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VERSION 11.3 Mandatory INSTRUCTIONS/CHECKLISTFORFILLINGKYCFORM C

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VERSION 11.3 Mandatory INSTRUCTIONS/CHECKLISTFORFILLINGKYCFORM C NRI VERSION 11.3 Mandatory INSTRUCTIONS/CHECKLISTFORFILLINGKYCFORM C. Proof of Address(POA):-Listof documentsadmissibleasProof of Address: A. IMPORTANTPOINTS: (*Documents having an expiry date should be valid on the date of 1 Self attested copy of PAN card is mandatory for all clients, including submission.) Promoters/Partners/Karta/Trustees and whole time directors and persons 1. *Passport / Voters Identity Card / Ration Card / Aadhar Card / Registered authorizedtodealinsecuritiesonbehalf of company/firm/others. Lease or Sale Agreement of Residence / Driving License / Flat Maintenance 2. Copies of all the documents submitted by the applicant should be self- bill/InsuranceCopy. attestedandaccompaniedbyoriginalsforverification. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not In case the original of any document is not produced for verification, then morethan3monthsold. copies should be properly attested by entities authorised for attesting the 3. BankAccountStatement/Passbook--Notmorethan3monthsold. documents,asperthebelowmentionedlist. 4. Self-declaration by High Court and Supreme Court judges, giving the new 3. If any proof of identity or address is in a foreign language, then translation addressinrespectof theirownaccounts. intoEnglishisrequired. 5. POAissuedbyanyof thefollowing:BankManagersof ScheduledCommercial 4. Name & address of the applicant mentioned on the KYC form, should match Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted withthedocumentaryproof submitted. Officer/Notarypublic/Elected representatives to the Legislative 5. If correspondence & permanent address are different, then proofs for both Assembly/Parliament/Documents issued by any Govt. or Statutory havetobesubmitted. Authority. 6. Soleproprietormustmaketheapplicationinhisindividualname&capacity. 6. Identity card/document with address, issued by any of the following: 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and Central/State Government and its Departments, Statutory/Regulatory FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas Authorities, Public Sector Undertakings, Scheduled Commercial Banks, addressproof ismandatory. Public Financial Institutions, Colleges affiliated to Universities and 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their directors,theirpassportcopyshouldbegiven. Members. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of 7. For FII/sub account, Power of Attorney given by FII/sub-account to the CDC(ContinuousDischargeCertificate)istobesubmitted. Custodians (which are duly notarized and/or apostiled or consularised) that 10.For opening an account with Depository participant or Mutual Fund, for a givestheregisteredaddressshouldbetaken. minor, photocopy of the School Leaving Certificate/Mark sheet issued by 8. Theproof of addressinthenameof thespousemaybeaccepted. Higher Secondary Board/Passport of Minor/Birth Certificate must be 9. Aadhaar Letter issued by UIDAI shall be admissible as Proof of address in provided. additiontoProof of Identity. 11.Politically Exposed Persons (PEP) are defined as individuals who are or have 10.e-KYC service launched by UIDAI shall also be accepted as a valid process for been entrusted with prominent public functions in a foreign country, e.g., KYC verification. The information containing the relevant client details and Heads of States or of Governments, senior politicians, senior photograph made available from UIDAI as a result of e-KYC process shall be Government/judicial/ military officers, senior executives of state owned treated as a valid proof of address corporations, important political party officials, etc. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in B. Proof of Identity(POI):-Listof documentsadmissibleasProof of Identity: supportof suchclaimstobecollected.) 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ 1. In case of transactions undertaken on behalf of Central Government and/or Drivinglicense. State Government and by officials appointed by Courts e.g. Official liquidator, 2. PANcardwithphotograph. Courtreceiveretc. 3. Identity card/ document with applicant's Photo, issued by any of the 2. Investorsresidinginthestateof Sikkim. following: Central/State Government and its Departments, 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns Statutory/Regulatory Authorities, Public Sector Undertakings, inIndia. Scheduled Commercial Banks, Public Financial Institutions, Colleges 4. SIPof MutualFundsuptoRs50,000/-p.a. affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Council etc., to their Members; and Credit cards/Debit cards issued Commercial Banks, Multilateral and Bilateral Development Financial by Banks. Institutions, State Industrial Development Corporations, Insurance 4. e-KYC service launched by UIDAI shall also be accepted as a valid process for Companies registered with IRDA and Public Financial Institution as defined KYC verification. The information containing the relevant client details and under section 4A of the Companies Act, 1956, Custodians shall verify the photograph made available from UIDAI as a result of e-KYC process shall be PAN card details with the original PAN card and provide duly certified treated as a valid proof of Identity. copies of such verified PAN details to the intermediary. E. List of people authorised to attest the documents: Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative bank or MultinationalBank(Name,Designation&Sealshouldbeaffixedonthecopy) 1.INSTRUCTIONSINSTRUCTIONS / CHECK LIST Additional documents in case of trading in derivatives segment (illustrative list): 1. Copy of ITR Acknowledgement 4. Net worth Certificate - CA Certified 7. Demat Account Holding Statement along with valuation 2. Copy of Annual Accounts 5. Salary Slip 8. *Any other relevant documents substantiating 3. Copy of Form 16 in case of salary income 6. Bank Statement (For last 6 months) ownership of Assets 2. 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. 3. 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. * Relevant documents as per risk management policy of the stock broker to be provided by the client from time to time. 1 SHAREKHAN LIMITED 10th Floor, Beta Building, Lodha, iThink Techno Campus, Off. JVLR, Opp. Kanjurmarg Railway Station, Kanjurmarg (E), Mumbai - 400 042. Application No. Acknowledgment Slip Date : ____ / ____ / ________ Received the application from the following holder/s for opening a trading & depository account. Please quote the Client Code, DP ID & Client ID allotted to you in al your future correspondence. Name of 1st Holder Name of 2nd Holder Name of 3rd Holder Received Cheque No. _____________ Amount _____________ Bank Name __________________________________________________ Received Cheque No. _____________ Amount _____________ Bank Name __________________________________________________ Executive Name : Executive Sign : Outlet Name : Outlet Code : For all queries, please call 1800 22 7500 / 3970 7500 (Local Call Charges) / 022 - 6115 0000 (If you are in Mumbai) Sharekhan For DP Inquires & Queries email at [email protected] & Broking Queries email at [email protected] Seal and Signature Note : “Kindly DO NOT handover Cash / Shares to the sales executive for any reason. INDEX Sr. No Name of the Document Brief Significance of the Document Page No. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI, DEPOSITORY & EXCHANGES 1. Account Opening Form-Checklist and Instructions This Instructions Checklist relevant to opening trading & demat account. 1 2. Know Your Client (KYC) Application Form This Document captures the basic information about the client 4-6 3. Account Opening Form for Trading and This Document captures the additional information about the clients relevant Depository trading and depository account 7-14 4. Tariff Sheet for Trading Account This Document details the rate/amount of brokerage and other charges levied on the client for trading on the Stock Exchange(s). 15 5. Tariff Sheet for Demat Account for NRE/ NRO Document contains the schedule of demat fee 16 & 17 account. 6. Agreement between Clearing Member and This document lays down the basic rights of the Clearing Member Consituent (Custodial Participant) and the Constituent 18-20 7. Policies and Procedures This Document describes significant policies and procedures of the Stock Broker. 21-23 8. Rights and Obligations For Trading This Document states the Rights & Obligations of Stock broker / trading member, sub-broker and client for trading on exchanges (including 24-27 additional rights & obligations in case of internet/ wireless technology based trading).
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