Instructions / Checklist For Filling KYC Form
Instructions / Checklist For Filling KYC Form
Instructions / Checklist For Filling KYC Form
A. Important points
1. Self attested 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/others.
2. 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.
3. If any proof of identity or address is in a foreign language, then translation into English is required.
4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
5. If correspondence & permanent address are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.
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. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary
Board/Passport of Minor/Birth Certificate must be provided.
11. 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.
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.
In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.
G. 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.
H. Demat master or recent holding statement issued by DP bearing name of the client.
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.
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/others & their specimen signatures.
1
S. No. Name of the Document Brief Significance of the Document Page No
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
A. KYC form - Document captures the basic information about 3
the constituent and an instruction/checklist.
1 Account Opening Form
B. Document captures the additional information about the 4–6
Constituent relevant to trading account and an instruction /check list.
2 Tariff Sheet Document detailing the rate/amount of brokerage and other charges 7
levied on the client for trading on the stock exchange(s).
Document stating the Rights & Obligations of stock broker /trading
3 Rights and Obligations member and client for trading on exchanges (including additional rights Annexure
& obligations in case of internet/wireless technology based trading). A
Risk Disclosure Document Document detailing risks associated with dealing in the securities Annexure
4 (RDD) market. B
Document detailing do’s and dont’s for trading on exchange for Annexure
5 Guidance note
education of investors C
6 Policies and Procedures Document describing significant policies and procedures of Annexure
Stock Broker. D
VOLUNTARY AND OPTIONAL DOCUMENTS AS PROVIDED BY THE STOCK BROKER
A. Identity details
Photograph
1. Name (Same as ID Proof) Please affix your
recent passport size
1a. Maiden Name (If any) photograph and
2. Father's/Spouse's Name sign across it
2a. Mother's Name Signed by: Gourav Kant
eSigned using Aadhaar (digio.in)
F1
Date: 2020-08-25 01:33:02 IST
3a. Gender Male Female Transgender 3b. Marital Status Single Married Other 3c. DOB
4a. Citizenship Indian Other ___________________(ISO 3166 Country Code )
4b. Residential Status Resident Individual Non Resident Indian Person of Indian Origin Foreign National
5a. PAN
5b. Unique Identification Number (UID) / AADHAR, if any
6. Proof of Identity Submitted Pan Card Other (Please Specify) ____________________________________
B. Address details
1. Contact Details
Telephone (Office) Mobile No
Telephone (Residence) Email ID
2. Residence/Correspondence Address Address Type:
2020-08-25 Residential Business Unspecified
Address KRA VERIFIED
PAN: DDMPK7007M
City/Town District Pin Code
State/U.T Code GOURAV KANT Country/ISO Code
Specify the Proof of Address Submitted for Residence / Correspondence Address
Mother's Name
Sushma Rani
C. 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 Signed by: Gourav Kant
false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. eSigned using Aadhaar
(digio.in)
Date:F2
I hereby consent to receiving information from Central KYC Registry through SMS/email on the above registered Client Signature
2020-08-25 01:33:02 IST
number/email address.
Date :
4. Address in the jurisdiction details where applicant is resident outside India for tax purpose (if applicable)
Address
D. Details of related person (In case of additional related persons, please fill below details)
Addition of Related Person Deletion of Related Person
KYC Number of Related Person (if available)
Related Person Type Guardian of Minor Assignee Authorized Representative
Name
(If KYC number & name are provided, below details are optional)
Proof Of Identity Of Related Person
Identity Proof Submitted Number
Expiry Date :
Others (any document notified by the Central Govt.) Identification No
Simplified Measures Account-Document Type Code Identification No
B. Other details
Gross Annual Income Details (please specify): Income Range per annum
Below Rs 1 Lakh 1-5 Lakh * 5-10 Lakh 10-25 Lakh >25 Lacs
Or Net-worth as on ________________date___________________ (Net worth should not be older than 1year)
Occupation
Private Sector Public Sector Government Service Business Professional Agriculturist Retired
Housewife Student Self Employed Others (please specify) ____________________________________
Others
Mode in which you wish to receive the RDD, Rights & Obligations, and Guidance Note: Physical Electronic *
Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
*If, in future, the client wants to trade on any new segment, a separate authorization/letter should be taken from the client
by the broker.
Cash F&O Currency derivatives Commodity derivatives
BSE Signed by: Gourav Kant Signed by: Gourav Kant Signed by: Gourav Kant Signed by: Gourav Kant
eSigned using Aadhaar (digio.in) eSigned using Aadhaar (digio.in) eSigned using Aadhaar (digio.in) eSigned using Aadhaar (digio.in)
Date:F3 (e) Client
2020-08-25 01:33:02 IST Date:F3
Signature (f) Client
2020-08-25 Signature
01:33:02 IST Date:F3 (g) Client
2020-08-25 01:33:02 IST Date:F3
Signature (h)
2020-08-25 Client Signature
01:33:02 IST
H. Additional details
(I) Whether you wish to receive (a) Physical contract note (b) Electronic Contract Note (ECN) *
GKSNEHI@LIVE.COM
If ECN Specify your Email ID __________________________________________________________________________
(II) Whether you wish to avail the facility of internet trading/wireless technology/mobile trading Yes * No
5
Internet & wireless technology based trading facility provided by stock broker to the client
(All the clauses mentioned in the “Rights and Obligations”document(s) shall be applicable.
Additionally, the clauses mentioned herein shall also be applicable.)
1. Stock broker is eligible for providing Internet Based trading (IBT) and securities trading through the use of wireless technology
that shall include the use of devices such as mobile phone, laptop with datacard, etc. which use Internet Protocol (IP). The stock
broker shall comply with all requirements applicable to internet based trading/securities trading using wireless technology as
may be specified by SEBI & the Exchanges from time to time.
2. The client is desirous of investing/trading in securities and for this purpose, the client is desirous of using either the internet
based trading facility or the facility for securities trading through use of wireless technology. The Stock broker shall provide the
Stock broker’s IBT Service to the Client, and the Client shall avail of the Stock broker’s IBT Service, on and subject to
SEBI/Exchanges Provisions and the terms and conditions specified on the Stock broker’s IBT website provided that they are in
line with the norms prescribed by Exchanges/SEBI.
3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilities associated with
securities trading through wireless technology/internet/smart order routing or any other technology should be brought to the
notice of the client by the stock broker.
4. The stock broker shall make the client aware that the Stock Broker’s IBT system itself generates the initial password and its
password policy is as stipulated in line with norms prescribed by Exchanges/SEBI.
5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible
for all orders entered and transactions done by any person whosoever through the Stock broker’s IBT System using the Client’s
Username and/or Password whether or not such a person was authorized to do so. Also the client is aware that authentication
technologies and strict security measures are required for the internet trading/securities trading through wireless technology
through order routed system and undertakes to ensure that the password of the client and/or his authorized representative are not
revealed to any third party including employees and dealers of the stock broker.
6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers security flaw in Stock
Broker’s IBT System, discovers/suspects discrepancies/unauthorized access through his username/password/account with full
details of such unauthorized use, the date, the manner and the transactions effected pursuant to such unauthorized use,etc.
7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the
internet/securities trading through wireless technology and Client shall be fully liable and responsible for any and all acts done in
the Client’s Username/password in any manner whatsoever.
8. The stock broker shall send the order/trade confirmation through email to the client at his request. The client is aware that the
order/trade confirmation is also provided on the web portal. In case client is trading using wireless technology, the stock broker
shall send the order/trade confirmation on the device of the client.
9. The client is aware that trading over the internet involves many uncertain factors and complex hardware, software, systems,
communication lines, peripherals, etc. are susceptible to interruptions and dislocations. The Stock broker and the Exchange do
not make any representation or warranty that the Stock broker’s IBT Service will be available to the Client at all times without any
interruption.
10. The Client shall not have any claim against the Exchange or the Stockbroker on account of any suspension, interruption, non-
availability or malfunctioning of the Stock broker’s IBT System or Service or the Exchange’s service or systems or nonexecution
of his orders due to any link / system failure at the Client/Stock brokers/Exchange end for any reason beyond the control of the
stockbroker/Exchanges.
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 am/we 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.
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.
2. I/We request you to retain securities with you for my/our margin/pay-in/other future obligation(s) of any segment(s) of any
or all the Exchange(s)/Clearing Corporation, unless I/We instruct you to transfer the same to my/our account.
3. I/We request you to settle my fund and securities account (choose one option)
* Once in every calendar Quarter except the funds given towards collaterals/margin in form of Bank Guarantee and/or
Fixed Deposit Receipt
4. In case I/We have an outstanding obligation on the settlement date, you may retain the requisite securities/funds
towards such obligations and may also retain the funds expected to be required to meet margin obligation for next 5 trading
days, calculated in the manner specified by the exchanges.
5. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made
in writing preferably within 7 working days from the date of receipt of funds/securities or statement of account or statement
related to it, as the case may be at your registered office.
6. I/We confirm you that I can revoke the above mentioned authority at any time.
7. All accounts with credit balances of Rs. 10000/- or lesser shall be automatically retained and transfer of funds to the bank
account shall not be made as per SEBI circular MIRSD/SE/Cir-19/2009 & Exchange Circular Nos. NSE/INSP/24849 &
20091204-7.
Yours faithfully,
I further declare the above mentioned statement is true and correct. Signed by: Gourav Kant
eSigned using Aadhaar
(digio.in)
F8 Client Signature
Date: 2020-08-25 01:33:02 IST
GOURAV KANT
I _________________________________ DDMPK7007M
having PAN________________________do hereby declare that I have not been
involved in any unlawful activities and I have not been declared a defaulter or my name is not appearing in defaulter database as
per SEBI/ Various Exchange/ Regulatory bodies, etc. I further declare that the above mentioned declaration/ statement is true
and correct.
To
Zerodha
153/154, 4th Cross, Dollars Colony, 4th Phase, JP Nagar, Opp. Clarence Public School, Bangalore - 560078.
Sub: Acknowledgement
This is to acknowledge the receipt of following documents. I further state and confirm that I have read and understood
3 Risk Disclosure document (RDD) for Capital, Derivatives, and Currencies Segments
4 Guidance Note - Do's and Dont's for trading on the Exchange(s) for investors
6 Policies and Procedures Document pursuant to the SEBI circular dated December 03, 2009
7 General Terms & Conditions governing securities trading and broking services of Zerodha
I also confirm that I have received the relevant clarifications, if any, wherever required from the officials of Zerodha
Yours faithfully,
Signed by: Gourav Kant
eSigned using Aadhaar
Client Name : ______________________________________
GOURAV KANT F10
(digio.in) Client Signature
Date: 2020-08-25 01:33:02 IST
Account Statement Requirement * As per SEBI Regulation Daily Weekly Monthly Fortnightly
I / We request you to send electronic transaction-cum-holding statement at the following * Yes No
Email ID GKSNEHI@LIVE.COM
I / We would like to share the email ID with the RTA * Yes No
I / We would like to receive the Annual Report Physical * Electronic Both Physical and Electronic
(Tick the applicable box. If not marked the default option would be in Physical)
I/We wish to receive dividend/interest directly in to my bank account as given below through ECS. * Yes No
(If not marked, the default option would be ‘Yes’) [ECS is mandatory for locations notified by SEBI from time to time ]
Bank Details [Dividend Bank Details]
Account type Saving * Current Others (specify)
Bank Code (9 digit MICR code) 133259002 IFS Code (11 character) IBKL0000310
Account number 0310104000064831
Bank Name IDBI BANK
Branch Name 169-2 RAI MARKET
Bank Branch Address AMBALA CANTT HARYANA
City ---- State ----
Country ---- PIN code ----
(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.
Other Details
Gross Annual Income Details (please specify): Income Range per annum
Below Rs 1 Lakh 1-5 Lakh * 5-10 Lakh 10-25 Lakh >25 Lacs
Or Net-worth as on ________________date___________________ (Net worth should not be older than 1year)
Occupation :_______________________________________________________________________________________
Others
Please tick, if applicable: Politically Exposed Person (PEP) Related to Politically Exposed Person (RPEP)
Any other information:________________________________________________________________________________
Transactions Using I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have
Secured Texting Facility read and understood the Terms and Conditions prescribed by CDSL for the same.
(TRUST). Refer to Terms I/We wish to register the following clearing member IDs under my/our below mentioned BO ID
and Conditions registered for TRUST
Annexure – 2.6
Yes * No
Stock Exchange Name/ID Clearing Member Name Clearing Member ID (Optional)
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.
First/Sole
Signed by: Gourav Kant Holder
eSigned using Aadhaar
or Guardian
(digio.in)
F11 (in case S1 Second Holder T1 Third Holder
Date: 2020-08-25 of Minor)
01:33:02 IST
Dear Sir,
Sub : Requesting for bill/transaction/holding statement through email.
I/We request you to send me/us bill, transaction and holding statement of my CDSL Demat account no. 12081600__________
35378551
Yours faithfully,
First/Sole
Signed by: Gourav Kant Holder
eSigned using Aadhaar
or Guardian
(digio.in)
F12(a) (in01:33:02
Date: 2020-08-25 case of Minor)
IST S2(a) Second Holder T2(a) Third Holder
Declaration
I/We have received and read the Rights and Obligations documents and terms & conditions and agree to abide by and be bound
by the same and the Bye Laws as are in force from time to time. I/We declare that the particulars given by me/us above are true
to the best of my/our knowledge as on the date of making this application.
I/We agree and undertake to intimate the DP of 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.
To,
Zerodha Broking Ltd.
153/154, 4th Cross, Dollars Colony, 4th Phase, JP Nagar, Opp. Clarence Public School, Bangalore - 560078.
Dear Sir,
I/We hereby state that: [select one of the option given below]
Option 1:
I/We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account
though I/ We have issued a Power of Attorney (POA) in favour of Zerodha Broking Ltd. for executing delivery instructions for
settling stock exchange trades (Settlement related transactions) effected through such Clearing Member.
Option 2: OR
I/We do not require the Delivery Instruction Slip(DIS)for the time being, Since I/We have issued a POA in favour of Zerodha
Broking Ltd. for executing the delivery instructions for settling stock exchange trades [settlement related transaction]
effected through such Clearing Member. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us
immediately on my / our request at any later date.
I/We hereby select Option 1 Option 2 *
Declaration
I hereby declare that the mobile no./email ID mentioned in the Account opening form/ request for change in mobile no./email
ID is my own
Request letter for registration of mobile no./email ID of person belonging to the client's family
Please note that the mobile no./email id/both mentioned in the Account opening form/ request for change in mobile no./email ID
belongs to Mr/Mrs./Ms. ______________________________________________________________________ who is my
______________________________ [relationship with the client]
First/Sole
Signed by: Gourav Kant Holder
eSigned using Aadhaar
or Guardian
(digio.in)
F16 (in case
Date: 2020-08-25 of Minor)
01:33:02 IST
[Only the mobile no./email id of your spouse, dependent children and dependent parents can be registered in your demat account]