Final 2016 edit - Arihant Capitalarihantcapital.com/upload/application_form/Common... · · 2016-09-22Copy of the constitution/registration or annual report/balance sheet for the

Branch - Family Code -

Terminal Code -

Demat Scheme - Client ID -

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INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM

Types of entity Documentary requirements

Corporate

Partnership firm

Trust

HUF

Unincorporatedassociation or a body of individuals

Banks/InstitutionalInvestors

Registered Society

Army/ GovernmentBodies

Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members.Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.3/3

Self-certification on letterhead. Authorised signatories list with specimen signatures.

Copy of SEBI registration certificate. Authorised signatories list with specimen signatures.

Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorised signatories list with specimen signatures.

Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorised signatories list with specimen signatures.

PAN of HUF. Deed of declaration of HUF/ List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta.

Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/CA. Photograph, POI, POA, PAN of Trustees.

Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners.

Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).

of SEBI takeover

Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures.

Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.

Copy of the balance sheets for the last 2 financial years (to be submitted every year).

Foreign InstitutionalInvestor (FII)

( 02 )

INSTRUCTION / CHECK LIST

1. Additional documents in case of trading in derivatives segments - illustrative list:

Copy of ITR Acknowledgment

In case of salary income - Salary Slip, Copy of Form 16

Copy of demat account holding statement.

Any other relevant documents substantiating ownership of assets

Copy of Annual Accounts

Net worth certificate

Bank account statement for last 6 months

Self declaration with relevant supporting documents.

* In respect of other clients, documents as per risk management policy of the stock broker need to be 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:

5. For non-individuals:

a. Form need to be initialized by all the authorized signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of company/firm/others and their specimen signatures.

provided

NOTES

1. All communication shall be sent at the address of the Sole/First holder only.

2. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.

3. Instructions related to nomination, are as below:

I. The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form.

II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.

III. The Nominee shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time.

IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.

V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository and the Participant against the legal heir.

VI. behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.

VII.On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee.

4. For receiving Statement of Account in electronic form:

I. Client must ensure the confidentiality of the password of the email account.

II. Client must promptly inform the Participant if the email address has changed.

III. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

5. Strike off whichever is not applicable.

( 03 )

ADDITIONAL INSTRUCTIONS

1. Minor: Trading A/c cannot be opened in name of Minor, Demat A/c - Joint a/cs not permitted with minor, PAN and Proof Address of both Minor and Guardian to be submitted.

2. Currency Derivative Segment: NRI cannot deal in Currency Derivative Segment.

3. Trading A/c cannot be opened in joint names.

4. All corrections on the form should be countersigned with full signature. White ink is not allowed either in form or authorization.

5. Incase of an employee of another Member Broker, NOC from employer is required.

( 04 )

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.

3. SUBMISSION CHECKLIST

1. Complete Documentation Received Yes No If No, give details

2. "Verified with Original" stamp affixed on proofs Yes No

Client Interviewed By / In-Person Verification done by

Name of the Employee

Employee Code

Designation of Employee

Date

Signature

3. "PAN verified" stamp with Employee name & signature affxed on proof Yes No

FOR OFFICE PURPOSE ONLY

1. CLIENT RISK CATEGORISATION UNDER PMLA: LOW RISK MEDIUM RISK HIGH RISK

2. KRA REGISTRATION DETAILS

If Client is already registered with KRA please fil in below details:

NDML CVL DOTEX Others (Please Specify)

(Please furnish photocopy of KRA Registration letter)

Status

For : Arihant Capital Markets Limited

Signature of Authorised Signatory

/ /d d m m y y y y

2. Father's/Husband's Name

3a. Gender Male Female 3b. Marital Status MarriedSingle

4a. Nationality Indian Other (Please specify)

4b. Status

5a. PAN 5B. Aadhaar Number, if any:

6. Specify Proof of Identity submitted

Resident Individual Non Resident Foreign National

PAN card Any Other (Please specify)

Please affixyour recent passport

size photograph

B

/ /d d m m y y y y

Name & Signature of the Authorised Signatory

/ /d d m m y y y y

a) Name of the person doing IPV:

b) Designation:

c) Name of the Organization:

d) Signature e) Date

In Person Verification (IPV) Details:

CI 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.

FOR OFFICE USE ONLY

DECLARATION

Signature of the Applicant

KNOW YOUR CLIENT (KYC) Application Form - For IndividualPlease fill this form in ENGLISH and in BLOCK LETTERS NEW CHANGE EXISTING (Please tick the appropriate)(Please tick the box on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the corresponding row)

Phone: (0731) 4217100-101, E: [email protected], W: www.arihantcapital.com Capital Markets Ltd. Regd. Office: E-5, Ratlam Kothi Area, Indore (M.P.) - 452 001

KYC Regd. No.

3c. Date of Birth

Originals verified and Self-Attested Document copies received

Seal/Stamp of the Intermediary

1.

2.

Date / /d d m m y y y y

Signatureacross photograph

Date

/ /d d m m y y y y

ADDRESS DETAILS

1. Residence / Correspondence Address

2. Specify the Proof of Address submitted for Residence / Correspondence Address :

3. Contact Details

4. Permanent Address (If different from above mandatory for Non-Resident Applicant to specify overseas address)

Correspondence Address Residence Address

City / Town / Village

State Country

Pin Code


State Country

Pin Code

Fax

Mobile No

Tel. (Off.)

Tel. (Res.)

E-mail Id.

IDENTITY DETAILS

1. Name of Applicant

A

( 05 )

1/35

2/35

( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED* ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

A) Fields marked with ‘*’ are mandatory fields. B) Please fill the form in English and in BLOCK letters.C) Please fill the date in DD-MM-YYYY format.D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.F) List of two character ISO 3166 country codes is available at the end.G) KYC number of applicant is mandatory for update application.H) For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated.

Married

Resident IndividualForeign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-ServiceO-OthersB-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code Identification Number

X- Not Categorised

Address Type*Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS

7. REMARKS (If any)

(All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1’ ) (please refer instruction G at the end)

(If KYC number and name are provided, below details of section 6 are optional)

Tel. (Off)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

State* ZIP / Post Code* ISO 3166 Country Code*

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government) Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date : Place :

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 changestherein, 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 hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Employee Signature][Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

State / U.T Code* Pin / Post Code* ISO 3166 Country Code*District*

Line 2 City / Town / Village*

Line 1*

Line 3

Line 2 City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code Identification Number

2. Father's/Husband's Name

3a. Gender Male Female 3b. Marital Status MarriedSingle

4a. Nationality Indian Other (Please specify)

4b. Status

5a. PAN 5B. Aadhaar Number, if any:

6. Specify Proof of Identity submitted

Resident Individual Non Resident Foreign National

PAN card Any Other (Please specify)

Please affixyour recent passport

size photograph

B

/ /d d m m y y y y


/ /d d m m y y y y

a) Name of the person doing IPV:

b) Designation:

c) Name of the Organization:

d) Signature e) Date

In Person Verification (IPV) Details:

CI 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.

FOR OFFICE USE ONLY

DECLARATION

Signature of the Applicant

KNOW YOUR CLIENT (KYC) Application Form - For Second HolderPlease fill this form in ENGLISH and in BLOCK LETTERS NEW CHANGE EXISTING (Please tick the appropriate)(Please tick the box on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the corresponding row)


KYC Regd. No.

3c. Date of Birth

Originals verified and Self-Attested Document copies received


1.

2.

Date / /d d m m y y y y

Signatureacross photograph

Date

/ /d d m m y y y y

ADDRESS DETAILS

1. Residence / Correspondence Address

2. Specify the Proof of Address submitted for Residence / Correspondence Address :

3. Contact Details

4. Permanent Address (If different from above mandatory for Non-Resident Applicant to specify overseas address)

Correspondence Address Residence Address


State Country

Pin Code


State Country

Pin Code

Fax

Mobile No

Tel. (Off.)

Tel. (Res.)

E-mail Id.

IDENTITY DETAILS


A

( 06 )

b) PAN

PAN

6 Lad Colony, Y.N. Road, Indore - 452 001 T. 0731.4217100, F. 0731.4217199 E-mail : [email protected] Website : www.arihantcapital.com

Client - ID (To be filled by Participant)DP ID : I N 3 0 1 9 8 3 1 0

Annexure - J

I/We request you to open a depository account in my/our name as per the following details : Date : D D M M Y Y Y Y

DETAILS OF ACCOUNT HOLDER(S):A)

Name Sole / First Holder

Name Second Holder

Name Third Holder

For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the

name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned below:B)

a) Name

TYPE OF ACCOUNTC)

Ordinary Resident

Qualified Foreign Investor

NRI-Repatriable

Foreign National

NRI-Non Repatriable

Promoter

Margin

Others (Please specify)

(Please fill all the details in CAPITAL LETTERS only)I - ADDITIONAL INFORMATION FOR DEMAT ACCOUNT

Occupation Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please specify)

STANDING INSTRUCTIONSD)

1

2

3

I/We hereby authorise you to receive credits automatically into my/our account.

Account to be operated through Power of Attorney (POA)

SMS Alert facility : [Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form]

Yes

Yes

No

No

Sr. No.

1

2

3

Holder

Sole/First Holder

Second Holder

Third Holder

Yes No

(please tick any one and give brief details)

PAN

Occupation (please tick any one and give brief details)

PAN

Occupation (please tick any one and give brief details)

Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please specify)

Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please specify)

PART-II - ACCOUNT OPENING FORM (FOR INDIVIDUALS)

GUARDIAN DETAILS (Where sole holder is a minor) :E)

[For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian)]

Guardian Name

Relationship of guardianwith minor

PAN

DECLARATION

The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. 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. In case non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

Name(s) of the holder(s) Signature(s) of the holder(s)

Sole/ First Holder/ Guardian (in casesole holder is minor) (Mr./Ms.)

Second Holder(Mr./Ms.)

Third Holder(Mr./Ms.)

( 07 )

F)

3/35

Option for issuance of DIS booklet alongwith account opening

(to be filled by persons seking to open a depository account who have given Power of Attorney to operate the depository account to a stock brocker / Portfolio Manager and do not

intend to open a Basic Services Demat Account)

Option for Issue of DIS booklet (please tick any one)

Option 1

I/We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.

Option 2

I/We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued to me/us immediately on my/our request at any later date.

G)

( 08 )

Sole / First Holder1)

Second Holder2)

Third Holder3)

ACKNOWLEDGEMENT

DP ID : IN301983

Received the application from Mr./Ms.

as the sole/first holder along with

as the second and third holders respectively for opening of the depository account. Please quote the DP ID & Client ID allotted to you in all your future correspondence(s).

Date :

and

D D M M Y Y Y Y

6 Lad Colony, Y.N. Road, Indore - 452 001

T. 0731.4217100, F. 0731.4217199

Capital Markets Ltd.



4/35

A. IDENTITY DETAILS

Name of Applicant/ Corporate /

HUF / Firm

Please fill this form in ENGLISH and in BLOCK (CAPITAL) LETTERSII - ADDITIONAL INFORMATION FOR TRADING ACCOUNT

Name of DP

DP ID

Depository Name

B. DEPOSITORY ACCOUNT DETAILS : [Please enclose, Demat Master or Recent Holding Statement issued by DP bearing name of the client]

NSDL CDSL

Client ID

( 09 )

# If in future the client wants to trade on any new segments / new exchange, seprate authorisation letter should be submitted by the client to the stock broker.

Whether dealing with any other stock broker / sub-broker (in case dealing with multiple stock brokers / sub-brokers provide details of all)

Website :Fax :Tel. No.:

E. DEALING THROUGH SUB-BROKERS & OTHER STOCK BROKERS

If client is dealing through the sub-broker, provide the following details

Sub-Broker Name

SEBI Reg. No. : NSE

Regd. Office Address

BSE

D. PAST ACTIONSDetails of any action / proceedings intiated / pending / taken by SEBI / Stock Exchange / any other authority against the applicant / constituent or its partner / promoters / Wholetime Director / authorised person in charge of dealing in securities during the last three years. [ Please specify in the box below ]

Details of disputes / dues pending from / to such stock broker / sub-broker

ExchangeClient Code

Name of Sub-broker if any]

Stock Broker Name

F) INTRODUCER'S DETAILS

Introduced By Authorised Person Sub-Broker Remiser Existing Client

Others Please Specify

Introducer's Signature

First Name Middle Name Surname

Address (With City & State)

PINContact Number

Introducer's ID Proof No. (Enclose copy)

III - COMMON INFORMATION FOR BOTH DEMAT & TRADING ACCOUNT


Second Holder2)

Third Holder3)

I/We wish to make a nomination and do hereby nominate the following person in whom all rights and / or amount payable in respect of securities held in the Depository by me / us, in the said beneficiary owner account, shall vest in the event of my / our death.

1

2

3

Name of theNominee (Mr./Ms.)

Address of Nominee

Relationship with theApplicant (if any)

City/Town/Village

State

PIN Code

Country

4 Contact Details ofNominee

Tel. (Off.)

Fax No.

Email ID

Tel. (Res.)

Mobile No.

6

7

Date of Birth (in case of minor nominee)

Name of Guardian(Mr./Ms.) (in case ofminor nominee)

NOMINATION DETAILS

(SR. NOS. 6-11) SHOULD BE FILLED ONLY IF NOMINEE IS A MINOR:

D D M M Y Y Y Y

5 Nominee Identification details (please tick anyone from (a) to (f) and provide details of the same)

a)

(Signature of Nomineeacross photograph)

Photograph of nominee

Signature of Nominee

b) PAN

Aadhaar number of nomineec)

Savings bank account number of nominee, if maintained with the same Participant d)

Copy of any proof of identity document (accompanied by original for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)

e)

Bank A/c. No.

Demat account details of nominee f) DP ID Client ID

9

10

Contact Details ofGuardian

Relationship of Guardian with Nominee

8 Address of Guardian

a)

(Signature of Nomineeacross photograph)

Photograph of nominee

Signature of Nominee

b) PAN

Aadhaar number of nomineec)

Savings bank account number of nominee, if maintained with the same Participant d)

Copy of any proof of identity document (accompanied by original for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)

e)

Bank A/c. No.

Demat account details of nominee f) DP ID Client ID

11 Guardian Identification details (please tick any one from (a) to (f) and provide details of the same)

City/Town/Village

State

PIN Code

Country

Tel. (Res.)

Mobile No.

Tel. (Off.)

Fax No.

Email ID

NOMINATION OPTION

I/We wish to make a nomination. (as per details given below) I/We do not wish to make a nomination. (strike off the nomination details below)

A)

( 10 )

16/35

1.

2.

3.

4.

Bank Account Number

Bank Name

BranchAddress

MICR Code5.

City/Town/Village

State

PIN Code

Country

6. IFSC

Please tick if applicable(ü) Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

( 11 )

DECLARATION

1. I / We hereby declare that the details furnished above are true & correct to the best of my / our knowledge and belief, and I / We undertake to inform you of any changes therein immediately in writing. 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.

2. I / We confirm having read / been explained and understood the contents of the Documents on policy & procedures of the stock brokers and the tariff sheet.

3. I / We further confirm having read & understood the contents of the 'Mandatory as well as Voluntary', 'Rights & Obligation' document(s) and 'Risk Disclosure Document. I / We do hereby agree to be bound by such provisions as outlined in these documents. I /We have also been informed that the standard set of documents has been displayed for information on stock broker's designated website, if any.

4. I / We hereby confirm that the member discloses that it undertakes proprietary trading in addition to client base trading.

Place : ____________________________________Date : D D M M Y Y Y Y


Second Holder2)

Third Holder3)

IN CASE OF NRIS / FOREIGN NATIONALS

RBI Approval Reference Number RBI Approval Date D D M M Y Y Y Y

BANK DETAILSD)

Bank Account Type Savings Account Current Account Other (Please specify)

C)

GROSS ANNUAL INCOME DETAILSB)

Income Range per annum More than 25 Lacs ` ` 10 - 25 Lacs` 5 - 10 Lacs` 1 - 5 LacsBelow ` 1 Lac(Please tick (ü)any one :

Or Networth (Networth detail is compulsory for non-individuals clients)

As on date :

Networth should not be older than 1 year.

D D M M Y Y Y Y Rs.:

E)

17/35

IDENTITY DETAILS


2a. Date of incorporation

3. Date of Commencement of business

4a. PAN

A

ADDRESS DETAILS B1. Address for Correspondence

2. Specify the Proof of Address submitted for Correspondence Address :

3. Contact Details

4. Registered Address (If different from above)


State CountryPin Code


State CountryPin Code

C

Fax

Mobile No.

Tel. (Off.)

Tel. (Res.)

E-mail Id.

/ /d d m m y y y y

DI 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.

DECLARATION

(Originals Verified) and self attested copies received


FOR OFFICE USE ONLY

Date

Name & Signature of the Authorised Signatory (ies)

OTHER DETAILS

KNOW YOUR CLIENT (KYC) Application Form - For Non IndividualPlease fill this form in ENGLISH and in BLOCK LETTERS NEW CHANGE EXISTING (Please tick the appropriate)(Please tick the box on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the corresponding row)


Acknowledgment No.

2b. Place of incorporation/ /d d m m y y y y

/ /d d m m y y y y

4b. Registration No. (e.g. CIN)

5. Status (Please tick the appropriate)

Private Limited Co.

FI

Defense Establishment

NGO's

Bank

Body Corporate

HUF

LLP

Partnership

Non-Government Organization

Charities

BOI

Public Limited Co.

FII

Society

Others (Please specify)

Government Body

Trust

AOP

1. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees and whole time directors:

2. DIN of whole time directors:


( 12 )

(If space is insufficient enclose these details separately [I Ilustrative format enclosed])

/ /d d m m y y y y

3. Aadhaar number of Promoters / Partners / Karta

( 13 )

/ /d d m m y y y yDate

Detail of Promoters / Partners / Karta / Trustees and whole time Directors forming a part of KYC Application form for Non-Individuals

A


State CountryPIN

1. Name

2. Relationship with Applicant (i.e. promoters, whole time directors etc.)

3a. PAN 3b. DIN / UID

4. Residential / Registered Address

B


State CountryPIN

1. Name




C


State CountryPIN

1. Name




D


State CountryPIN

1. Name




E


State CountryPIN

1. Name




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6 Lad Colony, Y.N. Road, Indore - 452 001 T. 0731.4217100, F. 0731.4217199 E-mail : [email protected] : www.arihantcapital.com

DP ID :

Client - ID(To be filled by Participant)

I N 3 0 1 9 8 3

1 0

Annexure - K

I/We request you to open a depository account in my/our name as per the following details :(Please fill all the details in CAPITAL LETTERS only)

Date :- D D M M Y Y Y Y

DETAILS OF ACCOUNT HOLDER(S):A)

Name Sole / First Holder

Name Second Holder

Name Third Holder

PAN

For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the

name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned below:C)

Name

PAN

TYPE OF ACCOUNTB)

Body Corporate

Trust

FI

Bank

FII

CM

Qualified Foreign Investor

Other (Please Specify)

PART-II ACCOUNT OPENING FORM (FOR NON-INDIVIDUALS)

IN CASE OF NRIS / FOREIGN NATIONALS

RBI Approval Reference Number

SEBI Registration Number (for FIIs)

RBI Approval Date D D M M Y Y Y Y

BANK DETAILSF)

1.

2.

3.

4.

Bank Account Type

Bank Account Number

Bank Name

BranchAddress

MICR Code5.

Savings Account Current Account Other (Please specify)

City/Town/Village

State

PIN Code

Country

6. IFSC

CLEARING MEMBER DETAILS (to be filled up by Clearing Members only)H)

E)

Income Range per annum

More than ` 25 Lacs

` 25 Lacs - 1 Crore` 20 - 50 LacsBelow ` 20 Lac

G)

Politically Exposed Person (PEP)

Related to a Politically Exposed Person (PEP)

PAN

PAN

Mutual Fund

D) INCOME DETAILS (please specify)

Above ` 20 Lac

and

Networth

Amount

As on (date)

(Networth should not be older than 1 year)

D D M M Y Y Y Y

`

Please tick, if applicable, for any of your authorized signatories/promoters/partners/karta/trustees/whole time directors:

Name of Stock Exchange

Name of Clearing Corporation/ Clearing House

Clearing Member ID

SEBI Registration Number

Trade Name

CM-BP-ID (to be filled up by Participant)

STANDING INSTRUCTIONSI)

1

2

3

We authorise you to receive credits automatically into our account.

Account to be operated through Power of Attorney (POA)

SMS Alert facility :

Yes

Yes

No

No

Sr. No.

1

2

3

Holder

Sole/First Holder

Second Holder

Third Holder

Yes No

DECLARATION

Name Signature(s)

The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by us and we have understood the same and we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. We hereby declare that the details furnished above are true and correct to the best of our knowledge and belief and 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, we are aware that we may be held liable for it. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

Notes :1. In case of additional signatures, separate annexures should be attached to the application form.2. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary

Public or a Special Executive Magistrate.

3. For receiving Statement of Account in electronic form:I. Client must ensure the confidentiality of the password of the email account. II. Client must promptly inform the Participant if the email address has changed. III. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

4. Strike off whichever is not applicable.

ACKNOWLEDGEMENT

Received the application from Mr./Ms.

as the sole/first holder along with

as the second and third holders respectively for opening of a depository account. Please quote the DP ID & Client ID allotted to you (CM-BP-ID in case of Clearing Members) in all your future correspondence.

Date :

and

D D M M Y Y Y Y

6 Lad Colony, Y.N. Road, Indore - 452 001

T. 0731.4217100, F. 0731.4217199


DP ID : IN301983

4 Mode of receiving Statement of Account [Tick any one]

Physical Form

Electronic Form [Read Note 3 and ensure that email ID is provided in KYC Application Form].

Sole / First Holder

Authorised Signatories (Enclose a Board Resolution for Authorised Signatories)

First Signatory

Second Signatory

Third Signatory

Other Holders

Second Holder

Third Holder

Mode of Operation for Sole/First Holder (In case of joint holdings, all the holders must sign)

Any one singly

Jointly by

As per resolution

Others (please specify)

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