KYC NEW Form For Individuals

I
"Please note that the KYC Application Form and overleaf instructions should be printed on the same page (back to back). If printed separately then both the pages should be attached and signed by the applicant."
Know Your Client (KYC) Application Form (For Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black ink. A. Identity Details (please see guidelines overleaf) 1. Name of Applicant (As appearing in supporting identication document) Name
Application No. : Ver. 01-2012
Father's / Spouse's Name 2. Gender Male Female Indian B. Marital Status Single Married C. Date of Birth D
D
PHOTOGRAPH Please affix
/M
/Y
a recent passport size photograph and sign across it
3. Nationality
Others Resident Individual
Please specify
4. Status Please tick ( ) 5. PAN
Non Resident
Foreign National (Passport copy mandatory for NRIs and Foreign Nationals) Please enclose a duly attested copy of your PAN Card.
Unique Identication Number (UID)/Aadhaar, if any 4. Proof of Identity submitted for PAN exempt cases Please tick ( ) UID (Aadhaar) Passport Voter ID Driving License Others B. Address Details (please see guidelines overleaf) 1. Address for Correspondence
Please specify
(please see guideline 'D' overleaf))
City / Town / Village State 2. Contact Details (STD) Tel. (Off.) (ISD) Mobile E-Mail Id. (ISD) (STD) Tel. (Res.) Fax
Postal Code Country (ISD) (ISD) (STD) (STD)
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease / Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank Bank Account Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others Please specify *Not more than 3 months old. Validity/Expiry date of proof of address submitted D D M M Y Y Y Y
4. Permanent Address of Resident Applicant if different from B1 above OR Overseas Address (Mandatory) for Non-Resident Applicant
City / Town / Village State
Postal Code Country
5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Ration Card Registered Lease / Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank Bank Account Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others Please specify *Not more than 3 months old. Validity/Expiry date of proof of address submitted D D / M M / Y Y Y Y C. Other Details (please see guidelines overleaf) 1. Gross Annual Income Details Please tick ( ) [OR] (* Net worth should not be older than 1 year) D D / M M / Y Y Y Y Net-worth in v as on (date) 2. a. Occupation Details (Please tick ( ) any one and give brief details) Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) 3. Please tick if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) For denition of PEP, please refer guideline overleaf 4. Any other information: Below 1 Lac 1-5 Lacs 5-10 Lacs 10-25 Lacs >25 Lacs-
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my/our 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/we are aware that I/we may be held liable for it. Place : Date : FOR OFFICE USE ONLY In-Person Verification carried out on Name of Ofcial Designation : : AMC / Intermediary Name or Code (Attested) True copies of documents received dd/mm/yyyy at _________________ a.m./p.m.by :
SIGNATURE OF APPLICANT
Signature with Stamp
Organisation Name :
ARN Code : Originals Veried Self Certied Document copies received
Seal/Stamp should contain Staff Name, Designation, Name of Organisation, Signature, Date
INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

A. 1. 2. IMPORTANT POINTS: Self attested copy of PAN card is mandatory for all clients. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verication. In case the original of any document is not produced for verication, then the copies should be properly attested by entities authorized for attesting the documents,as per the list mentioned under [E]. If any proof of identity or address is in a foreign language, then translation into English is required. Name & address of the applicant mentioned on the KYC form,should match with the documentary proof submitted. If correspondence & permanent addresses are different, then proofs for both have to be submitted. Sole proprietor must make the application in his individual name & capacity. For non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIOCard/OCICard and overseas address proof is mandatory. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors,their passport copy should be given. In case of Merchant Navy NRIs, Mariners declaration or certied copy of CDC (Continuous Discharge Certicate) is to be submitted. 7. 6. 1. C. 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.) Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance bill/Insurance Copy. Utility bills like Telephone Bill (only land line),Electricity bill or Gas bill -Not more than 3 months old. Bank Account Statement/Passbook -Not more than 3 months old. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/ Multinational Foreign Banks/Gazetted Ofcer/Notary public/ Elected representatives to the Legislative Assembly or Parliament/ Documents issued by any Govt. or Statutory Authority. 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 afliated to Universities and Professional Bodies such as ICAI, ICWAI,ICSI,Bar Council etc.,to their Members. 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. The proof of address in the name of the spouse may be accepted. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) In case of transactions undertaken on behalf of Central Government and/or State Government and by ofcials appointed by Courts e.g. Ofcial liquidator,Court receiver etc. Investors residing in the state of Sikkim. UN entities/multilateral agencies exempt from paying taxes/ling tax returns in India. SIP of Mutual Funds up to Rs 50,000/- p.a. 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 dened under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certied copies of such veried PAN details to the intermediary. List of people authorized to attest the documents: Notary Public, Gazetted Ofcer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name,Designation & Seal should be afxed on the copy). In case of NRIs, authorized ofcials 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.
2. 3. 4. 5.
3. 4. 5. 6. 7.
8. 9.
8. D. 1.
10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certicate/ Mark sheet issued by Higher Secondary Board/Passport of Minor/ Birth Certicate must be provided. 11. Politically Exposed Persons (PEP) are dened 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 ofcers, senior executives of state owned corporations, important political party ofcials,etc. B. 1. Proof of Identity (POI): List of documents admissible as Proof of Identity: PAN card with photograph. This is a mandatory requirement for all applicants except those who are specically exempt from obtaining PAN (listed in Section D). Unique Identication Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license. Identity card/ document with applicants Photo, 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 afliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.
2. 3. 4. 5.
2. 3.
E. 1.
2.
Please Submit the KYC Documents on A4 Size Paper Only.
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I

Know Your Client (KYC) Application Form (For Individuals Only)

Application No. : Ver. 01-2012

PHOTOGRAPH Please affix

a recent passport size photograph and sign across it

Others Resident Individual

4. Status Please tick ( ) 5. PAN

(please see guideline 'D' overleaf))

Postal Code Country (ISD) (ISD) (STD) (STD)

City / Town / Village State

Postal Code Country

Signature with Stamp

ARN Code : Originals Veried Self Certied Document copies received

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

Please Submit the KYC Documents on A4 Size Paper Only.

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