Form Series No. Client Series No. Right Place Where You are CLIENT REGISTRATION FORM Rajvi Stock Broking Ltd. Client Code BO ID Client Name: Branch Code and Name Receipt on/ by Entered on / by Checked on / by Release on / by Introducer Name Group ID/ Family ID
RAJVI STOCK BROKING LIMITED -: Registered Office:- G/2, Block-B, Jaldarshan Commercial Building Opp. Natraj Cinema, Ashram Road Ahmedabad- 380 009. Ph. :( 079)26581975-76, 3000 3006, 3000 3007, Fax: 079-26581811 Website: rajvistockbroking.com E-mail: rajvistockbroking@yahoo.co.in -: Compliance Officer & CEO Details :- Dhaval S. Shah Phone No.: 079-26581975-76, 3003006-07 E-mail: compliancerajvi@yahoo.co.in -: Membership :- National Stock Exchange (NSE) CASH: INB 231217036 F&O: INF 231217036 CD: INE 231217036 Bombay Stock Exchange (BSE) CASH: INB 231217036 F&O: INF 231217036 MCX Stock Exchange (MCX-SX) CD: INE261217136 Central Depository Services (India) Limited (CDSL) IN-DP-CDSL-332-2006 DP ID: 12042200 For any grievance/dispute please contact Rajvi Stock broking Limited at the above address or E-mail : compliancerajvi@yahoo.com or Phone No.: 079-26581975-76, 079-30003006-07 Incase not satisfied with the response, please contact the concerned Exchange(s) NSE E-mail: ignse@nse.co.in Phone No.: 91-22-26598190 BSE-North E-mail: iscdelhi@bseindia.com Phone No.: 91-11-41510481 BSE-East E-mail: isc.kolkata@bseindia.com Phone No.: 91-33-22133184 BSE-South E-mail: iscchennai@bseindia.com Phone No.: 91-44-420089959 BSE-West E-mail: stanies.crasto@bseindia.com Phone No.: 91-22-22721233/34 MCX-SX E-mail: investercomplaint@mcx-sx.com Phone No.: 91-22-6739000 A
CHECKLIST FOR OPENING TRADING ACCOUNT AND DEMAT ACCOUNT Self Certified copy of PAN Card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of Company/Firm/other FOR INDIVIDUAL (MAJOR) Proof of Photo Identity Photocopy Required of (Any One) (1)PAN Card with photo(2) Passport (along with validity detail like date of expiry)(3) Driving License (along with validity detail like date of expiry) (4)Election/Voter ID Card (5) UID-AADHAAR (6) Identity card/ document with applicant s 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 affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. Proof of Correspondence and Residence Address, Photocopy of ANYONE (with entire address and name disclosed as in the account opening form) (1) Passport (along with validity details like date of expiry) (2) Driving License (along with validity detail like date of expiry) (3) Election/Voter ID card (4) Ration Card (5) Telephone/Electricity Bill/Gas Bill (Not more than 3 months old) (6) Bank Pass Book/ Bank Statement with latest record (maximum 3 months old records) (7) Registered Lease or Sale Agreement of Residence (8) Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. (9) 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 Assembl /Parliament /Documents issued by any Govt. or Statutory Authority. (10) 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. (11) 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. For Proof of Bank Detail (1) Canceled Cheque with printed name (If Name is not printed on cheque then Bank Passbook/Bank Statement must be required) For Proof Demat Detail (Any One) (1) Client Master (2) Demat Holding /Transactions Statement (Maximum 2 months older) FOR INDIVIDUAL (MINOR) (1) All document as required for 'Individual (Major) (2) Photocopy of Birth certificate of the Minor/School Leaving Certificate /Mark sheet issued by Higher Secondary Board/ Passport must be provided (3) Letter from Guardian (4) One joint photograph of Minor/Guardian and each of the applicants with their signature across the photograph. Guardian to sign on behalf of Minor (on the minor's photograph) DP Requirement: At the time of Minor becoming Major, BO has to inform to DP and Submit Account Opening Form along with updated bank and other proof. FOR PARTNERSHIP FIRM (1) Certified true copy of the partnership deed. (2) Certificate of registration of partnership firm (in case of registered partnership firm) (3) Photocopy of PAN Card of the Partnership firm and all partners (4) Balance sheet of Last 2 Financial years (to be submitted every year) (5) Copy of the latest income tax return filled of the firm. (6) Authority letter by all the partners in favour of the managing partner/authorized person. (7) Photocopy of proof of address of partnership firm and all the partners. (8) Bank Proof with Account No. Branch Name & Partnership Firm Name clearly mentioned on the proof submitted. [Valid bank proofs are latest transaction statement (Maximum three months older) issue by the bank or copy of bank pass book or bankers verification] (9) Affix firm s rubber stamp on appropriate places. (10) Photocopy of cheque leaf/cancelled cheque of bank account number mentioned on the form to verify the bank MICR (11)For Proof Demat Detail (Any One) (a) Client Master (b) Demat Holding /Transactions Statement (Maximum 2 months older) B
FOR HUF (1) Photocopy of PAN Card of the HUF and KARTA (2) Proof of Identity & Address of Karta along with address proof of HUF (3) Declaration Form duly signed by Karta and by all by the co-parceners along with the relation and date of birth. (4) Affix HUF rubber stamp on appropriate places. (5) Proof of bank detail (Cancel cheque and Pass Book/Statement) (6) For Proof Demat Detail (Any One) (a) Client Master (b) Demat Holding /Transactions Statement (Maximum 2 months older) FOR BODIES CORPORATE (1) Photocopy of Pan Card and address proof of the company (2) Certified true copy of the Annual Reports (Containing Balance Sheet and Profit & Loss Account) for the latest 2 years, copy of net worth certificate (duly C.A. certified) as on date of latest financial year of the company (and every years, updated/latest copies of the same would have to be submitted) (3) Copy of Memorandum (along with certificate of incorporation) & Articles of Association of the company (4) List of Directors on the letterhead of the company signed by authorised official. (Including Name, Residence Address & PAN Number of all directors) (5) Latest shareholding pattern (including list of person/entity holding more than 5% in the capital of the company), duly certified by the company (and every year, updated/latest copies of the same would have to be submitted) (6) Bank Verification letter for signatures of the directors of the company on bank's letterhead. (7) Certified true copy of resolution passed by the board of directors for (1) Investment in Security Market (2) Naming the authorized person(s) to sign various Agreement/documents. (8) Photocopy of proof of Identity and address of the authorised person(s)/official(s) along with photocopy of his/their PAN Card and passport size photograph. (9) For Proof Demat Detail (Any One) (1) Client Master (2) Demat Holding Statement (Maximum 2 months older) (10) Photograph, Proof of Identity, Proof of Address, PAN Card, Din No. of (a)whole Time Director/Two Directors incharge of day to day operation (b) Dominant Promoter (11) For Proof Demat Detail (Any One) (a) Client Master (b) Demat Holding /Transactions Statement (Maximum 2 months older) (12) Photograph, POI, POA, PAN of individual promoters holding control either directly or indirectly # Company stamp required to be affixed wherever the director signs on the agreement/kyc. # cancelled copy of cheque leaf duly signed # Form 32 required in case of the directors name is not present in the MOA. FOR TRUST (1) Certified True copy of the Trust Deed (2) Certificate of registration (for Registered Trust only) (3) Details of all the trustees (including Address Proof, Identity Proof and PAN Card) all supporting documents for Trustees are as per individual requirement. (4) List of trusties certified by managing trustees/ca (5) PAN Card of the Trust (6) Please note that DP account can be opened in the name of the trust if it is a Registered Trust only. For unregistered trust account, it would be opened in the Name of the trustees only. (7) Bank proof with Account No., Branch Name, and Name of the Trust clearly mentioned on the proof submitted Valid Bank proofs are latest transaction statement Issued by the bank or copy of Bank passbook or Banker's verification. (8) Photocopy of cheque leaf of bank account number mentioned on the form to verify the Bank MICR No. (9) Balance sheet of Last 2 years (To be submitted every year) (10) For Proof Demat Detail (Any One) (a) Client Master (b) Demat Holding /Transactions Statement (Maximum 2 months older) FOR NRI (1) Identity proof of the Client (PAN Card mandatory) (2) Only valid Passport shall be accepted as proof of Identity and proof of address (3) Indian and Foreign address of client along with proof. (4) Bank proof (Repatriable bank a/c for NRE or Non Repatriable bank a/c for NRO) (5) DP Proof submitted should be only of NRI status (6) PIS letter from Authorised dealer (Bank) with RBI Approval (7) For Proof Demat Detail (Any One) (a) Client Master (b) Demat Holding /Transactions Statement (Maximum 2 months older) # (All proofs must be certified by Notary/Indian Embassy of overseas country) # For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/pio Card/OCI Card and is mandatory. C
FOR PROPRIETORSHIP FIRM (1) All document as required for 'Individual (Major) (2) Photocopy of PAN Card (of Proprietor) (3) A declaration of the letterhead of the firm (4) Letter from the bank stating that bank account maintained is proprietary and the proprietor is the authorized signatory (Including its firm's address Bank account number, etc.) (5) Proprietorship firm stamp required to be affixed wherever the proprietor signs on the agreement/kyc (6) Sole proprietor must make the application in his individual name & capacity. GENERAL REQUIREMENTS FOR ALL APLICANTS (1) The completed Registration from (including Account Opening/Client Registration forms, documents etc.) should be handed over/sent across to us for account opening process. (2) Please affix (do not staple) photograph (with signature across) on the space provide separate photograph for each holder/parent/ Guardian/key management personnel/authorised person as per the requirement. (3) 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) If any proof of identity or address is in a foreign language, then translation into English is required. (5) Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. (6) If correspondence & permanent address are different, then proofs for both have to be submitted. (7) Sole proprietor must make the application in his individual name & capacity. (8) For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. (9) In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.. (10) 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. 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. Additional Instruction for Nomination (1) The Nomination can be made only by individual holding beneficiary owner accounts on their own behalf singly or jointly. Non-individual including Society, Trust, Body corporate, partnership firm, karta of HUF, holder of power of attorney can not nominate. If the account is held jointly all holder will sign the nomination form. (2) 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. Guardian should be other than BO (3) The nominee shall not be a society, trust, body corporate, partnership firm, Karta of HUF, Power of attorney holder. A Non resident Indian can be nominee, subject to the exchange controls in force, from time to time. (4) 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. (5) Transfer of the securities in favour of a Nomination shall be valid discharge by the depositary against the legal hair. (6) The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own behalf singly or jointly by the same person who made the original nomination. Non-individuals including society, trust, body corporate, partnership firm, karta of HUF, holder of power of attorney can not cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancelation form (7) On cancelation 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. (8) In HUF/Minor category, nominee can not be appointed and also joint holder(s) are not allowed. D
ACCOUNT OPENING KIT INDEX TRADING ACCOUNT & DEMAT ACCOUNT Sr. Name of the document Brief Significance of Documents Whether Page Mandatory/ No. Voluntary No. 1 Account opening form A. KYC form - Document captures the basic Mandatory 1-6 information about the constituent. B. Document captures the additional information Mandatory about the constituent relevant to trading account & 7-15 Demat Account and an instruction/check list. 2. Rights and obligations Document stating the rights & obligations of stock broker/trading member, sub-broker and client for Mandatory 16-20 trading on exchanges (including additional rights & obligations in case of internet /wireless technology based trading). 3. Risk disclosure Document detailing risks associated with dealing in Mandatory 21-24 the securities market document (RDD) 4. Guidance note Document detailing do s and don ts for trading on exchange, for the education of the investors. 5. Policies and procedures Document describing significant policies and procedures of the stock broker 6. Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock Exchange. 7. Requests/ Instructions Voluntary documents for operational convenience of account 8. Agreement between a Agreement between a participant and a person participant and BO seeking to open a beneficial owner s account. 9. Terms and condition Terms and conditions-cum-registration/ modification form for receiving SMS alerts from CDSL. 10. Schedule of demat Schedule- detailing the charges levied on the client charges for transacting in demat account. 11. POA Authorities to operate demat account and other permission for smooth operations. Mandatory 25-26 Mandatory 27-28 Mandatory 30-30 Voluntary 31-38 Mandatory 39-41 Mandatory 42-44 Mandatory 45-45 Voluntary 46-48 I/We have fully read and understood about the contents of KYC Form including Voluntary documents and do consent for the same. 1 Client Signature Date: DD/MM/YYYY [1]
Rajvi Stock Broking Ltd KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR INDIVIDUAL-FIRST HOLDER) Status Resident Individual NRI Foreign National (Passport copy mandatory for NRI & Foreign Nationals) A. IDENTITY DETAILS Name of the Applicant: First Name Middle Name Last Name Father s/ Spouse Name: Gender: Male Female Marital status: Single Married Date of birth: DD / MM / YYYY Nationality: PAN: (UID)/ Aadhaar, if any: Specify the proof of identity submitted: PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT 2 B. ADDRESS DETAILS Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: Specify the proof of address submitted for correspondence address : Permanent Address of Resident Applicant if different from above OR Overseas Address (Mandatory) for Non-Resident Applicant: : City/Town/Village: State: Country: Pin: Specify the proof of address submitted for permanent address : C. OTHER DETAILS Gross Annual Income Details (please tick): Below Rs 1 Lac 1-5 Lacs 5-10 Lacs 10-25Lacs >25 Lacs OR Net-worth in Rs. (Net worth should not be older than 1 year) as on (date) DD/ MM / YYYY Occupation (please tick any one and give brief details) : Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) : Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Education Detail: Any other information: 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. Place: Date: DD/ MM / YYYY SIGNATURE OF APPLICANT 3 FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received Signature & Seal/Stamp [2]
Rajvi Stock Broking Ltd. KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR INDIVIDUAL-SECOND HOLDER) Status Resident Individual NRI Foreign National (Passport copy mandatory for NRI & Foreign Nationals) A. IDENTITY DETAILS Name of the Applicant: First Name Middle Name Last Name Father s/ Spouse Name: Gender: Male Female Marital status: Single Married Date of birth: DD / MM / YYYY Nationality: PAN: (UID)/ Aadhaar, if any: Specify the proof of identity submitted: PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT 2 B. ADDRESS DETAILS Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: Specify the proof of address submitted for correspondence address : Permanent Address of Resident Applicant if different from above OR Overseas Address (Mandatory) for Non-Resident Applicant: : City/Town/Village: State: Country: Pin: Specify the proof of address submitted for permanent address : C. OTHER DETAILS Gross Annual Income Details (please tick): Below Rs 1 Lac 1-5 Lacs 5-10 Lacs 10-25Lacs >25 Lacs OR Net-worth in Rs. (Net worth should not be older than 1 year) as on (date) DD/ MM / YYYY Occupation (please tick any one and give brief details) : Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) : Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Education Detail: Any other information: 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. Place: Date: DD/ MM / YYYY SIGNATURE OF APPLICANT 3 FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received Signature & Seal/Stamp [3]
Rajvi Stock Broking Ltd. KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR INDIVIDUAL-THIRD HOLDER) Status Resident Individual NRI Foreign National (Passport copy mandatory for NRI & Foreign Nationals) A. IDENTITY DETAILS Name of the Applicant: First Name Middle Name Last Name Father s/ Spouse Name: Gender: Male Female Marital status: Single Married Date of birth: DD / MM / YYYY Nationality: PAN: (UID)/ Aadhaar, if any: Specify the proof of identity submitted: PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT 2 B. ADDRESS DETAILS Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: Specify the proof of address submitted for correspondence address : Permanent Address of Resident Applicant if different from above OR Overseas Address (Mandatory) for Non-Resident Applicant: : City/Town/Village: State: Country: Pin: Specify the proof of address submitted for permanent address : C. OTHER DETAILS Gross Annual Income Details (please tick): Below Rs 1 Lac 1-5 Lacs 5-10 Lacs 10-25Lacs >25 Lacs OR Net-worth in Rs. (Net worth should not be older than 1 year) as on (date) DD/ MM / YYYY Occupation (please tick any one and give brief details) : Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Forex Dealer Others (Please specify) : Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Education Detail: Any other information: 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. Place: Date: DD/ MM / YYYY SIGNATURE OF APPLICANT 3 FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received Signature & Seal/Stamp [4]
Rajvi Stock Broking Ltd. KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR NON-INDIVIDUAL) Private Ltd. Co. Government Body Partnership HUF AOP Other Public Ltd. Co. Defense Establishment Body of Individual FI Bank Body Corporate Trust /Charities /NGOs Society FII LLP A. IDENTITY DETAILS Name of the Applicant: (Please write complete name as per Certificate of Incorporation / Registration; Please do not abbreviate the Name.) Date of incorporation: DD/ MM / YYYY Place of incorporation: Date of commencement of business: DD/ MM / YYYY Registration No. (e.g. CIN): PAN: B. ADDRESS DETAILS Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: Specify the proof of address submitted for correspondence address : Registered Address (If different from above) City/Town/Village: State: Country: Pin: Specify the proof of address submitted for permanent address : C. OTHER DETAILS Gross Annual Income Details (please tick) : Below Rs 1 Lac 1-5 Lacs 5-10 Lacs 10-25Lacs 25 Lacs - 1 Crore > 1 Crore Net-worth in Rs. (Net worth should not be older than 1 year) as on (date) DD/ MM / YYYY Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure to fill in the details) Is the entity involved/providing any of the following services : YES NO - For Foreign Exchange / Money Changer Services : YES NO, - Money Lending / Pawning : YES NO Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates): YES NO 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 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: DD/ MM / YYYY FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT Name & signature (s) of authorised person 3 3 2
Details of Promoters/ Partners/ Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals Name of Applicant PAN of the Applicant: Sr. No 1. PAN Name DIN (For Director)/ UID (For Other) Residential / Registered Address Relationship with Applicant (i.e. promoters, whole time directors etc.) Whether Politically Exposed Photograph PEP RPEP PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT NO 2. PEP RPEP PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT NO 3. PEP RPEP PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT NO 4. PEP RPEP PLEASE AFFIX RECENT PASSPORT SIZE PHOTOGRAPH AND SIGN ACROSS IT NO
ADDITIONAL KYC DETAIL FOR TRADING ACCOUNT AND DEMAT ACCOUNT (For Individual and Non Individual) BANK ACCOUNT DETAILS /DIVIDEND BANK DETAILS FOR TRADING ACCOUNT & DEMAT ACCOUNT (To be filed by the applicant in BLOCK LETTERS in English) Main/Default Bank Detail/Dividend Bank Bank Name: Branch : Branch Address: A/C No.: A/C Type: Saving Current Other (Other- in case of NRI/NRO/NRE) MICR CODE : IFCS CODE: ECS/RTGS/NEFT : Yes No Additional Bank Detail Bank Name: Branch : Branch Address: A/C No.: A/C Type: Saving Current Other (Other- in case of NRI/NRO/NRE) MICR CODE : IFCS CODE: ECS/RTGS/NEFT : Yes No (i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or) (ii) Photocopy of the Bank Statement having name and address of the BO (iii) Photocopy of the Passbook having name and address of the BO, (or) (iv) Letter from the Bank. In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document. NOMINATIONAN DETAILS FOR DEMAT & TRADING ACCOUNT (For Individual Only) Nomination Registration No Date DD / MM / YYYY Dear Sir / Madam, I / We the Sole holder / Joint holders / Guardian (in case of minor) hereby declare that: I/We do not wish to nominate any one for this demat & trading account. I/We nominate the following person, who is entitled to receive fund and security balances lying in my / our trading / demat account, particulars whereof are given below, in the event of my /our death. Nominee Details Full Name of Nominee First Name Middle Name Last Name/Surname Address: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: Relationship with BO (If any) PAN Date of birth As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian: [ 7 ]
Name of Guardian of Nominee Name of Guardian First Name Middle Name Last Name/Surname Relationship with Nominee PAN Father/ Husband Name Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us. Note: Two witnesses shall attest signature(s) / Thumb impression(s). (Only in case of the account holder has made nomination.) SIGNATURE OF GUARDIAN OF NOMINEE Date: DD / MM / YYYY Place: First/Sole Holder Second Holder Third Holder Name Specimen Signatures 4 4 4 Details of the Witness First Witness Second Witness Name of Witness Address of Witness Signature of Witness Nomination form accepted and registered wide Registration No. dated IN -PERSON /PHYSICAL VERIFICATION DONE FOR DEMAT ACCOUNT & TRADING ACCOUNT UCC Code allotted to the Client: particular Documents verified with Originals Name of the Employee Employee Code Designation Date Signature W W BI ID: 12042200 Client Interviewed In-Person Verification done by By [ 8 ]
ADDITIONAL KYC DETAILS FOR OPENING TRADING ACCOUNT DEPOSITORY ACCOUNT DETAILS Main/Default DP Detail DP Name: DP Address: DP ID: Client ID: POA: Yes No Depository : CDSL NSDL Additional DP Detail DP Name: DP Address: DP ID: Client ID: POA: Yes No Depository : CDSL NSDL TRADING PREFERENCES *Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. EXCHANGE SEGMENT SIGNATURE National Stock Exchange (NSE) Cash 5 F&O 5 Currency Derivative Bombay Stock Exchange (BSE) Cash 5 MCX SX F&O Currency Derivative # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. PAST ACTIONS Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years: Yes No If yes, (If yes please specify detail) DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS Name of the sub-broker: Sub-broker SEBI Registration No: NSE, BSE Sub-Broker's Address: Sub-Broker's Phone:, Fax No.: Sub-Broker's Website: S Sub broker s Signature [ 9 ]
Whether dealing with any other stock broker/sub-broker (In case dealing with multiple stock brokers / sub-brokers, please provide details of all) Name of stock broker: Name of Sub-Broker (if any): Client Code: Exchange: Details of disputes/dues pending from/to such stock broker/sub- broker: ADDITIONAL DETAILS Whether you wish to receive Physical contract note Electronic Contract Note (ECN) Email id: Mobile No (For receiving SMS Alerts Whether you wish to avail of the facility of internet trading/ wireless technology Yes No Number of years of Investment/Trading Experience: No Prior Experience, Years in Equities years in Derivatives Years in Other Investment Field In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of company/firm/others: Any other information: INTRODUCER DETAILS (OPTIONAL) Introduced by: Existing Client Sub-broker Remisier Authorised person Others: Please Specify Name of the Introducer: Client Code: Branch: Sub-Broker Registration No:, UCC:, Employee Code: PAN No.: Contact No. Address of the Introducer: Note: Sub broker/introducer s signature I/S Introducer s Signature DECLARATION 1. 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/we am/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 document on policy and procedures of the stock broker and the tariff sheet. 3. I/We further confirm having read and understood the contents of the Rights and Obligations 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. Place Date DD/MM/YYYY 6 Client Signature [ 10 ]
FOR OFFICE USE ONLY 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. For, Rajvi Stock Broking Ltd. X Signature & Seal/Stamp Name &Designation Date: DD/ MM / YYYY INSTRUCTIONS/ CHECK LIST 1. Additional documents in case of trading in derivatives segments - illustrative list: (Any One) Copy of ITR Acknowledgement 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 Self declaration with relevant supporting documents ownership of assets. 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. 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 7 Client s Signature [11]
Rajvi Stock Broking Ltd Regd. Office: G/2, Block-B, Jaldarshan Commercial Building, Opp. Natraj Cinema, Ashram Road Ahmedabad-380009 ADDITIONAL KYC DETAIL FOR OPENING DEMAT ACCOUNT FOR INDIVIDUAL (To be filled by the depository participant) Application No. Date : D D M M Y Y Y Y DP Internal Reference No. DP ID: 1 2 0 4 2 2 0 0 Client ID: (To be filed by the applicant in BLOCK LETTERS in English) I/We request you to open demat account in my/our name as per following details Holders Details Name PAN Sole /First Holder s Name Second Holder s Name Third Holder s Name Name* * In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above. Type of Account (Please tick whichever applicable) Status Sub-Status Individual Resident Individual-Director Individual Individual Director s Relative Individual HUF / AOP Individual Promoter Minor Individual Margin Trading A/C (MANTRA) Others(specify) NRI Repatriable NRI Non-Repatriable NRI NRI Repatriable Promoter NRI Non-Repatriable Promoter NRI Depository Receipts Others (specify) Foreign National Foreign National Foreign National - Depository Receipts Others (specify) I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit] (If not marked, the default option would be `Yes ) Yes No Account Statement As per SEBI Regulation Daily Weekly Fortnightly Monthly Requirement I / We request you to send Electronic Transaction-cum-Holding Statement at the Email ID_: Yes No Do you wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes ) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No SMS Alert Facility Refer to Terms & Conditions given as Annexure-2.4 Easi MOBILE NO. +91 [(Mandatory, if you are giving Power of Attorney (POA)] (if POA is not granted & you do not wish to avail of this facility, cancel this option). To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online. [ 12 ] Yes No Yes No
Details of Guardian Guardian s Name First Name Middle Name Last Name/Surname Relationship with applicant PAN Father/ Husband Name Address for Correspondence: City/Town/Village: State: Country: Pin: Contact Details: Mobile No.: Tel.(Off.) Tel.(Res.) Fax : Email id: DECLARATION I/We have read the terms & conditions DP-BO agreement and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action. First/Sole Holder Second Holder Third Holder Name Specimen Signatures 8 8 8 [ 13 ]
Rajvi Stock Broking Ltd Regd. Office: G/2, Block-B, Jaldarshan Commercial Building, Opp. Natraj Cinema, Ashram Road Ahmedabad-380009 FOR NON-INDIVIDUAL (To be filled by the depository participant) Application No. Date : D D M M Y Y Y Y DP Internal Reference No. DP ID: 1 2 0 4 2 2 0 0 Client ID: (To be filed by the applicant in BLOCK LETTERS in English) I/We request you to open demat account in my/our name as per following details Holders Details Name PAN Sole /First Holder s Name Search Name Second Holder s Name Third Holder s Name Name* * In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above. Type of Account (Please tick whichever applicable) Status Sub-Status Body Corporate Banks Trust Mutual Fund OCB FII To be filled by the DP CM FI Clearing House Other (Specify) SEBI Registration No. SEBI Registration date D D M M Y Y Y Y (If Applicable) RBI Registration No. RBI Approval date D D M M Y Y Y Y (If Applicable) National Indian Others (specify) I / We instruct the DP to receive each and every credit in my / our account (If not marked, the default option would be `Yes ) Account Statement Requirement [Automatic Credit] Yes No As per SEBI Regulation Daily Weekly Fortnightly Monthly I / We request you to send Electronic Transaction-cum-Holding Statement at the Email ID_: Yes No Do you wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes ) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No SMS Alert Facility Refer to Terms & Conditions given as Annexure-2.4 Easi MOBILE NO. +91 [(Mandatory, if you are giving Power of Attorney (POA)] (if POA is not granted & you do not wish to avail of this facility, cancel this option). To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online. [14] Yes No Yes No
Clearing Member Details (To be filled by CMs only) (To be filled by CMs only) Name of Stock Exchange Name of CC / CH Clearing Member Id Trading member ID Do you wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes ) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No DECLARATION I/We have read the terms & conditions DP-BO agreement (DP-CM agreement for BSE Clearing Member Account) including the schedules thereto and the terms and condition and agree to abide by the same and by the Bye Laws as are in force from time to time. I/we declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action. First/Sole Authorised Signatory Second Authorised Signatory Third Authorised Signatory Name Designation Specimen Signatures 8 8 8 (In case of more authorised signatories, please add annexure) [15]
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS (As prescribed by SEBI and Stock Exchanges) 1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on the Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities and Exchange Board of India (SEBI) and circulars /notices issued there under from time to time. 2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws and Regulations of the Exchange and circulars/notices issued there under and Rules and Regulations of SEBI and relevant notifications of Government authorities as may be in force from time to time. 3. The client shall satisfy itself of the capacity of the stock broker to deal in securities and/or deal in derivatives Contracts and wishes to execute its orders through the stock broker and the client shall from time to time continue to satisfy itself of such capability of the stock broker before executing orders through the stock broker. 4. The stock broker shall continuously satisfy itself about the genuineness and financial soundness of the client and Investment objectives relevant to the services to be provided. 5. The stock broker shall take steps to make the client aware of the precise nature of the Stock broker s liability for business to be conducted, including any limitations, the liability and the capacity in which the stock broker acts. 6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all its dealings with the client(s). CLIENT INFORMATION 7. The client shall furnish all such details in full as are required by the stock broker in "Account Opening Form with supporting details, made mandatory by stock exchanges/sebi from time to time. 8. The client shall familiarize himself with all the mandatory provisions in the Account Opening documents. Any additional clauses or documents specified by the stock broker shall be non-mandatory, as per terms & conditions accepted by the client. 9. The client shall immediately notify the stock broker in writing if there is any change in the information in the account opening form as provided at the time of account opening and thereafter; including the information on winding up petition /insolvency petition or any litigation which may have material bearing on his capacity. The client shall\provide/update the financial information to the stock broker on a periodic basis. 10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in the account opening form or any other information pertaining to the client, confidentially and that they shall not disclose the same to any person/authority except as required under any law/regulatory requirements. Provided however that the stock broker may so disclose information about his client to any person or authority with the express permission of the client. MARGINS 11. The client shall pay applicable initial margins, withholding margins, special margins or such other margins as are considered necessary by the stock broker or the Exchange or as may be directed by SEBI from time to time as applicable to the segment(s) in which the client trades. The stock broker is permitted in its sole and absolute discretion to collect additional margins (even though not required by the Exchange, Clearing House/Clearing Corporation or SEBI) and the client shall be obliged to pay such margins within the stipulated time. 12. The client understands that payment of margins by the client does not necessarily imply complete satisfaction of all dues. In spite of consistently having paid margins, the client may, on the settlement of its trade, be obliged to pay (or entitled to receive) such further sums as the contract may dictate/require. TRANSACTIONS AND SETTLEMENTS 13. The client shall give any order for buy or sell of a security/derivatives contract in writing or in such form or manner, as may be mutually agreed between the client and the stock broker. The stock broker shall ensure to place orders and execute the trades of the client, only in the Unique Client Code assigned to that client. 14. The stock broker shall inform the client and keep him apprised about trading/settlement cycles, delivery/payment schedules, any changes therein from time to time, and it shall be the responsibility in turn of the client to comply with such schedules/procedures of the relevant stock exchange where the trade is executed. [16]
15. The stock broker shall ensure that the money/securities deposited by the client shall be kept in a separate account, distinct from his/its own account or account of any other client and shall not be used by the stock broker for himself/itself or for any other client or for any purpose other than the purposes mentioned in Rules, Regulations, circulars, notices, guidelines of SEBI and/or Rules, Regulations, Bye-laws, circulars and notices of Exchange. 16. Where the Exchange(s) cancels trade(s) suo moto all such trades including the trade/s done on behalf of the client shall ipso facto stand cancelled, stock broker shall be entitled to cancel the respective contract(s) with client(s). 17. The transactions executed on the Exchange are subject to Rules, Byelaws and Regulations and circulars/notices issued there under of the Exchanges where the trade is executed and all parties to such trade shall have submitted to the jurisdiction of such court as may be specified by the Byelaws and Regulations of the Exchanges where the trade is executed for the purpose of giving effect to the provisions of the Rules, Byelaws and Regulations of the Exchanges and the circulars/notices issued there under. BROKERAGE 18. The Client shall pay to the stock broker brokerage and statutory levies as are prevailing from time to time and as they apply to the Client s account, transactions and to the services that stock broker renders to the Client. The stock broker shall not charge brokerage more than the maximum brokerage permissible as per the rules, regulations and byelaws of the relevant stock exchanges and/or rules and regulations of SEBI. LIQUIDATION AND CLOSE OUT OF POSITION 19. Without prejudice to the stock broker's other rights (including the right to refer a matter to arbitration), the client understands that the stock broker shall be entitled to liquidate/close out all or any of the client's positions for nonpayment of margins or other amounts, outstanding debts, etc. and adjust the proceeds of such liquidation/close out, if any, against the client's liabilities /obligations. Any and all losses and financial charges on account of such liquidation/closing-out shall be charged to and borne by the client. 20. In the event of death or insolvency of the client or his/its otherwise becoming incapable of receiving and paying for or delivering or transferring securities which the client has ordered to be bought or sold, stock broker may close out the transaction of the client and claim losses, if any, against the estate of the client. The client or his nominees, successors, heirs and assignee shall be entitled to any surplus which may result there from. The client shall note that transfer of funds/securities in favor of a Nominee shall be valid discharge by the stock broker against the legal heir. 21. The stock broker shall bring to the notice of the relevant Exchange the information about default in payment/delivery and related aspects by a client. In case where defaulting client is a corporate entity/partnership/proprietary firm or any other artificial legal entity, then the name(s) of Director(s)/Promoter(s)/Partner(s)/Proprietor as the case may be, shall also be communicated by the stock broker to the relevant Exchange(s). DISPUTE RESOLUTION 22. The stock broker shall provide the client with the relevant contact details of the concerned Exchanges and SEBI. 23. The stock broker shall co-operate in redressing grievances of the client in respect of all transactions routed through it and in removing objections for bad delivery of shares, rectification of bad delivery, etc. 24. The client and the stock broker shall refer any claims and/or disputes with respect to deposits, margin money, etc., to arbitration as per the Rules, Byelaws and Regulations of the Exchanges where the trade is executed and circulars/notices issued thereunder as may be in force from time to time. 25. The stock broker shall ensure faster settlement of any arbitration proceedings arising out of the transactions entered into between him vis-à-vis the client and he shall be liable to implement the arbitration awards made in such proceedings. 26. The client/stock-broker understands that the instructions issued by an authorized representative for dispute resolution, if any, of the client/stock-broker shall be binding on the client/stock-broker in accordance with the letter authorizing the said representative to deal on behalf of the said client/stock-broker. TERMINATION OF RELATIONSHIP 27. This relationship between the stock broker and the client shall be terminated; if the stock broker for any reason ceases to be a member of the stock exchange including cessation of membership by reason of the stock broker's default, death, resignation or expulsion or if the certificate is cancelled by the Board. [17]