KNOW YOUR CLIENT (KYC) UPDATION FORM (For Individuals)

Dhani Stocks Limited (Formerly Indiabulls Securities Ltd.) Please affix your
recent passport
Registered Office Address: M-62 & 63, First Floor, Connaught Place, New Delhi – 110001. (1) size photograph
Phone: 011-43532950; Fax: 011-43532947; Correspondence Office Address: Indiabulls House,
and sign across it
448-451, Udyog Vihar, Phase V, Gurgaon – 122016, Haryana. Website: www.dhanistocks.com
Corporate Identity Number (CIN): U74999DL2003PLC122874; Email: [email protected] ;
[email protected] ; Phone: 022-61446300 Fax: 0124 6681111
Trading Code
Demat ID (1) I N 3 0 2 2 3 6

Demat ID (2) I N 3 0 2 2 3 6
Demat ID (3) I N 3 0 2 2 3 6

Please fill the form in English and ‘BLOCK LETTERS’ only

PART- (A) IDENTITY DETAILS
Prefix First Name Middle Name Last Name
Name of the Applicant
(as per PAN Website)

Name of the applicant

(same as ID Proof)

Maiden Name * (if any)

Father’s/Spouse Name *
(if any)

Mother’s Name *

Date of Birth * D D M M Y Y Y Y Gender: □ M - Male □ F – Female □ T - Transgender

(DD/MM/YYYY)
Marital Status: Citizenship * Residential Status*:
□ Unmarried □ IN-Indian □ Resident Individual □ Non Resident Indian □ Foreign National (Passport copy
□ Married □ Others (please mandatory for NRIs and Foreign Nationals) □ Person of Indian Origin
□ Others specify) ______
PAN □ Form 60 furnished
Please enclose a duly attested copy of your PAN card
# Proof of Identity submitted for PAN exempted cases. Please tick (√) – Please refer instruction B.
(Certified copy of any one of the following Proof of Identity (PoI) needs to be submitted).
□ Passport Number Passport Expiry Date D D M M Y Y Y Y
□ Voter ID Card
□ PAN Card
□ Driving Licence Driving Licence Expiry Date D D M M Y Y Y Y
□ National population register letter
□ Proof of Possession of Aadhaar ^ X X X X X X X X
□ EKYC Authentication ^ X X X X X X X X
□ Offline verification of Aadhaar ^ X X X X X X X X
^ Please enter only the last 4 digits of your UID / Aadhaar
□ NREGA Job Card
# Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital KYC process needs to be
submitted.
Others (Any document notified by Central Government) Identification number:

PART (B). ADDRESS DETAILS

Address Type * □ Residential / Business □ Residential □ Business □ Registered Office □ Unspecified
Address for
Correspondence

City/Town/Village State
Country PIN/ Post Code
State / U.T. Code* ISO 3166 Country Code*
Proof of Address to be provided by the Applicant. Please submit ANY ONE of the following documents.
Please tick (√) against the document attached.
□ Passport □ Ration Card □ Driving License □ Latest Electricity Bill# Validity/Expiry date of proof of
□ Voter Identity Card □ Latest Gas Bill # □ Latest Telephone Bill (only landline) address submitted
# □ Registered Lease/Sale Agreement of Residence □ UID (Aadhaar) □ NREGA Job D D M M Y Y Y Y
Card □ National population register letter □ Proof of Possession of Aadhaar
□ EKYC Authentication □ Others ______________________
# not more than 2 months old
Deemed proof of address: Document Type Code
□ Please tick (√) permanent address is the same as above address.
Address Type* □ Residential / Business □ Residential □ Business □ Registered Office □ Unspecified
Permanent Address

City/Town/Village State
Country PIN/Post Code
State / U.T. Code* ISO 3166 Country Code*
Proof of Address to be provided by the Applicant. Please submit ANY ONE of the following documents.
Please tick (√) against the document attached.
□ Passport □ Ration Card □ Driving License □ Latest Electricity Bill# Validity/Expiry date of proof of
□ Voter Identity Card □ Latest Gas Bill # □ Latest Telephone Bill (only landline) # address submitted
□ Registered Lease/Sale Agreement of Residence □ UID (Aadhaar) □ NREGA Job
Card □ National population register letter □ Proof of Possession of Aadhaar
D D M M Y Y Y Y
□ EKYC Authentication □ Others ______________________
# not more than 2 months old
Contact Details (all communications will be sent on provided Mobile No. / Email ID)
Telephone No. (Off.)
Telephone No. (Res.)
Fax
Email ID
Mobile Number

Gross annual income details □ < 1 Lac □ 1 - 5 Lac □ 5 - 10 Lac □ 10 - 25 Lac □ ( >) Above 25 Lac
(income range per annum)
(OR) Net worth As on date D D M M Y Y Y Y
Net worth should not be older than 1 year
Occupation Type
□ S – Service (□ Private Sector □ Public Sector □ Government Sector)
□ O – Others (□ Professional □ Self Employed □ Retired □ Housewife □ Student )
□ B – Business □ X – Not Categorised □ Agriculturalist □ Others ________________________________
Please tick if applicable □ Politically Exposed Person (PEP) □ Related to a Politically Exposed Person (PEP)
Any other Information
Details of FATCA-CRS (Please consult your professional tax professional on your tax residency, if required)
Are you a tax resident of any country other than India? □ Yes □ No
If yes, please indicate all countries in which you are a resident for tax purposes and the associated Tax purposes and the
associated Tax ID Numbers below
S. No Country of Tax Residency# Tax Identification Number (TIN) / Identification Type
Functional Equivalent^ [TIN or other; please specify]
1.
2.
3.
# to also include USA, where the individual is a Citizen/Green Card Holder of the USA
^ Incase Tax Identification Number is not available, kindly provide its functional Equivalent
DECLARATION: I hereby declare that the details furnished above are true and correct to the best of my knowledge and
belief and I 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 aware that I may be held liable for it. I have understood the
information requirements of this form (read along with the FATCA & CRS Instructions) and hereby confirm that the
information provided by me on this form is true, correct and complete. I also confirm that I have read and understood
FATCA & CRS Terms and Conditions below and hereby accept the same. I hereby consent to receiving information from
Central KYC registry through SMS/Email on the above registered number / email address.

Signature/Thumb impression of applicant:  (2) _____________________________________________________

Date: _________ Place: ____________

IDENTITY VERIFIED “IN PERSON” – Dhani Stocks Limited (Formerly Indiabulls Securities Ltd.)
IPV Done on D D M M Y Y Y Y
Place
Employee Name
SEAL/STAMP of Dhani Stocks Limited
Designation (Formerly Indiabulls Securities Ltd.)
Date D D M M Y Y Y Y
Employee
Signature 
FOR OFFICE USE ONLY
Intermediary Name - Dhani Stocks Limited (Formerly Indiabulls Securities Ltd. and Indiabulls Commodities Ltd.)
□ (Originals Verified) True copies of documents received
□ (Self-attested) Self-certified document copies received
Application Type: □ New □ Update
KYC Number (Mandatory for KYC Update Request):
Account Type:
□ Normal □ Aadhaar OTP based E-KYC (in non-face to face mode) SEAL/STAMP of Dhani Stocks Limited
Employee Name (Formerly Indiabulls Securities Ltd.)

Designation
Date D D M M Y Y Y Y
Employee Signature

 INSTRUCTIONS/CHECKLIST FOR FILLING INDIVIDUAL CKYC APPLICATION FORM
A. IMPORTANT POINTS:
1. Fields marked with ‘*’ are mandatory fields
2. Tick ‘√’ wherever applicable
3. A. Self-Certification of documents is mandatory. Self-attested copy of PAN card is mandatory for all clients.
B. Copies of all the documents submitted by the applicant should be self-attested and 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 authorized for attesting the documents, as per the below mentioned list.
4. Please fill the form in English and in BLOCK Letters. If any proof of identity or address is in a foreign language, then
translation into English is required.
5. Please fill all dates in DD-MM-YYYY format.
6. A. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof
submitted.
B. The name should match with the name as mentioned in the Proof of Identity submitted failing which the
application is liable to be rejected.
C. Please state the name with Prefix (Mr. / Mrs. / Ms. / Dr. etc.)
7. Either father’s name or spouse’s name is to be mandatorily furnished. In case PAN is not available father’s name is
mandatory.
8. If correspondence & permanent address are different, then proofs for both have to be submitted.
9. 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.
10. KYC number of applicant is mandatory for updation of KYC details.
11. The ‘OTP based E-KYC’ check box is to be checked for accounts opened using OTP based E-KYC in non-face to face
mode.
12. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of
passport/PIO Card/OCI Card and overseas address proof is mandatory.
13. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be
given.
14. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is
to be submitted.
15. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving
Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.
16. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public
functions in a foreign country, 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.
B. (1) Proof of Identity (POI): - List of documents admissible as Proof of Identity:
1. PAN card with photograph. This is mandatory requirement for all applicants except those who are specifically
exempt from obtaining PAN (listed in Section D).
2. Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital KYC process needs to be
submitted.(Any one of the following OVDs) -
A -Passport Number; B -Voter ID Card; C - Driving Licence; D - NREGA Job Card; E - National population register
letter; F - Proof of Possession of Aadhaar; EKYC Authentication; Offline verification of Aadhaar

B. (2) Clarification / Guidelines on filling ‘Proof of Identity [PoI]’ section

1. If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily
furnished.
2. Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is
ticked
C. (1) Proof of Address (POA): List of documents admissible as Proof of Address: (*Documents having an expiry date
should be valid on the date of submission.
1. Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital KYC process (as per details
mentioned in point (B(1)(2)).
2. List of document valid for ‘Deemed Proof of Address’
Document Code Description
01 Utility bill which is not more than 2 months old of any service provider (electricity,
telephone, post-paid mobile phone, piped gas).
02 Property or municipal tax receipt
 Document Code Description
03 Pension or family pension payment orders (PPOs) issued to retired employees by
Government Departments or Public Sector Undertakings if they contain the address.
04 Letter of allotment of accommodation from employer issued by State Government or
Central Government Departments, statutory or regulatory bodies, Public Sector
Undertakings, Scheduled Commercial Banks, financial institutions and listed companies and
leave and license agreements with such employers allotting official accommodation.
3. Proof of Address (POA) to be submitted Proof of Identity (PoI) does not have current address or address as per PoI
is invalid or not in force.
4. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/
Flat Maintenance bill/ Insurance Copy/ Unique Identification Number (UID) (Aadhaar) /NREGA Job Card.
5. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 2 months old.
6. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
7. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-
Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the
Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
8. Identity card/document with address, issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar
Council etc., to their Members.
9. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or
apostiled or consularised) that gives the registered address should be taken.
10. The proof of address in the name of the spouse may be accepted.
11. Following documents are not valid as Permanent address proof:
a. Utility bill which is more than two months old of any service provider (electricity, telephone, post-paid
mobile phone, piped gas).
b. Property or Municipal Tax receipt.
c. Bank account or Post Office savings bank account statement.
d. Pension or family pension payment orders (PPOs) issued to retired employees by Government
Departments or Public Sector Undertakings, if they contain the address.
e. Letter of allotment of accommodation from employer issued by State or Central Government departments,
statutory or regulatory bodies, public sector undertakings, scheduled commercial banks, financial
institutions and listed companies. Similarly, leave and license agreements with such employers allotting
official accommodation.
f. Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign
Embassy or Mission in India.

C. (2) Clarification / Guidelines on filling ‘Proof of Address [PoA] - Current / Permanent / Overseas Address details’
section
1 PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in
force.
2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses

C. (3) Clarification / Guidelines on filling ‘Proof of Address [PoA] - Correspondence / Local Address details’ section
1 To be filled only in case the PoA is not the local address or address where the customer is currently residing. No
separate PoA is required to be submitted

C. (4) Clarification / Guidelines on filling ‘Contact details’ section

1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-
9999999999).
2 Do not add ‘0’ in the beginning of Mobile number

D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials
appointed by Courts e.g. Official liquidator, Court receiver etc.
2. Investors residing in the state of Sikkim.
3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
4. SIP of Mutual Funds upto Rs 50, 000/- p.a.
 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and
Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies
registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956,
Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such
verified PAN details to the intermediary.
E. List of people authorized to attest the documents:
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign
Banks (Name, Designation & Seal should be affixed on the copy).
2. 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.
F. INSTRUCTIONS/ CHECK LIST
1. Additional documents in case of trading in derivatives segments - illustrative list:
Copy of ITR; 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.
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. Demat master or recent holding statement issued by DP bearing name of the client.
4. 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 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.
G. Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India
 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction.
However, if the said jurisdiction has issued a high integrity number with an equivalent level of identification (a
“Functional equivalent”), the same may be reported. Examples of that type of number for individual include, a
social security/insurance number, citizen/personal identification/services code/number, and resident
registration number)

List of two – digit state / U.T codes as per Indian Motor Vehicle Act, 1988
State / U.T Code State / U.T Code State / U.T Code
Andaman & Nicobar AN Himachal Pradesh HP Pondicherry PY
Andhra Pradesh AP Jammu & Kashmir JK Punjab PB
Arunachal Pradesh AR Jharkhand JH Rajasthan RJ
Assam AS Karnataka KA Sikkim SK
Bihar BR Kerala KL Tamil Nadu TN
Chandigarh CH Lakshadweep LD Telangana TS
Chattisgarh CG Madhya Pradesh MP Tripura TR
Dadra and Nagar Haveli DN Maharashtra MH Uttar Pradesh UP
Daman & Diu DD Manipur MN Uttarakhand UA
Delhi DL Meghalaya ML West Bengal WB
Goa GA Mizoram MZ Other XX
Gujarat GJ Nagaland NL
Haryana HR Orissa OR

List of ISO 3166 two- digit Country Code

Country Country Country Country
Country Country Country Country
Code Code Code Code

Afghanistan AF Dominican Republic DO Libya LY Saint Pierre and Miquelon PM

 List of ISO 3166 two- digit Country Code
Country Country Country Country
Country Country Country Country
Code Code Code Code

Saint Vincent and the

Aland Islands AX Ecuador EC Liechtenstein LI VC
Grenadines

Albania AL Egypt EG Lithuania LT Samoa WS

Algeria DZ El Salvador SV Luxembourg LU San Marino SM

American
AS Equatorial Guinea GQ Macao MO Sao Tome and Principe ST
Samoa

Macedonia, the
Andorra AD Eritrea ER former Yugoslav MK Saudi Arabia SA
Republic of

Angola AO Estonia EE Madagascar MG Senegal SN

Anguilla AI Ethiopia ET Malawi MW Serbia RS

Falkland Islands
Antarctica AQ FK Malaysia MY Seychelles SC
(Malvinas)

Antigua and
AG Faroe Islands FO Maldives MV Sierra Leone SL
Barbuda

Argentina AR Fiji FJ Mali ML Singapore SG

Armenia AM Finland FI Malta MT Sint Maarten (Dutch part) SX

Aruba AW France FR Marshall Islands MH Slovakia SK

Australia AU French Guiana GF Martinique MQ Slovenia SI

Austria AT French Polynesia PF Mauritania MR Solomon Islands SB

French Southern
Azerbaijan AZ TF Mauritius MU Somalia SO
Territories

Bahamas BS Gabon GA Mayotte YT South Africa ZA

South Georgia and the

Bahrain BH Gambia GM Mexico MX GS
South Sandwich Islands

Micronesia,
Bangladesh BD Georgia GE FM South Sudan SS
Federated States of

Moldova, Republic
Barbados BB Germany DE MD Spain ES
of

Belarus BY Ghana GH Monaco MC Sri Lanka LK

 List of ISO 3166 two- digit Country Code
Country Country Country Country
Country Country Country Country
Code Code Code Code

Belgium BE Gibraltar GI Mongolia MN Sudan SD

Belize BZ Greece GR Montenegro ME Suriname SR

Benin BJ Greenland GL Montserrat MS Svalbard and Jan Mayen SJ

Bermuda BM Grenada GD Morocco MA Swaziland SZ

Bhutan BT Guadeloupe GP Mozambique MZ Sweden SE

Bolivia,
Plurinational BO Guam GU Myanmar MM Switzerland CH
State of
Bonaire, Sint
Eustatius and BQ Guatemala GT Namibia NA Syrian Arab Republic SY
Saba

Bosnia and
BA Guernsey GG Nauru NR Taiwan, Province of China TW
Herzegovina

Botswana BW Guinea GN Nepal NP Tajikistan TJ

Tanzania, United Republic

Bouvet Island BV Guinea-Bissau GW Netherlands NL TZ
of

Brazil BR Guyana GY New Caledonia NC Thailand TH

British Indian
IO Haiti HT New Zealand NZ Timor-Leste TL
Ocean Territory

Brunei Heard Island and

BN HM Nicaragua NI Togo TG
Darussalam McDonald Islands

Holy See (Vatican City

Bulgaria BG VA Niger NE Tokelau TK
State)

Burkina Faso BF Honduras HN Nigeria NG Tonga TO

Burundi BI Hong Kong HK Niue NU Trinidad and Tobago TT

Cabo Verde CV Hungary HU Norfolk Island NF Tunisia TN

Northern Mariana
Cambodia KH Iceland IS MP Turkey TR
Islands

Cameroon CM India IN Norway NO Turkmenistan TM

 List of ISO 3166 two- digit Country Code
Country Country Country Country
Country Country Country Country
Code Code Code Code

Canada CA Indonesia ID Oman OM Turks and Caicos Islands TC

Cayman Islands KY Iran, Islamic Republic of IR Pakistan PK Tuvalu TV

Central African
CF Iraq IQ Palau PW Uganda UG
Republic

Chad TD Ireland IE Palestine, State of PS Ukraine UA

Chile CL Isle of Man IM Panama PA United Arab Emirates AE

China CN Israel IL Papua New Guinea PG United Kingdom GB

Christmas
CX Italy IT Paraguay PY United States US
Island

Cocos (Keeling) United States Minor

CC Jamaica JM Peru PE UM
Islands Outlying Islands

Colombia CO Japan JP Philippines PH Uruguay UY

Comoros KM Jersey JE Pitcairn PN Uzbekistan UZ

Congo CG Jordan JO Poland PL Vanuatu VU

Congo, the
Venezuela, Bolivarian
Democratic CD Kazakhstan KZ Portugal PT VE
Republic of
Republic of the

Cook Islands CK Kenya KE Puerto Rico PR Viet Nam VN

Costa Rica CR Kiribati KI Qatar QA Virgin Islands, British VG

Cote d'Ivoire Korea, Democratic

CI KP Reunion !Réunion RE Virgin Islands, U.S. VI
!Côte d'Ivoire People's Republic of

Croatia HR Korea, Republic of KR Romania RO Wallis and Futuna WF

Cuba CU Kuwait KW Russian Federation RU Western Sahara EH

Curacao
CW Kyrgyzstan KG Rwanda RW Yemen YE
!Curaçao

Lao People's Saint Barthelemy

Cyprus CY LA BL Zambia ZM
Democratic Republic !Saint Barthélemy

Saint Helena,
Czech Republic CZ Latvia LV Ascension and SH Zimbabwe ZW
Tristan da Cunha
 List of ISO 3166 two- digit Country Code
Country Country Country Country
Country Country Country Country
Code Code Code Code

Denmark DK Lebanon LB Saint Kitts and Nevis KN

Djibouti DJ Lesotho LS Saint Lucia LC

Saint Martin
Dominica DM Liberia LR MF
(French part)