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Individual Version 20 KYC.Pmd

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Individual Version 20 KYC.Pmd Annexure - 1 ACCOUNT OPENING KIT INDEX Sl.No. Name of the Document Brief Significance of the Document Page No MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES A. (a) Instruction and Check list for individual account opening 02 (b) CKYC Instruction and Check list for individual 03-04 (c) CKYC form- Document captures the basic information about the constituent – First Holder 05-08 (d) CKYC form- Document captures the basic information about the constituent – Second Holder 09-10 1 Account Opening Form (e) CKYC form- Document captures the basic information about the constituent - Third Holder 11-12 B. Additional information about the constituent relevant to trading & Demat Account 13-19 2 Tariff Sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s)/commodity exchange(s) 20-21 3 Rights and Obligations of Stock Document stating the Rights & Obligations of stock broker/member of commodity Brokers/Member/Authorised exchange/sub-broker/Authorised person and client for trading on exchanges (including person, Sub-broker and Clients additional rights & obligations in case of internet/wireless technology based trading). 47-61 4 Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities/commodity market. 62-65 5 Guidance Note of the investors Document detailing do’s and don’ts for trading on stock exchange/commodity 66-69 6 Policies and Procedures Document describing significant policies and procedures of the stock broker/ member of commodity Exchange 70-73 VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 7 Schedule of charges for Charges for availing Depository Services 22-23 Depository Services 8 Power of Attorney for Broking and Power of Attorney in favour of Geojit to operate client’s Other Products & Services demat account/mutual fund/IPO 24-26 (Stamp Rs.100/-) 9 Running Account Authorization by client to retain funds/securities in trading account to meet settlement obligations 27 10 NRI Undertaking for NRE PIS Account To create awareness about RBI rules and regulations 28 11 Undertaking from clients For availing exposure against demat holdings on the Equity derivatives and 28 on the F&O segment Commodity derivatives 12 Undertaking for NRO Non-PIS Account Investing under Non-Repatriation Basis 29 13 Declaration of Non - Declaration of shares under Non-Repatriation Basis 30 repatriation Basis NRO Shares 14 Client Commodity Wise Categorisation Client Commodity Wise Categorisation 31-32 15 Client Authorisation to Third Party Client authorisation to a third party to operate trading account 33 16 Regular Service Demat Undertaking for availing Regular Service Demat Account 34 Account-Undertaking 17 Acknowledgement Receipt of Booklet viz. RDD, Rights and Obligations, Do’s and Don’t’s 35 and Policies and Procedures 21 Disclosure Disclosure by Geojit 35 22 Addendum for opening Addendum for opening e-Insurance Account 36-37 e-Insurance Account 23 NACH Authorization to debit funds from client designated bank A/C to meeting funds for systematic SIPs 39 24 Rights and Obligations of Rights and Obligations of demat account holder - Mandatory if demat A/c is with 74-76 demat account holder GEOJIT 25 Rights and Obligations of Stock Rights and Obligations of Stock Brokers and Clients for Brokers and Clients for MTF Margin Trading Facility (MTF) 77-82 26 Additional rights and obligations for To avail value added products and services from Geojit 83-100 stock broking, commodity transaction and other products and services 27 NACH Agreement NACH Agreement 101 28 Customer Awareness Document (AML) To create awareness about Prevention of Money Laundering Act 2002 102-103 * Page 41-46 do not exist. This is done to ensure stadardisation of the booklet 1 Geojit Financial Services Ltd. Corporate Identity Number: L67120KL1994PLC008403 GST Number: 32AABCG1935E1Z6 Registration No. & Date Compliance Officer Name/phone/e-mail id Stock Broker: INZ000104737 / 09-05-2017 NSE Member Code:13372 BSE Member Code:328 Zacharia K G Port Folio Manager : Reg no. INP000003203, Date : 16.02.2012 0484-2901000 [email protected] NCDEX Member Code: 1243 MCX Member Code: 55920 ICEX Member Code: 3007 Depository NSDL/CDSL IN - DP-325-2017 Date: 06.06.2017 Investment Adviser INA200002817, Date : 20.03.2015 Indu K 0484- 2901000 Research Analyst INH200000345, Date : 20.04.2015 [email protected] AMFI reg. no & date ARN 0098 , Date: 09.05.2012 Reg. Office/Correspondence Address: 34/659-P, Civil Line Road, Padivattom, Kochi-682024, Phone: 0484-290100, Fax: 0484-2979695, Website: www.geojit.com CEO name, phone no & email id: Mr. C J George, 0484 2901000, [email protected] For any grievance/dispute please contact Geojit Financial Services Ltd. at the above address or email id [email protected] and phone: 91-484-2901000. In case not satisfied with the response, please contact the concerned exchange(s) at the contact details given below: Exchange Department Email ID Phone No. National Stock Exchange of India Ltd Investor Grievance Cell [email protected] 1800 2660 058 Bombay Stock Exchange Ltd Investor Services [email protected] 022-2272 8138 National Commodities & Derivative Investor Grievances [email protected] 022-6640 6789 Exchange of India Ltd (NCDEX) Multi Commodity Exchange Arbitration & IG [email protected] 022-6649 4070 of India Ltd. (MCX) Indian Commodity Exchange Ltd ICEX) Grievance Redressal [email protected] 022-4038 1500 You can also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI Office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575. INSTRUCTIONS/ CHECK LIST 1. Additional documents in case of trading in F&O/Commodity derivatives segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16. Net worth certificate. Copy of demat account holding statement. Bank account statement for last 6 months. Any other relevant documents substantiating ownership of assets. Self declaration with relevant supporting documents. *In respect of other clients, documents as per risk management policy of the stock broker/member 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. Mobile number of trading account holder is mandatory for commodity trading. 4. For individuals: a. Stock broker/member has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub-broker/member/authorised person’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 receiving Statement of Account in electronic form: a. Client must ensure the confidentiality of the password of the email account. b. Client must promptly inform the Participant if the email address has changed. c. Client may opt to terminate this facility by giving 15 days prior notice. Similarly, Participant may also terminate this facility by giving 15 days prior notice. 6. Politically Exposed Persons [PEP] are defined as individuals who are or have been entrusted with prominent public functions, 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. 2 CENTRAL KYC REGISTRY | INSTRUCTIONS / CHECK LIST / GUIDELINES FOR FILLING INDIVIDUAL KYC APPLICATION FORM Important Instructions: A) Fields marked with ‘*’ are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD-MM-YYYY format. D) Please read section wise detailed guidelines / instructions at the end. E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end. F) List of two character ISO 3166 country codes is available at the end. G) KYC number of applicant is mandatory for update application. H) For particular section update, please tick (3) in the box available before the section number and strike off the sections not required to be updated. General Instructions: 1 Fields marked with ‘*’ are mandatory fields. 2 Tick (3) wherever applicable. 3 Self-Certification of documents is mandatory. 4 Please fill the form in English and in BLOCK Letters. 5 Please fill all dates in DD-MM-YYYY format. 6 Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code respectively list of which is available at the end. 7 KYC number of applicant is mandatory for updation of KYC details. 8 For particular section update, please tick (3) in the box available before the section number and strike off the sections not required to be updated. Other Instructions: If any proof of identity or address is in a foreign language, then translation into English is required. A Clarification / Guidelines on filling ‘Personal Details’ section 1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc.). The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected. 2 Either father’s name or spouse’s name is to be mandatorily furnished. B Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India 1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction.
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