less than Rs 20/- The value of DHC would be difference of Rs 20/- and the brokerage charged .
Signature of Client
F17?
p
a
T is s ace is inte tion lly kept blank
h
n
29
ECN CONSENT
To,Anand Rathi Share and Stock Brokers Limited (ARSSBL)th 4 Floor, Silver metropolis,Jai Coach Compound, Opp. Bimbsar Nagar,Goregaon (E), Mumbai – 400 063.
Dear Sir(s),
Sub: Request for sending Contract Notes, Account Statements / Documents etc. on My/our Email ID
l / We am / are registered clients with Anand Rathi Shares and Stock Brokers Ltd. (ARSSBL) and dealing in Capital Market / Derivatives / Currency derivatives / SLB Market having client code allotted________________________.
In reference to my/our dealings with you as your client, I / We am / are aware that Contract Notes, M2M Bills, Daily margin statement, Trade confirmation, Ledgers, Transaction statement (Statement of Funds / Securities), report, letter, circulars, etc. can be received through electronic mode i.e. Email in order to facilitate ease of operations, l/We hereby authorise M/s. Anand Rathi Shares & Stock Brokers Ltd. to send above mentioned documents on following E-mail Id.
1. To receive Contract Note, Bills, Ledgers, Transaction statement (Statement of Funds / Securities), report, letter, circulars, etc. In electronic form at _________________________________________________ E-mail ld provided by me/us to ARSSBL in relation to trades / transaction done on the exchanges.
2. To complete the necessary formalities that is required under the provisions of the Information technology Act, 2000 for getting the above facility. l / We shall Initially download the specified software (signature verifier utility) or any other software as may be advised by stock broker from time to time on our computer and the same shall be used for receiving, viewing, storing the Contract Note, Bills, Ledgers, Transaction statement (Statement of Funds / Securities), reports, letters, circulars, etc that shall be sent by the ARSSBL from time to time in respect of the trades / transactions that have been executed by me/us through the stock broker.
3. I / We hereby state that the said contract note(s) / bill(s) / Ledgers / Confirmation notes or any communication In respect of my / our transactions relating to my / our trading account with ARSSBL, at Email addresses mentioned in my lour request letter shall be treated as due discharge of obligation of the Member under the Rules and Regulations and bye-laws of SEBI and the stock exchange(s).
4 I / We hereby understand that whenever any of the above mentioned Electronic Documents are not delivered to me / us or has been bounced, the member shall send the document in the physical form.
5. I / We given to understand that M/s ARSSBL simultaneously publishes the ‘electronic documents’ on its designed website /online portal https://boclient.anandrathi.in in order to further strengthen the electronic communication channel.
6. The above service may require to, use password / digital signature and I / We will be responsible for confidentiality and proper use at all time of password / digital signature for all transactions initialed through the service.
7. I/We confirm & agree to issue me/us as electronic/digital contract notes on the above mentioned email id. I/We undertake that the same shall be treated as valid receipt of contract note.
In case of any change in my/our said E-mail Id, I/We undertake to intimate the same to you in writing through a physical letter.
Date :
30
F18?D D M M Y Y Y Y
Version 04/2016
(VOLUNTARY)
LETTER OF AUTHORITY (VOLUNTARY)
Anand Rathi Share and Stock Brokers Ltd. (ARSSBL)4th Floor, Silver Metropolis,Jai Coach Compound, Opp. Bimbisar Nagar,Goregaon (E), Mumbai - 400 063.
Dear Sirs,
Ref. Client Code
Sub: Letter of Authority for NSE / BSE / MSEI / SLB
I/We am/are dealing with you (NSE / BSE / MSEI / SLB) and in order to facilitate ease of operations, I/We authorize you as under:
1. I/We authorise you to set off outstanding In any or my/our accounts against credits available or arising In any other accounts maintained with you Irrespective of the fact that such accounts may pertain to transaction in any of the Exchange and/or against the value of cash margin or collateral Securities provided to by me/us.
2. I/We request you to retain credit balance in any of my/our account and to use the idle funds towards my/our margin/future obligations at the Exchange unless I/We instruct you otherwise.
3. I/We request you to retain securities in your Demat account for my/our margin/future obligations, unless otherwise I/We instruct you to transfer the same to my/our account.
4. The client hereby authorizes the trading member to maintain a Running Account of the client in order to facilitate the transfer of funds across segments/retain credit balance/to set off outstanding.
5. I would like the mandatory settlement of the funds and securities (if applicable) as indicated below (tick against your preference).
Monthly Basis Quarterly Basis
6. As and when I/We require the funds/ securities, I /We be informing you of the same and on receipt of the instructions from me/us , same may be released within one working day of the request after verification and if the amount is due as per ARSSBL.
7. To square off my/our position of transactions that are not delivery market during intraday trade.
8. I/We hereby authorise you to set off the outstanding/debits in my account by disposing the securities available in my DP Account No. with you in case of default.
9. The client agrees to bear interest @ 18% p.a. which would be charged on outstanding dues in order to meet up with the client's obligations temporarily.
10. I/we have been made aware of the company's policies & procedure.
11. The above authorization can be revoked at any point of time at the client’s own discretion.
Date :
31
F19?
D D M M Y Y Y Y
Version 04/2016
32
ELECTRONIC CONTRACT NOTE [ECN] – DECLARATION
(APPENDIX - A)
To,ANAND RATHI COMMODITIES LTD.4th Floor, Silver Metropolis Jai Coach Compound,Opp. Bimbisar Nagar, Goregaon (E), Mumbai - 400 063.
Dear Sir,
I,____________________________________________________________________________________ a client with Member M/s._______________________________________________of___________________________ Exchange undertake as follows:
• I/we aware that the Member has to provide physical contract note in respect of all the trades placed by me unless I/we ourself want the same in the electronic form.
• I /we aware that the Member has to provide electronic contract note for my convenience on my request only.
• Though the Member is required to deliver physical contract note, I/we find that it is inconvenient for me to receive physical contract notes. Therefore, I/we am/are 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 a regular internet user, having sufficient knowledge of handling the email operations.
• My email 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 language known to me/us.
• 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 e-mail 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.
*(The email id must be return in own handwriting of the client.)
Client Name: _________________________________________________________________________________________
Unique Client Code : __________________________________________ PAN: _______________________________________
Address : ___________________________________________________________________________________________
_________________________________________________________________________________________________
Signature of the client F20
Date :
Place:
Verification of the client signature done by,
Name of the designated officer of the Member______________________________________________________________________
Signature :_________________________
Date :
?___________________
D D M M Y Y Y Y
D D M M Y Y Y Y
Version 04/2016
COMMODITY
LETTER OF AUTHORITY (VOLUNTARY)
Anand Rathi Commodities Ltd. (ARCL)4th Floor, Silver Metropolis,Jai Coach Compound, Opp. Bimbisar Nagar,Goregaon (E), Mumbai - 400 063
Dear Sirs,
Ref. Client Code
Sub: Letter of Authority for MCX, NCDEX / NCDEX-Spot
I/We am/are dealing with you Commodity (MCX/NCDEX) and in order to facilitate ease of operations, I/We authorize you as under:
1. I/We authorise you to set off outstanding In any or my/our accounts against credits available or arising In any other accounts maintained with you Irrespective of the fact that such accounts may pertain to transaction in any of the Exchange and/or against the value of cash margin or collateral Securities provided to by me/us.
2. I/We authorise you to transfer funds to my accounts maintained with M/s. Anand Rathi Commodities Ltd. in MCX / NCDEX against my / our trades in MCX /NCDEX.
3. I/We request you to retain credit balance in any of my/our account and to use the idle funds towards my/our margin/future obligations at the Exchange unless I/We instruct you otherwise.
4. I/We confirm & agree to issue me/us as electronic/digital contract notes on the email id _______________________________ I/We undertake that the same shall be treated as valid contract note. Any change in the email id shall be communicated to the head office in writing.
5. The client hereby authorizes the trading member to maintain a Running Account of the client in order to facilitate the transfer of funds across segments/retain credit balance/to set off outstanding.
7. To square off my/our position of transactions that are not delivery market during intraday trade.
8. The client agrees to bear interest @ 18% p.a. which would be charged on outstanding dues in order to meet up with the client's obligations temporarily.
9. I have been made aware of the company's policies.
10. The above authorization can be revoked at any time at the client’s own discretion.
Date :
33
F21?D D M M Y Y Y Y
Version 04/2016
COMMODITY
34
MUTUAL FUND SERVICE SYSTEM FACILITY
(Letter to be provided by the investor to the participant)
Date: __________________
To, Anand Rathi Share & Stock Brokers Ltd. (ARSSBL)4th Floor, Silver Metropolis, Jai Coach Compound, Goregaon (East), Mumbai - 400 063.
Sir,
Sub: Mutual Fund Service System (MFSS) facility
I/We ___________________________________________________________ am/are registered as your client with Client Code No. _____________________ and have executed the Trading Member and Client Agreement for the purpose of trading in the Capital Market segment of National Stock Exchange of India Ltd. (Exchange).
I/We am/are interested in availing the MFSS facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the MFSS of the Exchange.
For the purpose of availing the MFSS facility, I/we state that Know Your Client details as submitted by me/us for the stock broking may be considered for the purpose of MFSS and I/we further confirm that the details contained in same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the Circular No NSE / MFSS/003/2008 (Download Reference No : NSE/CMTR/13533) dated 24/11/2009 and as may be specified by the Exchange from time to time in this regard.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/We therefore request you to register me/us as your client for participating in the MFSS.
Thanking you,
Yours faithfully,
(Client Signature)
F22?
Version 04/2016
35 Version 04/2016
Details of terms & conditions for the Investor / Client for using New MFSS facility
1. Pre-requisites for becoming Investor / Client for the New MFSS facility
1.1. The client who is desirous of investing in units of mutual fund schemes through the New MFSS.
1.2. The Client intends to execute his instruction for the subscription/redemption of units of Mutual Fund Schemes through the Participant of the New MFSS.
1.3. The client has satisfied itself of the capacity of the Participant to deal in Mutual Fund units and wishes to execute its instruction through the Participant and the client shall from time to time continue to satisfy itself of such capability of the Participant before executing transacting through the Participant.
1.4. The Client has approached to the Participant with the application for availing the New MFSS facility.
1.5. The client has submitted relevant KYC (Know Your Client) details to the Participants
2. Terms and Conditions
2.1. The client shall be bound by circulars issued by NSEIL, Rules, Regulations and circulars issued there under by SEBI and relevant notifications of Government authorities as may be in force from time to time.
2.2. The client shall notify the Participant in writing if there is any change in the information in the ‘client registration form’ provided by the client to the Participant at the time registering as a client for participating in the New MFSS or at any time thereafter.
2.3. The client shall submit to the Participant a completed application form in the manner prescribed format for the purpose of placing a subscription order with the Participant.
2.4. The client has read and understood the risks involved in investing in Mutual Fund Schemes.
2.5. The client shall be wholly responsible for all his investment decisions and instruction.
2.6. The client shall ensure continuous compliance with the requirements of the NSEIL, SEBI and AMFI.
2.7. The Client shall pay to the Participant fees and statutory levies as are prevailing from time to time and as they apply to the Client’s account, transactions and to the services that Participant renders to the Client.
2.8. The client will furnish information to the Participant in writing , if any winding up petition or insolvency petition has been filed or any winding up or insolvency order or decree or award is passed against him or if any litigation which may have material bearing on his capacity has been filed against him.
2.9. In the event of non-performance of the obligation by the Participant, the client is not entitled to claim any compensation either from the Investor Protection Fund or from any fund of NSEIL or NSCCL.
2.10. In case of any dispute between the Participants and the investors arising out of the MFSS facility, NSEIL and / or NSCCL agrees to extend the necessary support for the speedy redressal of the disputes.
36
Date: ________________To,Anand Rathi Share and Stock Brokers Ltd. (ARSSBL)4th Floor, Silver Metropolis,Jai Coach Compound, Opp. Bimbisar Nagar,Goregaon (E), Mumbai - 400 063.
Sir,
Sub: BSE StAR MF
I/We _____________________________ am/are registered as your client with Client Code No. ______________ and have executed the Trading Member and Client Agreement for the purpose of trading in the Equity Segment of Bombay Stock Exchange Ltd. (Exchange).
I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the BSE StAR MF.
For the purpose of availing this facility, I/we state that Know Your Client details as submitted by me/us for the stock broking may be considered for the purpose of BSE StAR MF and I/we further confirm that the details contained in same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the Notice dated December 2, 2009 and as may be specified by the Exchange from time to time in this regard.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/we therefore request you to register me/us as your client for participating in BSE StAR MF.
Thanking you,
Yours faithfully,
(LETTER TO BE PROVIDED BY THE INVESTOR TO THE MFI)
Version 04/2016
Annexure 3BSE StAR MF
F23?(Client Signature)
37
1. Pre-requisites for becoming Investor / Client for the BSE STAR MF platform
1.1. The client who is desirous of investing in units of mutual fund schemes through the BSE STAR MF.
1.2. The Client intends to execute his instruction for the subscription/redemption of units of Mutual Fund Schemes through the broker who is a Mutual fund Intermediary (MFI) of the BSE STAR MF platform.
1.3. The client has satisfied itself of the capacity of the MFI to deal in Mutual Fund units and wishes to execute its instruction through the MFI and the client shall from time to time continue to satisfy itself of such capability of the MFI before executing transacting through the MFI.
1.4. The Client has approached to the MFI with the application for availing the BSE STAR MF platform.
1.5. The client has submitted relevant KYC (Know Your Client) details to the MFIs
2. Terms and Conditions
2.1. The client shall be bound by circulars issued by BSE’s Rules, Regulations and Notices/circulars issued there under by SEBI and relevant notifications of Government authorities as may be in force from time to time.
2.2. The client shall notify the MFI in writing if there is any change in the information in the ‘client registration form’ provided by the client to the MFI at the time of registering as a client for participating in the BSE STAR MF platform or at any time thereafter.
2.3. The client shall submit to the MFI a completed application form in the manner prescribed format for the purpose of placing a subscription order with the MFI.
2.4. The client has read and understood the risks involved in investing in Mutual Fund Schemes.
2.5. The client shall be wholly responsible for all his investment decisions and instruction.
2.6. The client shall ensure continuous compliance with the requirements of the BSE, SEBI and AMFI.
2.7. The Client shall pay to the MFI fees and statutory levies as are prevailing from time to time and as they apply to the Client’s account, transactions and to the services that MFI renders to the Client.
2.8. The client will furnish information to the MFI in writing , if any winding up petition or insolvency petition has been filed or any winding up or insolvency order or decree or award is passed against him or if any litigation which may have material bearing on his capacity has been filed against him.
2.9. In the event of non-performance of the obligation by the MFI, the client is not entitled to claim any compensation either from the Investor Protection Fund or from any fund of BSE or its Clearing Corporation - Indian Clearing Corporation Ltd. (ICCL).
2.10. In case of any dispute between the MFIs and the investors arising out of the BSE STAR MF platform, BSE and / or ICCL agrees to extend the necessary support for the speedy redressal of the disputes.
Details of terms & conditions for the Investor / Client for using BSE StAR MF platform
Version 04/2016
Declaration (Commodities)
Client ID :Client Name :
Client address :
Date :
To whomsoever it May concern
In pursuance to Exchange circulars MCX/300/2006 and MCX/338/2006 issued on August 1, 2006 and August 21, 2006 AND NCDEX/TRADING-114/2006/247 dated September 28, 2006 respectively in regard to the guidelines for calculation of open position to be held by a client registered with single member and/or multiple members I hereby undertake and confirm as under:-
Besides trading through ANAND RATHI GROUP as client bearing client id ____________________ I am also trading as a client with.
Sr. No. Broker Name Client Code
*KINDLY WRITE NOT APPLICABLE IF U DO NOT HAVE ACCOUNT WITH ANY ANOTHER BROKER IN THE ABOVE BOX. I am aware and further confirm that I am not violating open interest limit as prescribed by FMC / Exchange from time to time and the limit calculated as per Guidelines for calculation of net open position limit as per Circular No MCXl338/2006 dated August 21 2006 MCXl541/2006 dated December 7 2006 and NCDEX/TRADING-114/2006/247 dated September 28, 2006 modified thereafter from time to time.
(Client Signature)
Voluntary
FOR OFFICE USE ONLY
UCC Code allotted to the Client
Documents verified with Originals Client Interviewed By In-Person Verification done by
Name of the Employee
Employee Code
Designation of the employee
Date
Signature
I/We undertake that we have made the client aware of Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the Policy and Procedures’, tariff sheet and all the 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.
Signature of the Authorised Signatory
Date : Seal/Stamp of the stock brokerD D M M Y Y Y Y
¨¨
(Originals verified) True copies of documents received
(Self-Attested) Self Certified Document copies received
47 Version 04/2016
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AS5
Contact us :
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0291-309 - 1400
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