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CSBL Ind. Clint. Book June 2020.Pmd

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CSBL Ind. Clint. Book June 2020.Pmd ACKNOWLEDGMENT I / We acknowledge the receipt of copies of all the documents executed by me including the following : 1) Account opening form 2) Tariff sheet ( DP and Trading ) and all other documents including voluntary (POA ) executed by me / us. 3) Proof of Address, Bank and PAN and Aadhar Card 4) Policies and procedures for Trading account, Financial details, FATCA declaration, Risk disclosure document. 5.) Received and read the rights and obligation documents ( DP and Trading ) Signature of the client :............................................................................................................... Name of the Client :............................................................................................................................ BO ID :..1..2..0..2..3..9.0..0.......................................Client Code :............................................... Date :.............................................. Signature Card Account No. 120 23900 (To be filled by the CSBL) First Authorised Second Authorised Third Authorised Signatory Signatory Signatory Name X1- A X1- B X1- C Signature Specimen All proof should be self attested self be should proof All One passport size photograph of each Account Holder. Account each of photograph size passport One Copy of RBI Apporval for NRIs. for Apporval RBI of Copy Proof of NRI Status. NRI of Proof Date of Birth Certificate in case of Minors. of case in Certificate Birth of Date The following documents are to be submitted by the Investors :- Investors the by submitted be to are documents following The 4. 3. Signatures should be preferably in black ink. black in preferably be should 3. Signatures 2. Strike off whichever is not applicable. not is whichever off 2. Strike 1. All correspondence / queries shall be addressed to the First / Sole Applicant only. Applicant Sole / First the to addressed be shall queries / correspondence 1. All Instructions for Applicants for Instructions 7.8 wt. card 300 B& F COCHIN STOCK BROKERS LIMITED Subsidiary of Our Investments Enterprise Ltd. (OIEL) [Formerly COCHIN STOCK EXCHANGE LIMITED] CIN: U67120KL1999PLC013552 PAN : AABCC9652N GSTIN : 32AABCC9652N1ZD SEBI Registration No. & Date : INZ000195533, Date: AUGUST 24, 2018 DP ID : 12023900 SEBI Regn. No. IN-DP-260-2016 Approved Person of Central Insurance Repository Ltd.(AP-1190) CIRL-IRDA/IR2/2014/238 Mutual Fund – ARN78992 Registered Office Address : MES Dr. P K Abdul Gafoor Memorial Complex, 36/1565, 4th Floor, Judges Avenue, Kaloor, Cochin – 682017. Tel : 0484 4874500-519 Dir No.(DP) 0484 4874506-510 Email: [email protected], [email protected] Website: www.csbl.co.in Correspondence Office Address : MES Dr. P K Abdul Gafoor Memorial Complex, 36/1565, 4th Floor, Judges Avenue, Kaloor, Cochin – 682017. Tel : 0484 4874500-519 Dir No.(DP) 0484 4874506-510 Email: [email protected] Website: www.csbl.co.in Compliance Officer Name : P. Janaki Devi Phone no : 0484-4874522, 7907467366, 8921195741 8921190725, 8921555693 E mail id : [email protected] For any grievance/dispute please contact stock broker: Cochin Stock Brokers Limited at the above address or email at [email protected], [email protected] or call on 0484-4874522.In case not satisfied with the response, please contact the concerned exchange(s). For BSE mail at [email protected] or call on (022)- 2272 8097, for NSE mail at [email protected] or call on (022) – 2659 8190, For MCX mail at [email protected] or call on (022)-66494151. For SEBI: http://scores.gov.in, SEBI Toll Free Helpline: 1800 22 7575 or 1800 266 7575 csbl.kyc.ver.012-2020 04 January 2020-650 re print chnage page COCHIN STOCK BROKERS LIMITED ACCOUNT OPENING KIT AND INDIVIDUAL CLIENT REGISTRATION INDEX OF DOCUMENTS Sr. No. Name of the Document Brief Significance of the Document Page No MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI, EXCHANGES & DEPOSITORY 1 Account Opening Form A. KYC form ( First holder of Demat and Trading account),KYC form ( All Joint holders of demat account ) Type of DP account and instruction/ check list for individuals & non individuals. 4 - 14 B. Details of Guardian, Bank details, Other details, Nomination details, Tariff of CSBL DP. 2 SMS Alerts SMART = SMS Alerts Related to Transactions CDSL’s convenient, informative SMS alert facility 15 - 16 3 Additional information about the Document captures the additional information constituent relevant to trading about the constituent relevant to trading account 18 - 22 account and an instruction/check list. 4 Policies and Procedures for Document describing significant policies and Trading Account procedures of the stock broker (to be added by the 23 - 25 stock broker). 5 Tariff Sheet for Trading Account Document detailing the rate/amount of brokerage and other charges levied on the client for trading on 26 the stock exchange(s) (to be added by the stock broker). VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 6 Investor’s Rights and Obligations To provide basic information or insight to the client about their rights and obligation related to their 27 - 28 transactions in Securities Market 7 Running Account Authorization Helps the client to enjoy exposures linked to credit 29 - 30 in the trading account. 8 Consent for Smooth Operational To enable the trading member to act upon the Convenience for clauses mentioned in the consent for smooth 31 - 32 CASH/ F&O/ Currency Segment operational convenience - 1 - 9 Consent for Securities To enable the trading member to act upon the as Collateral clauses mentioned in the consent for smooth 33 operational convenience 10 Power of Attorney Format of the Power of attorney to be issued by client authorizing trading member to operate 34 - 35 his Demat account for meeting exchange 35 (a) 35 (b) obligations. 11 Authorisation for sending of statement of accounts of For operational convenience of transactions 36 Beneficial Owner (BO) account through e - mode 12 Non mandatory Format of letter to be obtained from a Bank to establish operation of Bank Account, 37 Personal Identity and Signature 13 FATCA Declaration 37 (a) 37 (b) Mandatory Documents CUSTOMER COPY - PROVIDED BY THE STOCK BROKER 14 Rights and Obligations. Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI 39 - 41 and Depositories 15 Rights and Obligations Document stating the Rights & Obligations of stock broker/trading member, sub-broker / Authorized Person and client for trading on 42- 46 exchanges (including additional rights & obligations in case of internet/wireless technology based trading). 16 Risk Disclosure Document Document detailing risks associated with dealing in 47- 50 (RDD) the securities market. 17 Guidance Note Document detailing do’s and don’ts for trading on 51 - 52 exchange, for the education of the investors. - 2 - re print chnage page COCHIN STOCK BROKERS LTD. APPLICATION FOR OPENING 1. Depostory Participant Account (Page 4 - Page 15) 2 Trading Account (Page 4 & Page 16 - 35 (b)) Note 1. ( DP A/c ) : 1. Seperate KYC Form (Page 4) is needed for all joint holder applicants with self attested copies of relevant proofs. 2. Bank account must be in the name of first applicant. Note 2. ( Trading A/c ) : - 1. Individual Trading Account can only be opened in the name of first holder of Demat and Bank Account. 2. Trading account can’t open in joint holder status. 3. Minor can’t open trading account. 4. For NRI’s PIS bank account is compulsory - 3 - CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual Important Instructions: A) Fields marked with ‘*’ are mandatory fields. E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end. B) Please fill the form in English and in BLOCK letters. F) List of two character ISO 3166 country codes is available at the end. C) Please fill the date in DD-MM-YYYY format. G) KYC number of applicant is mandatory for update application. D) Please read section wise detailed guidelines / instructions H) For particular section update, please tick ( ) in the box available before the at the end. section number and strike off the sections not required to be updated. For office use only Application Type* New Update (To be filled by financial institution) KYC Number (Mandatory for KYC update request) Account Type* Normal Simplified (for low risk customers) Small 1. PERSONAL DETAILS (Please refer instruction A at the end) Prefix First Name Middle Name Last Name Name* (Same as ID proof) Maiden Name (If any*) Father / Spouse Name* M R Mother Name* M R S Date of Birth* D D M M Y Y Y Y PHOTO Gender* M- Male F- Female T-Transgender Marital Status* Married Unmarried Others Citizenship* IN- Indian Others (ISO 3166 Country Code ) Residential Status* Resident Individual Non Resident Indian Foreign National Person of Indian Origin Occupation Type* S-Service ( Private Sector Public Sector Government Sector ) O-Others ( Professional Self Employed Retired Housewife Student) B-Business Signature / Thumb X- Not Categorised Impression 2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end) ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked) ISO 3166 Country Code of Jurisdiction of Residence* Tax Identification Number or equivalent (If issued by jurisdiction)* Place / City of Birth* ISO 3166 Country Code of Birth* 3. PROOF OF IDENTITY (PoI)* (Please refer instruction C at the end) (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted) A- Passport
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