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Zerodha Commodities Private Limited

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Zerodha Commodities Private Limited Zerodha Commodities Private Limited Membership Details: Exchange Registration No. FMC Unique Membership Code (UMC) MCX 46025 MCX/TM/CORP/1945 NCDEX 1138 NCDEX/TM/CORP/1113 Registered Office Address Zerodha Commodities Private Limited #153/154, 4th Cross Dollars Colony, Opp. Clarence Public School, J.P Nagar 4th Phase, Bangalore - 560078 Phone: +91-80-40402020 Fax: +91-80-41682349 Email: [email protected] | Website: www.zerodha.com Correspondence Address Zerodha Commodities Private Limited #153/154, 4th Cross Dollars Colony, Opp. Clarence Public School, J.P Nagar 4th Phase, Bangalore - 560078 Phone: +91-80-40402020 Fax : +91-80-41682349 Email: [email protected] | Website: www.zerodha.com Compliance Officer Details CEO Details Name: Venu Madhav Name: Nithin Kamath Email ID: [email protected] Email ID: [email protected] Phone No: +91-80-40402020 Phone No: +91-80-40402020 For any grievance/dispute please contact Zerodha Commodities Private Limited at the above mentioned address or email [email protected] or call 080-40402020. In case you are not satisfied with the response, please contact the concerned exchanges, MCX at [email protected] or Phone No.: 022-67318888; NCDEX at [email protected] or Phone No.: 022-66406084. CLIENT REGISTRATION FORM BRANCH/AUTHORIZED PERSON CODE: BRANCH / AUTHORIZED PERSON NAME: INTRODUCER/CODE: CLIENT CODE: CLIENT NAME: 1 sign wherever you see Dr. Stock ZERODHA COMMODITIES PRIVATE LIMITED SET OF ACCOUNT OPENING DOCUMENTS S. No. Name of the Document Brief Significance of the Document Page No MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES KYC (Account Opening KYC Form - Document captures the basic information about 1 4 Application Form) for the constituent and an instruction/check list. Individual Uniform Risk Disclosure Document detailing risks associated with dealing in the 2 Annexure Document (RDD) commodities market. Rights and Obligations of Document stating the Rights & Obligations of Member, Authorized Person 3 Members, Authorized Persons and Client for trading on exchanges (Including additional rights & Annexure and Client obligations in case of Internet/wireless technology based trading). Document detailing dos and don’ts for trading on exchange for 4 Dos and Don’ts for the Investors the education of the investors. Annexure Document detailing the rate/amount of brokerage and other 5 Tariff Sheet charges levied on the client for trading on the Commodity 8 Exchange(s) VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER 7 Appendix-A Electronic Contract Note [ECN] Declaration 9 8 Annexure-N Disclosure Information 10 9 Annexure-O Receipt of KYC, RDD and Dos & Don’ts 10 10 Annexure-P Additional Rights & Obligations Annexure 11 Annexure-Q Letter of Authority 11 12 Lien & Set-Off Right to set-off balances in accounts with Zerodha 12 2 sign wherever you see INSTRUCTIONS / CHECKLIST FOR FILLING KYC FORM A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of /Partners /Karta /Trustees and whole time directors and persons authorized to deal in Residence/ Driving License. securities on behalf of company/firm/others. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 2. Copies of all the documents submitted by the applicant should be self-attested and months old. 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 3. Bank Account Statement/Passbook -- Not more than 3 months old. authorized for attesting the documents, as per the below mentioned list. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in 3. If any proof of identity or address is in a foreign language, then translation into English is respect of their own accounts. required. 5. Proof of address issued by any of the following: Bank Managers of Scheduled 4. Name & address of the applicant mentioned on the KYC form, should match with the Commercial Banks / Scheduled Co-Operative Bank / Multinational Foreign Banks / documentary proof submitted. Gazetted Officer / Notary Public / Elected representatives to the Legislative Assembly/ Parliament / Documents issued by any Govt. or Statutory Authority. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Identity card/document with address, issued by any of the following: Central/State Government and its departments, Statutory / Regulatory Authorities, Public Sector 6. Sole proprietor must make the application in his individual name & capacity. Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is etc., to their Members. mandatory. 7. For FII / sub account, Power of Attorney given by FII / sub-account to the Custodians 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their (which are duly notarized and / or apostilled or consularised) that gives the registered passport copy should be given. address should be taken. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC 8. The proof of address in the name of the spouse may be accepted. (Continuous Discharge Certificate) is to be submitted. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of 10. For opening an account with Depository participant or Mutual Fund, for a minor, such claims to be collected.) photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government and /or State Board/Passport of Minor/Birth Certificate must be provided. Government and by officials appointed by Courts e.g. Official liquidator, Court receiver 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been etc. entrusted with prominent public functions in a foreign country, e.g., Heads of States or of 2. Investors residing in the state of Sikkim. Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. 3. UN entities / multilateral agencies exempt from paying taxes / filing tax returns in India. B. Proof of Identity (POI): - 4. SIP of Mutual Funds up to Rs 50,000/- p.a. List of documents admissible as Proof of Identity: 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians 2. PAN card with photograph. shall verify the PAN card details with the original PAN card and provide duly certified 3. Identity card / document with applicant's Photo, issued by any of the following: copies of such verified PAN details to the intermediary. Central/State Government and its Departments, Statutory/ Regulatory Authorities, E. List of people authorized to attest the documents: Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial / Co-operative ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the by Banks. copy). C. Proof of Address (POA): - List of documents admissible as Proof of Address: 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial (*Documents having an expiry date should be valid on the date of submission.) 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. Additional documents in case of trading in 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 need to be provided by the client from time to time. G. 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. H. Demat master or recent holding statement issued by DP bearing name of the client. 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
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