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FormA

FormA

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Published by: mcxnsebse on Nov 21, 2012
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12/04/2012

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TRADING ACCOUNT OPENING FORM
TABLE OF CONTENTS
DOCUMENTSIGNIFICANCEPAGE NUMBERMANDATORY DOCUMENTSAccount Opening Form
a) KYC form - Document captures the basic informaon about the constu
-
ent and an instrucon/check list.b) Document captures the addional informaon about the constuentrelevant to trading account and an instrucon /check list.
4-7
TariSheetDetails the rate / amount of brokerage and other charges levied on the cli
-
ent for trading on the stock exchange(s)
8
Acknowledgement LeerAcknowledgement indicang receipt of documents by the client
9OPTIONAL DOCUMENTS
Authorizaon of running ac
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count / request leerLeer or authority / request to RKSV Securies India Pvt. Ltd.
10
Authorizaon for Electronic
Contract Notes
Leer of Authorizaon for Electronic Contract Notes.
11Internet Based Trading
Leer of Authorizaon for Internet Based Trading (IBT)
12
QUICK CHECKLIST
Aached copy of passport picture on page 4 and signed acrossSigned all areas marked with ‘X’ and yellow highlightPhotocopy of PAN card with signaturePhotocopy of address proof with signaturePhotocopy of last 6 months bank statement or last years Income Tax Return (ITR) or last 6month’s salary slip with signatureCancelled cheque to e your primary banking accountAccount opening fees cheque for Rs. 250 made payable to “RKSV Securies India Pvt. Ltd.Mailing the forms to 212, Trade Centre, BKC, Bandra (E), Mumbai, MH, 400 051CEO / COMPLIANCE OFFICERMr. Ravi KumarPh: +91-22-6130-9999compliance@rksv.in, www.rksv.in
SEBI REGISTRATION NUMBERS
SEBI Regn. No. NSE: INB/ INF/ INE 231394231SEBI Regn. No. BSE: INB/ INF 011394237Registraon Date: July 23, 2010For any grievance/ dispute please contact RKSV Securies India Pvt. Ltd. at the above address and/ or email id: complaints@rksv.in and/ or Phone No. +91-22-6130-9999 / +91-22-2654-4100. In case you are not sased with the response, pleasecontact the concerned exchange(s) at Naonal Stock Exchange of India Limited at [ignse@nseindia.com and Phone No. +91-22-2659-8190] and Bombay Stock Exchange Limited at[is@bseindia.com and Phone No. +91-22-2272-8097].
REGISTERED OFFICE ADDRESS
807, New Delhi House, Barakhamba RoadConnaught Place, New Delhi, 110 011Ph: +91-22-6130-9999 / +91-22-2654-4100Fax: +91-22-6710-7492www.rksv.in
CORRESPONDENCE OFFICE ADDRESS
212, Trade Centre BuildingBKC, Bandra (E), Mumbai, MH, 400 051Ph: +91-22-6130-9999 / +91-22-2654-4100Fax: +91-22-6710-7492www.rksv.in
 
PAGE
 
2
2.1.0
INSTRUCTIONS FOR FILLING OUT THIS KYC FORM
SECTION AIMPORTANT POINTS
1. Self aested copy of PAN card is mandatory for all clients, including Promoters/ Partners/ Karta/ Trustees and whole medirectors and persons authorized to deal in securies on behalf of company/ rm/ others.2. Copies of all the documents submied by the applicant should be self-aested and accompanied by originals for verica
-
on. In case the original of any document is not produced for vericaon, then the copies should be properly aested byenes authorized for aesng the documents, as per the below menoned list.3. If any proof of identy or address is in a foreign language, then translaon into English is required.4. Name & address of the applicant menoned on the KYC form, should match with the documentary proof submied.5. If correspondence & permanent address are dierent, then proofs for both have to be submied.6. Sole proprietor must make the applicaon in his individual name & capacity.7. For non-residents and foreign naonals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/ PIOCard/ OCI Card and overseas address proof is mandatory.8. For foreign enes, CIN is oponal; 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 declaraon or cered copy of CDC (Connuous Discharge Cercate) is to besubmied.10. For opening an account with Depository parcipant or Mutual Fund, for a minor, photocopy of the School Leaving Cer
-
cate/ Mark sheet issued by Higher Secondary Board/ Passport of Minor/ Birth Cercate must be provided.11. Polically Exposed Persons (PEP) are dened 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 policians, senior Government/ judicial/ mili
-
tary ocers, senior execuves of state owned corporaons, important polical party ocials, etc.
SECTION B
PROOF OF IDENTITY (POI) - LIST OF DOCUMENTS ADMISSABLE AS PROOF OF IDENTITY
1. Unique Idencaon Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.2. PAN card with photograph.3. Identy card/ document with applicant’s Photo, issued by any of the following: Central/ State Government and its Depart
-
ments, Statutory/ Regulatory Authories, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Ins
-
tuons, Colleges aliated to Universies, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members;and Credit cards/ Debit cards issued by Banks.
SECTION C
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 Identy Card / Raon Card / Registered Lease or Sale Agreement of Residence / Driving License / FlatMaintenance bill / Insurance Copy.2. Ulity 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-declaraon 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-OperaveBank/ Mulnaonal Foreign Banks / Gazeed Ocer / Notary public / Elected representaves to the Legislave Assembly/ Parliament / Documents issued by any Govt. or Statutory Authority.6. Identy card / document with address, issued by any of the following: Central / State Government and its Departments,Statutory / Regulatory Authories, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Instuons,Colleges aliated to Universies and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.7. For FII / sub account, Power of Aorney given by FII / sub-account to the Custodians (which are duly notarized and/ oraposled 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
Sucient documentary evidence in support of such claims to be collected1. In case of transacons undertaken on behalf of Central Government and/ or State Government and by ocials appointedby Courts e.g. Ocial liquidator, Court receiver etc.2. Investors residing in the state of Sikkim.3. UN enes/ mullateral 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 instuonal clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Mullateral and Bilateral De
-
velopment Financial Instuons, State Industrial Development Corporaons, Insurance Companies registered with IRDAand Public Financial Instuon as dened under secon 4A of the Companies Act, 1956, Custodians shall verify the PANcard details with the original PAN card and provide duly cered copies of such veried PAN details to the intermediary.
 
PAGE
 
3
2.1.0
SECTION ELIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS
1. Notary Public, Gazeed Ocer, Manager of a Scheduled Commercial / Co-operave Bank or Mulnaonal Foreign Banks(Name, Designaon & Seal should be axed on the copy).2. In case of NRIs, authorized ocials of overseas branches of Scheduled Commercial Banks registered in India, Notary Pub
-
lic, Court Magistrate, Judge, Indian Embassy / Consulate General in the country where the client resides are permied toaest the documents.
SECTION F
ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENTS - ILLUSTRATIVE LIST
In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the clientfrom me to me.1. Copy of ITR Acknowledgement2. Copy of Annual Accounts3. In case of Salary Income – Salary Slip, Copy of Form 164. Net Worth Cercate5. Copy of demat account holding statement.6. Bank account statement for last 6 months7. Self declaraon with relevant supporng documents.8. Any other relevant documents substanang ownership of Assets.
SECTION GCOPY OF CANCELLED CHEQUE LEAF/ PASS BOOK/ BANK STATEMENT
Please ensure the document species the name of the constuent, MICR Code and/or IFSC code of the bank.
SECTION HDEMAT MASTER OR RECENT HOLDING STATEMENT ISSUED BY DP BEARING NAME OF THE CLIENT
For individuals:1. Stock broker has an opon of doing ‘in-person’ vericaon through web camera at the branch oce of the stock broker/sub-broker’s oce.2. In case of non-resident clients, employees at the stock broker’s local oce, overseas can do in-person vericaon. Further,considering the infeasibility of carrying out ‘In-person’ vericaon of the non-resident clients by the stock broker’s sta,aestaon of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate Gen
-
eral in the country where the client resides may be permied.

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