N Know Your Client (KYC)

Application Form (For Non-Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS
Place for
Intermediary Logo
Application No. :

A. Identity Details (please see guidelines overleaf)

1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).

2. Date of Incorporation d d / m m / y y y y Place of Incorporation

3. Registration No. (e.g. CIN) Date of commencement of business d d / m m / y y y y

4. Status Please tick ( ü ) Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF
AOP Bank Government Body Non-Government Organisation Defence Establishment Body of Individuals Society LLP
Others (Please specify)

5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

City / Town / Village Postal Code

State Country
2. Contact Details
Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD)
Mobile (ISD) (STD) Fax (ISD) (STD)
E-Mail Id.
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü ) against the document attached.
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf).(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. Registered Address (If different from above)

City / Town / Village Postal Code

State Country
5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü ) against the document attached.
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf).(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. Name, PAN, DIN/Aadhaar Number, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors
(Please use the Annexure to fill in the details)

2. Any other information:

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
NAME & SIGNATURE(S)
above information is found to be false or untrue or misleading or OF AUTHORISED
misrepresenting, I am/we are aware that I/we may be held liable for it.
PERSON(S)
Place:

Date:

FOR OFFICE USE ONLY

AMC/Intermediary name OR code
Seal/Stamp of the intermediary should contain
Staff Name
(Originals Verified) Self Certified Document copies received Designation
Name of the Organization
(Attested) True copies of documents received
Signature
Date
N INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM
A. IMPORTANT POINTS: Residence/Driving License/Flat Maintenance bill/Insurance Copy.
1. Self attested copy of PAN card is mandatory for all clients. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than
2. Copies of all the documents submitted by the applicant should be self-attested and 3 months old.
accompanied by originals for verification. In case the original of any document is not 3. Bank Account Statement/Passbook - Not more than 3 months old.
produced for verification, then the copies should be properly attested by entities 4. Self-declaration by High Court and Supreme Court judges, giving the new address in
authorized for attesting the documents, as per the below mentioned list. respect of their own accounts.
3. If any proof of identity or address is in a foreign language, then translation into English 5. Proof of address issued by any of the following: Bank Managers of Scheduled
is required. Commercial Banks/Scheduled Co-Operative Bank/Multinationa Foreign
4. Name & address of the applicant mentioned on the KYC form, should match with the Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative
documentary proof submitted. Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
5. If correspondence & permanent address are different, then proofs for both have to be 6. Identity card/document with address, issued by any of the following: Central/State
submitted. 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/PIOCard/OCICard 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, (which are duly notarized and/or apostiled or consularised) that gives the registered
their 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
10. For opening an account with Depository participant or Mutual Fund, for amin or, (*Sufficient documentary evidence in support of 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. Governmentand by officials appointed by Courts e.g. Official liquidator, Court receiver etc.
11. Politically Exposed Persons (PEP) are defined as individuals who are or have been 2. Investors residing in the state of Sikkim.
entrusted with prominent public functions in a foreign country, e.g., Heads of
3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
States or of Governments, senior politicians, senior Government/judicial/military officers,
4. SIP of Mutual Funds upto Rs 50,000/- p.a.
senior executives of state owned corporations, important political party
officials, etc. 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial
Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial
B. Proof of Identity( POI): List of documents admissible as Proof of Identity: Development Corporations, Insurance Companies registered with IRDA and Public
1. PAN card with photograph. This is a mandatory requirement for all Financial Institution as defined under section 4A of the Companies Act, 1956,
applicants except those who are specifically exempt from obtaining PAN (listed in Section D). Custodians shall verify the PAN card details with the original PAN card and provide
2. Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license. duly certified copies of such verified PAN details to the intermediary.
3. Identity card/ document with applicant’s Photo, issued by any of the following: E. List of people authorized to attest the documents:
Central/State Government and its Departments, Statutory/Regulatory Authorities,
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative
Public Sector Undertakings, Scheduled Commercial Banks, Public Financial
Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on
Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI,
the copy).
ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by
2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial
Banks.
Banks registered in India, Notary Public, Court Magistrate, Judge, Indian
C. Proof of Address (POA): List of documents admissible as Proof of Address: Embassy/Consulate General in the country where the client resides are permitted to
(*Documents having an expiry date should be valid on the date of submission.) attest the documents.
1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of

F. In case of Non-Individuals, additional documents to be obtained from Non-individuals, over & above the POI & POA, as mentioned below:
Types of entity Documentary requirements
• Copy of the balance sheets for the last 2 financial years (to be submitted every year)
• Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI
takeover Regulations, duly certified by the company secretary/Whole time director/MD(to be submitted every year)
• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations
Corporate
• 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
• Copy of the balance sheets for the last 2 financial years (to be submitted every year)
• Certificate of registration (for registered partnership firms only)
Partnership firm • Copy of partnership deed
• Authorised signatories list with specimen signatures
• Photograph, POI, POA, PAN of Partners
• 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
Trust
• List of trustees certified by managing trustees/CA
• Photograph, POI, POA, PAN of Trustees
• PAN of HUF
• Deed of declaration of HUF/List of coparceners
HUF
• Bank pass-book/bank statement in the name of HUF
• Photograph, POI, POA, PAN of Karta
• Proof of Existence/Constitution document
Unincorporated
• Resolution of the managing body & Power of Attorney granted to transact business on its behalf
Association or a body of individuals
• Authorized signatories list with specimen signatures
• Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years
Banks/Institutional Investors
• Authorized signatories list with specimen signatures
Foreign Institutional • Copy of SEBI registration certificate
Investors (FII) • Authorized signatories list with specimen signatures
• Self-certification on letterhead
Army/Government Bodies
• Authorized signatories list with specimen signatures
• Copy of Registration Certificate under Societies Registration Act
• List of Managing Committee members
Registered Society
• 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
Please Submit the KYC Documents on A4 Size Paper Only.