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Simplified Investments Client Name Form No. Simplified Investments ACCOUNT OPENING FORM (FOR RESIDENT INDIVIDUAL) Edelweiss Broking Limited For Trading Account Edelweiss Securities Limited For DP Account V03/M03/Y15 Edelweiss Broking Ltd. & Edelweiss Securities Ltd 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. If the client chooses to avail the demat facility from the same stock broker who is also a depository participant, the stock broker may use the same form and provide the details of the demat account opened for the said client to the client while providing a copy of the KYC documents. Signature of the Authorised Signatory Date D D M M Y Y Y Y Seal/Stamp of the stock broker Edelweiss Broking Ltd.: Unit No. 801-804, 8th Floor, Abhishree Avenue, Nehru Nagar, Ambawadi, Ahmedabad - 380 015. Tel. : 079-40019900 / 079-66629900, Fax : 079-40019999. Website: www.Edelweiss.in Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai Member NSE, BSE and MSEI (SEBI Registration No: INZ000005231; Since 24th March 2015) NSDL (SEBI Registration No.: IN-DP-NSDL-314-2009 - Depository Participant, DP ID IN303719 since 24th Apr 2009 and DP ID IN302201 since 9th Mar 2015 on account of Amalgamation of EFAL DP with EBL DP) Compliance Officer Name: Dhirendra Rautela; Phone No: 022 4088 6278; E-mail id: [email protected] For any grievance / dispute please contact Edelweiss Broking Ltd at the above address or email at [email protected] or Toll Free No.: 18001023335. In Case not satisfied with the response, please contact the concerned exchange(s ) as under: NSE BSE MSEI Email ID [email protected] [email protected] [email protected] Phone No +91 22 26598190 +91 22 22728138 +91 22 61129000 , Ext. 9028 Edelweiss Securities Ltd.: Edelweiss Securities Limited. Registered Address: 2nd Floor, MB Towers, Plot No. 5, Road No. 2, Banjara Hills, Hyderabad – 500 034 Toll Free Number: Website: www.Edelweiss.in Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai – 400098 Phone Number: +91 (022) 43428609 DP CDSL, Segment: Depository Participant, SEBI Registration No.: IN-DP-CDSL-226-2004, DP ID: 12032300, Date of Registration: February 6, 2009. Compliance Officer Name: Pravin Bathe Phone: 022 4088 6278; Email Id: [email protected] For any grievance / dispute please contact Edelweiss Securities Ltd at the above address or email at [email protected] or Toll Free No.: 18001023335. In case not satisfied with the response, please contact CDSL, at [email protected] or Phone No. (022) 22723333. ICONS FOR ILLUSTRATION G W1 Guardian Witness 1 Client Signature Edelweiss Broking Ltd. & Edelweiss Securities Ltd Message from Team Edelweiss Dear Customer, We are happy that you have chosen us as your investment partner. We at Edelweiss aim at enhancing experience and simplifying processes for our customers. This Account Opening Form is another step towards the very aim - making the process of entering a new financial relationship easier. We take pleasure and pride in introducing this Account Opening form as one of the shortest and simplest in the industry. Now, opening a trading account with us takes a few minutes only, leaving you more time to interact with our representative and clarify any doubts or queries that you may have. We also request you to go through the Terms and Conditions booklet which will be appended with your KYC. This booklet covers the details of your relationship with us and helps you become an informed investor. With this, we also urge you to write to us on - [email protected] for trading and on [email protected] for demat account issues, queries or feedback. We will be glad to hear from you. Your trusted advisor always. Warm Regards, Team Edelweiss Edelweiss Broking Ltd. & Edelweiss Securities Ltd INDEX FOR EBL - TRADING ACCOUNT & ESL - CDSL DEMAT ACCOUNT Sr. No. Name of the Document Brief Significance of the Document Page No. MANDATORY SECTION IN KYC AS PRESCRIBED BY SEBI AND EXCHANGES KYC Form - Document captures the basic information about the constituent 1-3 1-3 1. Account Opening Form - Trading & Additional KYC Form - Document captures the additional information about the Demat Account related details constituent relevant to Trading and Demat account Declaration for opening Trading and Demat Account along with acceptance of KYC 4 Document Booklet 2. Tariff Sheet – Trading Document detailing the rate/amount of brokerage and other charges levied on the client 5 for trading on the stock exchange(s) 3. Tariff Sheet – Demat Document detailing the tariff/charges levied on Client 5 4. Financial Status and other details Financial Status and Other Details as per Prevention of Money Laundering Act, 2002 6 (PMLA) VOLUNTARY SECTION IN KYC 5. Power of Attorney Authorisation by Client 7-8 a. For Running Account maintenance b. For receiving ECN and any documents / communications in electronic form from Stock 6. Voluntary Authorizations Broker and Depository Participant 9-10 c. For debiting various Depository charges d. For sharing of Data and Information 7. SMS and E-mail alerts Request for SMS and E-mail alerts from Stock Exchange/s and Stock Brokers 11 8. Fatca Declaration Certificate of Foreign Status of Beneficial Owner for United States Tax withholding 12-13 9. CIRL Consent Form Opening of e-Insurance Account (eIA) to hold Insurance Policies in Electronic form 14 MANDATORY SECTION IN BOOKLET 10. Rights and Obligations – Stock Broker Document stating the Rights & Obligations of Stock Broker / trading member, Sub-Broker 1-9 and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading) 11. Risk Disclosure Documents (RDD) Document detailing risk associated with dealing in the securities market 10-15 12. Guidance Note Document detailing do’s and don’ts for trading on exchange, for the education of the 16-17 investors 13. Policies and Procedures Document describing significant policies and procedures of the Stock Broker 18-24 14. Anti-Money Laundering (AML) Understanding for clients about Anti Money Laundering (AML) 25-26 provisions 15. Rights & Obligations – Demat Rights & Obligations of Beneficial Owner & Depository Participant as prescribed by SEBI 27-30 & Depositories VOLUNTARY SECTION IN BOOKLET 16. Terms and Conditions (Voluntary) General Terms & Conditions w.r.t. Trading 31-56 17. Terms and Conditions for SMS and General Terms & Conditions w.r.t. SMS and E-mail alerts from Stock Exchanges and 57-61 E-mail alerts Stock Brokers 18. KYC Document Booklet & Declaration Declaration by Client for opening Trading and Depository Account along with acceptance 62-63 of KYC document booklet 19. Instruction/Checklist for filling Instructions/checklist for filling KYC Form – Trading 64-67 KYC Form 20. General Information General Information about Depository Participant - Demat 68 Edelweiss Broking Ltd. & Edelweiss Securities Ltd Know Your Client (KYC) Application Form Form No.______________________ A. Identity Details (please see guidelines in the booklet pg. no. 1 to 4) Please fill in ENGLISH and in BLOCK LETTERS with black ink 1. Name of the Applicant (As appearing in supporting identification document). First Name Middle Name Last Name PHOTOGRAPH 2. Father's/Spouse Name: Please affix 3. Gender Male F emale B . Marital status S ingle Married C . Date of Birth d d / m m / y y y y a recent passport size photograph and 4. Nationality Indian 5. PAN Please enclose a duly attested copy of your PAN Card 1 sign across it 6. Aadhaar Number, if any: (Sole Holder) 7. Specify the proof of Identity submitted: B. Address Details (please see guidelines in the booklet pg. no. 1 to 4) 1. Address for Correspondence / Residence City / Town / Village Pin Code State Country 2. Contact Details Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD) Mobile (ISD) (STD) Fax (ISD) (STD) E-Mail Id. 3. Specify the proof of address submitted for correspondence / residence address: 4. Permanent Address of Resident Applicant. (If different from above address) City / Town / Village Country Pin Code State 5. Specify the proof of address submitted for permanent address: 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. 3 Signature of Client For Office Use Only UCC Code allotted to the Client: DP Internal Reference No. DP Name NSDL/CDSL Beneficiary Name DP ID BO ID Check list to be verified by acquiring sales staff, CXO and midoffice Details Documents verified with original Client Interviewed By In-Person Verification done by Name of the Employee Employee Code Designation of the Employee Date Signature 1 VO3/MO3/Y15 Edelweiss Broking Ltd. & Edelweiss Securities Ltd Type of Account - Sub Status Individual Resident Individual-Director Individual Director’s Relative Individual HUF / AOP Individual Promoter Minor Individual Margin Trading A/C (MANTRA) Others (specify) Other Details (EBL & ESL) Gross annual income range p.a. Below Rs. 1 Lac Rs. 1-5 Lac Rs.
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