ACCOUNT OPENING FORM ACCOUNT OPENING FORM MANDATORY (NON INDIVIDUAL)

Transcription

1 ACCOUNT OPENING FORM ACCOUNT OPENING FORM MANDATORY (NON INDIVIDUAL) Julius Baer Wealth Advisrs (India) Private Limited (frmerly Merrill Lynch Wealth Advisrs Private Limited) Registered & Main Office: 8th Flr, Mafatlal Centre, Nariman Pint, Mumbai India SEBI Stck Brker Registratin N.: INZ , SEBI Depsitry Participant N.: IN-DP , CIN: U65923MH2014PTC Cmpliance Officer: Sanjay Shah Tel.: Fax:

2

3 INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: 1. Self attested cpy f PAN card is mandatry fr all clients, including Prmters/Partners/Karta/ Trustees and whle time directrs and persns authrized t deal in securities n behalf f cmpany/firm/thers. 2. Cpies f all the dcuments submitted by the applicant shuld be self-attested and accmpanied by riginals fr verificatin. In case the riginal f any dcument is nt prduced fr verificatin, then the cpies shuld be prperly attested by entities authrized fr attesting the dcuments, as per the belw mentined list. 3. If any prf f identity r address is in a freign language, then translatin int English is required. 4. Name & address f the applicant mentined n the KYC frm, shuld match with the dcumentary prf submitted. 5. If crrespndence & permanent address are different, then prfs fr bth have t be submitted. 6. Sle prprietr must make the applicatin in his individual name & capacity. 7. Fr nn-residents and freign natinals, (allwed t trade subject t RBI and FEMA guidelines), cpy f passprt/pio Card/OCI Card and verseas address prf is mandatry. 8. Fr freign entities, CIN is ptinal; and in the absence f DIN n. fr the directrs, their passprt cpy shuld be given. 9. In case f Merchant Navy NRI s, Mariner s declaratin r certified cpy f CDC (Cntinuus Discharge Certificate) is t be submitted. 10. Fr pening an accunt with Depsitry participant r Mutual Fund, fr a minr, phtcpy f the Schl Leaving Certificate/Mark sheet issued by Higher Secndary Bard/Passprt f Minr/Birth Certificate must be prvided. 11. Plitically Expsed Persns (PEP) are defined as individuals wh are r have been entrusted with prminent public functins in a freign cuntry, e.g., Heads f States r f Gvernments, senir pliticians, senir Gvernment/judicial/ military fficers, senir executives f state wned crpratins, imprtant plitical party fficials, etc. B. Prf f Identity (POI): - List f dcuments admissible as Prf f Identity: 1. Unique Identificatin Number (UID) (Aadhaar)/ Passprt/ Vter ID card/ Driving license. 2. PAN card with phtgraph. 3. Identity card/ dcument with applicant s Pht, issued by any f the fllwing: Central/State Gvernment and its Departments, Statutry/ Regulatry Authrities, Public Sectr Undertakings, Scheduled Cmmercial Banks, Public Financial Institutins, Clleges affiliated t Universities, Prfessinal Bdies such as ICAI, ICWAI, ICSI, Bar Cuncil etc., t their Members; and Credit cards/ Debit cards issued by Banks. C. Prf f Address (POA): - List f dcuments admissible as Prf f Address: (*Dcuments having an expiry date shuld be valid n the date f submissin.) 1. Passprt/ Vters Identity Card/ Ratin Card/ Registered Lease r Sale Agreement f Residence/ Driving License/ Flat Maintenance bill/ Insurance Cpy. 2. Utility bills like Telephne Bill (nly land line), Electricity bill r Gas bill - Nt mre than 3 mnths ld. 3. Bank Accunt Statement/Passbk -- Nt mre than 3 mnths ld. 4. Self-declaratin by High Curt and Supreme Curt judges, giving the new address in respect f their wn accunts. 5. Prf f address issued by any f the fllwing: Bank Managers f Scheduled Cmmercial Banks/ Scheduled C-Operative Bank/Multinatinal Freign Banks/Gazetted Officer/Ntary public/ Elected representatives t the Legislative Assembly/ Parliament/Dcuments issued by any Gvt. r Statutry Authrity. 6. Identity card/dcument with address, issued by any f the fllwing: Central/State Gvernment and its Departments, Statutry/Regulatry Authrities, Public Sectr Undertakings, Scheduled Cmmercial Banks, Public Financial Institutins, 1

4 Clleges affiliated t Universities and Prfessinal Bdies such as ICAI, ICWAI, ICSI, Bar Cuncil etc., t their Members. 7. Fr FII/sub accunt, Pwer f Attrney given by FII/sub-accunt t the Custdians (which are duly ntarized and/r apstiled r cnsularised) that gives the registered address shuld be taken. 8. The prf f address in the name f the spuse may be accepted. D. Exemptins/clarificatins t PAN (*Sufficient dcumentary evidence in supprt f such claims t be submitted.) E. List f peple authrized t attest the dcuments: 1. Ntary Public, Gazetted Officer, Manager f a Scheduled Cmmercial/ C-perative Bank r Multinatinal Freign Banks (Name, Designatin & Seal shuld be affixed n the cpy). 2. In case f NRIs, authrized fficials f verseas branches f Scheduled Cmmercial Banks registered in India, Ntary Public, Curt Magistrate, Judge, Indian Embassy /Cnsulate General in the cuntry where the client resides are permitted t attest the dcuments. 1. In case f transactins undertaken n behalf f Central Gvernment and/r State Gvernment and by fficials appinted by Curts e.g. Official liquidatr, Curt receiver etc. 2. Investrs residing in the state f Sikkim. 3. UN entities/multilateral agencies exempt frm paying taxes/filing tax returns in India. 4. SIP f Mutual Funds upt Rs 50, 000/- p.a. 5. In case f institutinal clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Cmmercial Banks, Multilateral and Bilateral Develpment Financial Institutins, State Industrial Develpment Crpratins, Insurance Cmpanies registered with IRDA and Public Financial Institutin as defined under sectin 4A f the Cmpanies Act, 1956, Custdians shall verify the PAN card details with the riginal PAN card and prvide duly certified cpies f such verified PAN details t the intermediary. 2

5 F. In case f Nn-Individuals,additinal dcuments t be btained frm nn-individuals, ver & abve the POI & POA, as mentined belw: Types f entity Crprate Partnership firm Trust HUF Unincrprated assciatin r a bdy f individuals Banks/Institutinal Investrs Freign Institutinal Investrs (FII) Army/Gvernment Bdies Dcumentary requirements Cpy f the balance sheets fr the last 2 financial years (t be submitted every year). Cpy f latest share hlding pattern including list f all thse hlding cntrl,either directly r indirectly, in the cmpany in terms f SEBI takever Regulatins,duly certified by the cm pany secretary/whle time directr/md (t be submitted every year). Phtgraph,POI,POA,PAN and DIN numbers f whle time directrs/tw directrs in charge f day t day peratins. Phtgraph,POI,POA,PAN f individual prmters hlding cntrl either directly r indirectly. Cpies f the Memrandum and Articles f Assciatin and certificate f incrpratin. Cpy f the Bard Reslutin fr investment in securities market. Authrised signatries list with specimen signatures. Cpy f the balance sheets fr the last 2 financial years (t be submitted every year). Certificate f registratin (fr registered partnership firms nly). Cpy f partnership deed. Authrised signatries list with specimen signatures. Phtgraph,POI,POA,PAN f Partners. Cpy f the balance sheets fr the last 2 financial years (t be submitted every year). Certificate f registratin (fr registered trust nly). Cpy f Trust deed. List f trustees certified by managing trustees/ca. Phtgraph,POI,POA,PAN f Trustees. PAN f HUF. Deed f declaratin f HUF/List f Cparceners. Bank pass-bk/bank statement in the name f HUF. Phtgraph,POI,POA,PAN f Karta. Prf f Existence/Cnstitutin dcument. Reslutin f the managing bdy & Pwer f Attrney granted t transact business n its behalf. Authrized signatries list with specimen signatures. Cpy f the cnstitutin/registratin r annual reprt/balance sheet fr the last 2 financial years. Authrized signatries list with specimen signatures. Cpy f SEBI registratin certificate. Authrized signatries list with specimen signatures. Self-certificatin n letterhead. Authrized signatries list with specimen signatures. Registered Sciety Cpy f Registratin Certificate under Scieties Registratin Act. List f Managing Cmmittee members. Cmmittee reslutin fr persns authrised t act as authrised signatries with specimen signatures. True cpy f Sciety Rules and Bye Laws certified by the Chairman/Secretary. 3

6 JULIUS BAER WEALTH ADVISORS (INDIA) PRIVATE LIMITED (FORMERLY MERRILL LYNCH WEALTH ADVISORS PRIVATE LIMITED) KNOW YOUR CLIENT (KYC) APPLICATION FORM New Change Request (Please tick the apprpiate) Please fill this frm in ENGLISH and in BLOCK LETTERS. Fr Nn-Individuals Please tick the bx n left margin f apprpriate rw where CHANGE/CORRECTION is required and prvide the details in the crrespnding rw A. IDENTITY DETAILS 1. Name f the Applicant 2. Date f Incrpratin Place f Incrpratin DD/MM/YYYY 3. Date f cmmencement f business DD/MM/YYYY 4. a. PAN 4. b. Registratin N.(e.g.CIN) 5. Status (Please tick any ne) Private Limited C. Public Ltd.C. Bdy Crprate Partnership Trust Charities NGO s FI FII HUF AOP Bank Gvernment Bdy Nn-Gvernment Organizatin Defense Establishment BOI Sciety LLP Others (Please Specify)... B. ADDRESS DETAILS 1. Address fr crrespndence 2. Cntact Details City/Twn/Village Cuntry & Pincde Tel (Off) Tel (Res) Mbile N Fax N State 4

7 3.Specify the prf f address submitted fr Crrespndence address Knw Yur Client (KYC) Applicatin Frm NON-INDIVIDUALS ID Telephne Bill Registered Lease 0r Sale Agreement Electricity Bill Bank Passbk / Statement Other (Specify) 4.Registered Address (if different frm abve) City/Twn/Village Cuntry & Pincde Telephne N Mbile N Fax N ID State C.OTHER DETAILS NAME OF PROMOTERS/PARTNERS/KARTA/TRUSTEES AND RESIDENTIAL ADDRESS PAN OF PROMOTERS/PARTNERS/KARTA/TRUSTEES AADHAAR NUMBER OF PROMOTERS/PARTNERS/KARTA NAME OF PROMOTERS/PARTNERS/KARTA/TRUSTEES AND RESIDENTIAL ADDRESS PAN OF PROMOTERS/PARTNERS/KARTA/TRUSTEES AADHAAR NUMBER OF PROMOTERS/PARTNERS/KARTA 5

8 Knw Yur Client (KYC) Applicatin Frm NON-INDIVIDUALS NAME OF WHOLE TIME DIRECTORS AND RESIDENTIAL ADDRESS PAN OF WHOLE TIME DIRECTORS DIN OF WHOLE TIME DIRECTORS NAME OF WHOLE TIME DIRECTORS AND RESIDENTIAL ADDRESS PAN OF WHOLE TIME DIRECTORS DIN OF WHOLE TIME DIRECTORS PHOTOGRAPHS OF PROMOTERS/PARTNERS/KARTA/TRUSTEES Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Name f Prmters/Partners/Karta/Trustees ( ) ( ) ( ) ( ) PHOTOGRAPHS OF WHOLE TIME DIRECTORS Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Affix phtgraph & sign acrss the phtgraph Name f Whle Time Directrs ( ) ( ) ( ) ( ) 6

9 Knw Yur Client (KYC) Applicatin Frm NON-INDIVIDUALS Declaratin I/We hereby declare that the details furnished abve are true and crrect t the best f my/ur knwledge and belief and I/we undertake t infrm yu f any changes therein, immediately. In case any f the abve infrmatin is fund t be false r untrue r misleading r misrepresenting, I am/we are aware that I/we may be held liable fr it. Name & Signature f the Authrised Signatry: xx Place : Date : Name f the Emplyee Designatin f the emplyee Organisatin Date IN PERSON VERIFICATION DETAILS Julius Baer Wealth Advisrs (India) Private Limited (frmerly Merrill Lynch Wealth Advisrs Private Limited) Signature FOR OFFICE USE ONLY Originals verified & self attested dcument cpies received (...) Name and Signature f the Authrized signatry Seal/Stamp f the intermediary Date... 7