Checklist for KYC November 2011

1. Checklist for KYC November 2011

2. CHECKLIST FOR INDIVIDUAL & PROPRIETOR 1) Pan Card Copy 2)Identity Proof (Any one) • Pan Card • Passport • Voter ID Card • UID / Aadhaar • Driving License (Photo in the Proof must be clearly visible ) 3)Photograph • Passport size photo (Stamp size photo will be rejected) 4)Address Proof • Ration Card (client name should be legible) • Voter ID Card • Passport copy (within validity period) • Driving License (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline telephone bill ( not more than three months old )

3. Electricity Bill ( not more than three months old ) • Rent Agreement / Leave & License Agreement / Agreement for sale (it should be a true copy & a valid agreement) 5)Bank Proof • Photocopy of the Bank Passbook or Bank Statement showing Account Number & Name. ( If Cheque is not personalised ) • Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate) 6)Demat Proof • DP Client Master Copy with Active Status 7) In the case of Proprietor Account, Trading Account will be open in firm Name • Rubber stamp of the Proprietor to be affixed, wherever signatures are made • Bank letter certifying the Proprietor name and the Trade name 8) KYC supporting documents must be verified with the originals and all Photo copies to be self – attested by the client only 9) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory • All the required witnesses in detail to be done in the Agreement • KRA Form

4. CHECKLIST FOR HUF 1) Pan Card Copy of HUF & Karta 2)Identity Proof (Any one) • Pan Card • Passport • Voter ID Card • UID / Aadhaar • Driving License (Photo in the Proof must be clearly visible ) 3)Photograph • Passport size photo (Stamp size photo will be rejected) 4)Address Proof • Ration Card (client name should be legible) • Voter ID Card • Passport copy (within validity period) • Driving License (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline telephone bill ( not more than three months old )

5. Electricity Bill ( not more than three months old ) • Rent Agreement / Leave & License Agreement / Agreement for sale (it should be a true copy & a valid agreement) • Rubber stamp of the HUF to be affixed, wherever signatures are made 5)Bank Proof • Photocopy of the Bank Passbook or Bank Statement showing Account Number & Name ( If Cheque is not personalised ) • Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate) 6)Demat Proof • DP Client Master copy with Active Status 7) KYC supporting documents must be verified with the originals and all Photo copies to be self – attested by the client only 8) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory 9) All the required witnesses in detail to be done in the Agreement

6. 10) List of family members required in detail like co-parceners Name, Age, Relationship & Signature 11) Rubber Stamp of Karta on all signatures 12) Details of last year income tax return filed. (For HUF) 13) KRA Form

7. CHECK LIST FOR PARTNERSHIP FIRM • Trading account will be open in firm name and demat account will be open in partners name • Pan Card copy of the Partnership Firm • Partnership Deed and must be certified by the Partner • Certified copy of the Authority Letter in favour of the Managing Partner • Declaration by the Partnership Firm –As per prescribed format on letter head • Undertaking by the Partnership Firm • Registration Certificate • POA granted to person for transaction on behalf of the firm • Last 2 financial years Annual Report & IT Return Copy-Certified by the Partners • List of Partners with specimen signatures on the Partnership Firm’s letter head • Rubber stamp of the Partnership Firm to be affixed, wherever signatures are made

8. 11)Address Proof of the Partnership Firm • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline telephone Bill ( not more than three months old ) • Electricity Bill ( not more than three months old ) 12)Bank Proof of the Partnership Firm • Photocopy of the Bank Passbook or Bank Statements showing Account Number & Partnership Firm name. ( If cheque is not personalised ) • Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate) 13) Details of the Partners • At least two Partners details are required • Pan Card Copy of all the Partners • At least two Partners Passport size photographs required. (Stamp size photo will be rejected) • Address proof of all the partners • Ration Card (client name should be legible) • Voter ID card • Passport copy (within validity period) • Driving License (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline telephone bill ( not more than three months old )

9. 14) Demat Proof of the Partnership Firm • DP Client Master Copy with Active Status 15)KYC supporting documents must be verified with the originals and all Photo copies to be self – attested by the client 16)Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory • All the required witnesses in detail to be done in the Agreement • KRA Form

10. CHECK LIST FOR CORPORATE • Pan Card copy of the company • MOA & AOA must be certified by the MD / Director / Secretary • Form No – 32, if there is any changes in the Board of Directors • Certified copy of the Board Resolution and the Declaration Copy in the prescribed format • Last 2 financial years Annual Report & IT Return Copy, duly certified by the Director • Latest share holding pattern -duly certified by the Company Secretary or Director • List of Directors with specimen signatures on the Company's letter head • In case of the Limited Company, the Certificate of Commencement of Business will be required • Rubber stamp of the Company to be affixed, wherever signatures are made

11. 10)Address Proof of the Company • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline Telephone Bill ( not more than three months old ) • Electricity Bill ( not be more than three months old ) 11)Bank Proof of the Company • Photocopy of the Bank Passbook or Bank Statements showing Account Number & Company name. ( If cheque is not personalised ) • Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate) 12)Details of the Directors • At least Two Directors details are required • Pan Card Copy of all the Directors • At least two Directors Passport size photographs required. (Stamp size photo will be rejected) • Address Proof of the Directors • Ration Card (client name should be legible) • Voter ID Card • Passport copy (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal • Landline telephone bill ( not more than three months old )

12. 13) Demat Proof of the Company • DP Client Master Copy with Active Status 14) KYC supporting documents must be verified with the originals and all Photo copies to be self – attested by the client only 15)Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory • All the required witnesses in details to be done in the Agreement • KRA Form

13. CHECK LIST FOR TRUST • Pan Card copy of the Trust • Trust Deed must be certified by the Trustee • Trust registration certificate and must be certified by the Trustee • POA granted to person for transaction on behalf of the trust • Certified copy of the Board Resolution and the Declaration Copy in the prescribed format • Copies of the Annual Report for the last 2 financial years & the latest IT Return Copy, duly certified by the Trustee • List of Trustees with specimen signatures on the Trust’s letter head • Rubber stamp of the Trust to be affixed, wherever signatures are made

14. 9)Address Proof of the Trust • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal. • Landline Telephone Bill ( not more than three months old ) • Electricity Bill ( not be more than three months old ) 10)Bank Proof of the Trust • Photocopy of the Bank Passbook or Bank statement showing Account Number & Trust name. ( If cheque is not personalised ) • Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate) 11)Details of the Trustees • At least Two Trustees details are required • Pan Card Copy of all the Trustee • At least two Trustees Passport size photographs required. (Stamp size photo should be rejected) • Address Proof of the Trustees • Ration Card (client name should be legible) • Voter ID Card • Passport copy (within validity period) • Driving License (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal

15. 12)Demat Proof of the Trust • DP Client Master Copy with active status • KYC Supporting documents must be verified with the originals and all Photo copies to be self – attested by the client 14) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory • All the required witnesses in detail to be done in the Agreement • KRA Form

16. CHECKLIST FOR NRI CLIENT 1) Pan Card Copy 2)Identity Proof (Any one) • Pan Card • Passport • Voter ID Card • Driving License (Photo on the Proof must be clearly visible) 3)Photographs • Passport size photo (Stamp size photo will be rejected) 4)Foreign & Indian Residential Address Proof • Passport copy (Mandatory) (within validity period) • Ration Card (client name should be legible) • Voter ID Card • Driving License (within validity period) • Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal. • Landline telephone bill ( not more than three months old )

17. 5) Visa Copy (In case the place of issue of passport is India) 6) Bank Proof with NRI status • Photocopy of the Bank Passbook or Bank Statement showing Account Number, Name with NRI / NRO status • Cancelled Cheque is required for ascertaining MICR code(For ECS Mandate) 7) Demat Proof with NRI status • DP Client Master Copy with active & NRI / NRO status 8) PIS permission / RBI Approval 9) Undertaking for FEMA regulations as per prescribed format 10) Letter from current employer (if applicable) 11) POA (Power of Attorney) – Notarized from abroad 12) Authority Letter – (If authority given by the client to another person) • Passport copy for proof of address of the authorized person • Photo of the person authorized • Letter signed by the authorized person

18. 13) KYC Supporting documents must be verified with the originals and all Photo copies to be self- attested by the client 14) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory • All the required witnesses in details to be done in the Agreement • KRA Form

19. Thank You