INSTRUCTIONS FOR FILLING OUT THIS KYC FORM
SECTION AIMPORTANT POINTS
1. Self aested copy of PAN card is mandatory for all clients, including Promoters/ Partners/ Karta/ Trustees and whole medirectors and persons authorized to deal in securies on behalf of company/ rm/ others.2. Copies of all the documents submied by the applicant should be self-aested and accompanied by originals for verica
on. In case the original of any document is not produced for vericaon, then the copies should be properly aested byenes authorized for aesng the documents, as per the below menoned list.3. If any proof of identy or address is in a foreign language, then translaon into English is required.4. Name & address of the applicant menoned on the KYC form, should match with the documentary proof submied.5. If correspondence & permanent address are dierent, then proofs for both have to be submied.6. Sole proprietor must make the applicaon in his individual name & capacity.7. For non-residents and foreign naonals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/ PIOCard/ OCI Card and overseas address proof is mandatory.8. For foreign enes, CIN is oponal; 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 declaraon or cered copy of CDC (Connuous Discharge Cercate) is to besubmied.10. For opening an account with Depository parcipant or Mutual Fund, for a minor, photocopy of the School Leaving Cer
cate/ Mark sheet issued by Higher Secondary Board/ Passport of Minor/ Birth Cercate must be provided.11. Polically Exposed Persons (PEP) are dened as individuals who are or have been entrusted with prominent public func
ons in a foreign country, e.g., Heads of States or of Governments, senior policians, senior Government/ judicial/ mili
tary ocers, senior execuves of state owned corporaons, important polical party ocials, etc.
PROOF OF IDENTITY (POI) - LIST OF DOCUMENTS ADMISSABLE AS PROOF OF IDENTITY
1. Unique Idencaon Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.2. PAN card with photograph.3. Identy card/ document with applicant’s Photo, issued by any of the following: Central/ State Government and its Depart
ments, Statutory/ Regulatory Authories, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Ins
tuons, Colleges aliated to Universies, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members;and Credit cards/ Debit cards issued by Banks.
PROOF OF ADDRESS (POA) - LIST OF DOCUMENTS ADMISSABLE AS PROOF OF ADDRESS
Documents having an expiry date should be valid on the date of submission1. Passport/ Voters Identy Card / Raon Card / Registered Lease or Sale Agreement of Residence / Driving License / FlatMaintenance bill / Insurance Copy.2. Ulity bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.3. Bank Account Statement / Passbook - Cannot be older than 3 months.4. Self-declaraon by High Court and Supreme Court judges, giving the new address in respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks / Scheduled Co-OperaveBank/ Mulnaonal Foreign Banks / Gazeed Ocer / Notary public / Elected representaves to the Legislave Assembly/ Parliament / Documents issued by any Govt. or Statutory Authority.6. Identy card / document with address, issued by any of the following: Central / State Government and its Departments,Statutory / Regulatory Authories, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Instuons,Colleges aliated to Universies and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.7. For FII / sub account, Power of Aorney given by FII / sub-account to the Custodians (which are duly notarized and/ oraposled or consularised) that gives the registered address should be taken.8. The proof of address in the name of the spouse may be accepted.
SECTION DEXEMPTIONS / CLARIFICATIONS TO PAN
Sucient documentary evidence in support of such claims to be collected1. In case of transacons undertaken on behalf of Central Government and/ or State Government and by ocials appointedby Courts e.g. Ocial liquidator, Court receiver etc.2. Investors residing in the state of Sikkim.3. UN enes/ mullateral agencies exempt from paying taxes/ ling tax returns in India.4. SIP of Mutual Funds up to Rs. 50, 000/ - p.a.5. In case of instuonal clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Mullateral and Bilateral De
velopment Financial Instuons, State Industrial Development Corporaons, Insurance Companies registered with IRDAand Public Financial Instuon as dened under secon 4A of the Companies Act, 1956, Custodians shall verify the PANcard details with the original PAN card and provide duly cered copies of such veried PAN details to the intermediary.