for office use only · no objection certificate(s) (format given at annexure oe) family settlement...

To,

RCSPL Share Broking Pvt. Ltd. 10 Mill Officers Colony, B/H Old RBI,

Ashram Road,

Ahmedabad – 380009

(1) I/We, the undersigned, being the

ANNEXURE O

TRANSMISSION FORM

Date

Executor(s) of the Will Legal heir(s)

Administrator(s) of the Estate Joint holder(s)

Successor(s) to the Estate Nominee

Survivors of HUF

of Mr./Mrs./Ms. ,

Mr./Mrs./Ms. and Mr./Mrs./Ms.

, the deceased, of which *nomination / probate/ letter of administration / succession certificate was duly granted to me /

us on the day of of hereby request you to register

me/us as the beneficial owner(s) in respect of the securities standing in the name of the said

deceased under Client ID DP ID – IN

(2) I/We give hereunder the details of my/our account with a Participant to which the security

balances are requested to be transmitted:

Name Client ID DP ID

FOR OFFICE USE ONLY

Branch

Received By & Receipt No.

Document Verified by

Authorised Signatory

Closed by

Approval I

Approval II

Approval III

(3) List of Documents enclosed (for Individual accounts) (tick as applicable):

For surviving holder(s) in a joint account

Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer.

For nominee of the deceased:


In case the account of the claimant is not with the Participant, copy of Client Master

Report of the account of the nominee.

For legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the

account - Value of holding not exceeding Rs.5 lakh on the date of application

Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer


Report of the account of the claimant.

Indemnity (format given at Annexure OC)

Affidavit (format given at Annexure OD)

No objection certificate(s) (format given at Annexure OE)

Family Settlement Deed [as an alternate to No objection certificate(s)]

For legal heir(s)/Legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding was Rs. 5 lakh or more on the date of application

Copy of death Certificate duly attested by a Notary Public or by a Gazetted Officer


Report of the account of the claimant.

Succession certificate

Letter of Administration

Probate of the Will

(4) Declaration: (Applicable only for legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding not exceeding Rs. 5 Lakh on the date of application)

We declare that the below mentioned person(s) are the only legal heir(s) of the deceased and there are not other

legal heir(s). Of these, as specified below, some/all of them are claimants and some of them have given a No

Objection Certificate in favor of other legal heir(s). Details are given below:

Sr. No.

Name of the legal heir(s) Specify whether a claimant or given a No Objection Certificate

A

B

C

D

(5) List of Documents enclosed (for HUF accounts) (tick as applicable):

Value of holding not exceeding Rs.10 lakh on the date of application. [Where there is an objection

from any member of HUF, documents mentioned at B below must be submitted]


Indemnity (format given at Annexure OF)

Affidavit (format given at Annexure OG)

Value of holding was Rs. 10 lakh or more on the date of application.


Court Decree

Deed of Partition

Separation/ partition of HUF:


Settlement Deed

Deed of Partition

Court Decree

(6) Signatures:

Sr. No. Name of claimant Signature of claimant

Notes:1. This request form should be signed by the surviving joint holder(s)/ legal heir(s)/ legal representative(s)/

nominee / all surviving members of the HUF, as the case may be.

2. * Strike off whichever is not applicable.

A

B

C

d d m m y y y y / /

/ /

Know Your Client (KYC)

Application Form (For Non-Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black ink

Application No. :

A. Identity Details (please see guidelines overleaf)

1. N ame o f A pplicant (Please w rite c omplete n ame a s p er C ertificate o f I ncorporation / R egistration; l eaving o ne b ox b lank b etween 2 w ords. P lease d o n ot a bbreviate t he N ame).

PHOTOGRAPH

Please affix

the recent passport

size photograph of

Authorised Signatory

and sign across it

2. Date of Incorporation d d / m m / y y y y

Place of Incorporation

3. Registration No. (e.g. CIN)

Date of commencement of business d d / m m / y y y y

4. Status Please tick () Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non-Government Organisation

Defence Establishment Body of Individuals Society LLP Others (Please specify)

5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card

City / Town / Village Postal Code

State Country

Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD)

Mobile (ISD) (STD) Fax (ISD) (STD)

E-Mail Id.

City / Town / Village Postal Code

State Country

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.

AMC/Intermediary name OR code

Place: Date:

FOR OFFICE USE ONLY

(Originals Verified) Self Certified Document copies received

(Attested) True copies of documents received

d d m m y y y y *Not more than 3 Months old. Validity/Expiry date of proof of address submitted

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick () against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises

Any other proof of address document (as listed overleaf).(Please specify)

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted

4. Registered Address (If different from above)

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick () against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises

Any other proof of address document (as listed overleaf).(Please specify)

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

2. Contact Details

C. New Other Details (please see guidelines overleaf)

3. 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)

4. Is the entity involved/providing any of the following services YES NO

- For Foreign Exchange / Money Changer Services YES NO – Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates) YES NO

- Money Lending / Pawning YES NO

5. Any other information:

DECLARATION

1. Gross Annual Income Details Please tick (): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac

2. Net-worth in `. (*Net worth should not be older than 1 year) as on (date) d

25 Lacs-1 Crore

d m m y / /

> 1 Crore

y y y

NAME & SIGNATURE(S)

OF AUTHORISED

PERSON(S)

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

"Ple

ase

no

te t

hat

the

KY

C A

pplic

atio

n F

orm

and

ove

rlea

f in

stru

ctio

ns s

hou

ld b

e p

rint

ed o

n th

e sa

me

pag

e (b

ack

to b

ack)

. If

pri

nte

d se

para

tely

the

n b

oth

the

pag

es s

hou

ld b

e a

ttac

hed

and

sig

ned

by

the

app

lican

t."

N

4. SIP of Mutual Funds upto Rs 50,000/- p.a.

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

A. IMPORTANT POINTS: Residence/Driving License/Flat Maintenance bill/Insurance Copy.

1. Self attested copy of PAN card is mandatory for all clients.

2. Copies of all the documents submitted by the applicant should be self-attested and

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.

accompanied by originals for verification. In case the original of any document is not 3. Bank Account Statement/Passbook - Not more than 3 months old.

produced for verification, then the copies should be properly attested by entities 4. Self-declaration by High Court and Supreme Court judges, giving the new address in authorized for attesting the documents, as per the below mentioned list. respect of their own accounts.

3. If any proof of identity or address is in a foreign language, then translation into English 5. Proof of address issued by any of the following: Bank Managers of Scheduled

is required. Commercial Banks/Scheduled Co-Operative Bank/Multinationa Foreign 4. Name & address of the applicant mentioned on the KYC form, should match with the Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative

documentary proof submitted. Assembly/Parliament/Documents issued by any Govt. or StatutoryAuthority.

5. If correspondence & permanent address are different, then proofs for both have to be 6. Identity card/document with address, issued by any of the following: Central/State submitted. Government and its Departments, Statutory/Regulatory Authorities, Public Sector

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/PIOCard/OCICard 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

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.

7. 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.

8. The proof of address in the name of the spouse may be accepted.

(Continuous Discharge Certificate) is to be submitted. D. Exemptions/clarifications to PAN

10. For opening an account with Depository participant or Mutual Fund, for amin or, (*Sufficient documentary evidence in support of such claims to be collected.) photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government and/or State Board/Passport of Minor/Birth Certificate must be provided. Governmentand by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been 2. Investors residing in the state of Sikkim. entrusted with prominent public functions in a foreign country, e.g., Heads of

3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party

officials, etc. 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial

B. Proof of Identity( POI): List of documents admissible as Proof of Identity: Development Corporations, Insurance Companies registered with IRDA and Public

1. PAN card with photograph. This is a mandatory requirement for all Financial Institution as defined under section 4A of the Companies Act, 1956, applicants except those who are specifically exempt from obtaining PAN (listed in Section D). Custodians shall verify the PAN card details with the original PAN card and provide

2. Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license. duly certified copies of such verified PAN details to the intermediary.

3. Identity card/ document with applicant’s Photo, issued by any of the following: E. List of people authorized to attest the documents: Central/State Government and its Departments, Statutory/Regulatory Authorities,

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Public Sector Undertakings, Scheduled Commercial Banks, Public Financial

Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI,

the copy).

ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial

Banks.

Banks registered in India, Notary Public, Court Magistrate, Judge, Indian

C. Proof of Address (POA): List of documents admissible as Proof of Address: Embassy/Consulate General in the country where the client resides are permitted to (*Documents having an expiry date should be valid on the date of submission.) attest the documents.

1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of

F. Incase of Non-Individuals, additional documents tobe obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity Documentary requirements

Corporate

• Copy of the balance sheets for the last 2 financial years (to be submitted every year)

• Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD(to be submitted every year)

• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations

• Photograph, POI, POA, PAN of individual promoters holding control – either directly or indirectly

• Copies of the Memorandum and Articles of Association and certificate of incorporation

• Copy of the Board Resolution for investment in securities market

• Authorised signatories list with specimen signatures

Partnership firm


• Certificate of registration (for registered partnership firms only)

• Copy of partnership deed

• Authorised signatories list with specimen signatures

• Photograph, POI, POA, PAN of Partners

Trust


• Certificate of registration (for registered trust only).Copy of Trust deed

• List of trustees certified by managing trustees/CA

• Photograph, POI, POA, PAN of Trustees

HUF

• PAN of HUF

• Deed of declaration of HUF/List of coparceners

• Bank pass-book/bank statement in the name of HUF

• Photograph, POI, POA, PAN of Karta

Unincorporated Association or a body of individuals

• Proof of Existence/Constitution document

• Resolution of the managing body & Power of Attorney granted to transact business on its behalf

• Authorized signatories list with specimen signatures

Banks/Institutional Investors • Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years


Foreign Institutional Investors (FII)

• Copy of SEBI registration certificate


Army/Government Bodies • Self-certification on letterhead


Registered Society

• Copy of Registration Certificate under Societies Registration Act

• List of Managing Committee members

• Committee resolution for persons authorised to act as authorised signatories with specimen signatures

• True copy of Society Rules and Bye Laws certified by the Chairman/Secretary

Please Submit the KYC Documents on A4 Size Paper Only.

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.

PAN

Name

DIN (For Directors) /

UID (For Others)

Residential / Registered

Address

Relationship with Applicant (i.e. promoters,

whole time directors etc.)

Whether Politically Exposed

Photograph

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

Name & Signature of the Authorised Signatory(ies) Date d d / m m / y y y y PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person

To,

RCSPL Share Broking Pvt. Ltd.

10 Mill Officers Colony, B/H Old RBI,

Ashramroad,

Ahmedabad – 380009

Dear Sir / Madam,

I/We have opened/applied to open a demat account with you in the name and style of

_ _ _ _ _ _ _ _ _ _ __ for our HUF.

In this regard, being a Karta of HUF, I hereby declare the details of the family members of the HUF as below;

I hereby also declare that the particulars given by me as under are true to the best of my knowledge. I

understand and agree that my false/misleading information given by me or suppression of any material

information will render my said account liable for termination and further action. Further, I agree that I will

immediately intimate any death/s or birth/s in the family as it changes the constitution of the HUF.

We the coparceners / members hereby declare that:

We wish to authorize RCSPL Share Broking Pvt. Ltd.as our lawful attorney to operate the demat account for the purposes mentioned in the Power of Attorney duly signed by Karta.

We do not wish to authorize RCSPL Share Broking Pvt. Ltd to operate the demat account. [Strike out whichever is not applicable.]

Sr. No

Name Sex (Male/

Female) Date of Birth

Relationship with Karta

Signature

1

2

3

4

5

6

7

8

9

10

Name and Signature of

Karta with Stamp of HUF

Signature

Date

Name

Place

DECLARATION OF JOINT FAMILY (HUF)

D M

For office use only Application Type* New Update

(To be filled by financial institution) KYC Number (Mandatory for KYC update request)

Account Type* Normal Simplified (for low risk customers) Small

1. PERSONAL DETAILS (Please refer instruction A at the end)

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

Important Instructions:

A) Fields marked with ‘*’ are mandatory fields.

B) Please fill the form in English and in BLOCK letters.

C) Please fill the date in DD-MM-YYYY format.

D) Please read section wise detailed guidelines / instructions

at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

F) List of two character ISO 3166 country codes is available at the end.

G) KYC number of applicant is mandatory for update application.

H) For particular section update, please tick ( ) in the box available before the

section number and strike off the sections not required to be updated.

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Prefix First Name Middle Name Last Name

Gender* M- Male F- Female T-Transgender

Marital Status* Married Unmarried Others

Citizenship* IN- Indian Others (ISO 3166 Country Code )

Residential Status* Resident Individual

Foreign National

Non Resident Indian

Person of Indian Origin

Occupation Type* S-Service ( Private Sector Public Sector Government Sector )

O-Others ( Professional Self Employed Retired Housewife Student)

B-Business

X- Not Categorised

ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked)

ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

Passport Expiry Date

Driving Licence Expiry Date

Identification Number

S- Simplified Measures Account - Document Type code Identification Number

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

Address Type* Residential / Business Residential Business Registered Office Unspecified

Proof of Address* Passport Driving Licence UID (Aadhaar)

Voter Identity Card NREGA Job Card Others c

Simplified Measures Account - Document Type code Address

Line 1*

Line 2

Line 3

District*

3. PROOF OF IDENTITY (PoI)* (Please refer instruction C at the end)

M D

2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end)

4. PROOF OF ADDRESS (PoA)*

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end)

D D M M

D D M M

Y Y Y Y

PHOTO

Signature / Thumb

Impression

ISO 3166 Country Code of Birth*

Y Y Y Y

Y Y Y Y

ple as e s pe ify

City / Town / Village*

Pin / Post Code* State / U.T Code* ISO 3166 Country Code*

6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1’ ) (please refer instruction G at the end)

Related Person Type* Guardian of Minor Assignee Authorized Representative

Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*)

Documents Received Certified Copies

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Institution Stamp]

D D M M Y Y Y Y

9. ATTESTATION / FOR OFFICE USE ONLY

[Employee Signature]

D D M M

Line 1*

Line 2

Line 3

District*

Line 1*

Line 2

Line 3

State*

Tel. (Off)

FAX

Name*

Tel. (Res)

Email ID

Prefix First Name Middle Name Last Name

(If KYC number and name are provided, below details of section 6 are optional)

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Passport Expiry Date

Driving Licence Expiry Date

Z- Others (any document notified by the central government) Identification Number

S- Simplified Measures Account - Document Type code Identification Number

8. APPLICANT 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.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

Date : Place :

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

5. CONTACT DETAILS (All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

7. REMARKS (If any)

Mobile

D D M M

D D M M

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant


Pin / Post Code* State / U.T Code* ISO 3166 Country Code*


ZIP / Post Code* ISO 3166 Country Code*

Y Y Y Y

Y Y Y Y

Y Y Y Y

(

Signature Replacement Request Form

Date: / /20

To, DP ID: IN300974 RCSPL Share Broking Pvt. Ltd. 10 Mill Officers Colony, B/H Old RBI, Ashramroad, Ahmedabad – 380009 (Gujarat)

I ………………………………………………………………………having Client Id …………………….. with RCSPL Share Broking Pvt. Ltd. Would like to replace existing signature with new signature as under.

Existing (OLD) Signature: ………………………………………………………………

New Signature : in Black ink only)

(To be Attested by Banker of the account holder)

Bank Name : ………………………………………………….Bank seal…………………………………

Bank Account No. (Saving/Current/CC-OD): ……………………………………………………………

Bank Manager Name:……………………………………………….Signature……………………….....

Bank Telephone No.:……………………………Bank Address:…………………………………………….

New Signature :

(To be signed in the presence of official of DP)

Reason for change in signature: …………………………………………………………………………………………………..

For office used only

Replacement approved by : Name ……………………………………………… Signature……………………….......

Signature scanned by : Name………………………………………………..Signature……………………………….

Scanned signature verified by : Name…………………………………………………Signature………………………………

Note:

Bring Identity Proof as well as latest transaction statement of the account. New signature is to by done in the Presence of DP Official with DP stamp.

Encl.: 1. Identity Proof Verified copy by RCSPL Officials.

2. Last Transaction / Holding Statement of the Demat Account.

(To be filled by APPROVED DP Branch )

IDENTITY OF THE PERSON(S) VERIFIED IN PERSON & SIGNED IN MY PRESENCE Name DP : RCSPL Share Broking Pvt. Ltd

DP ID : IN Branch / Franchisee

Emp. Name : Code : Signature :

Date : Place :