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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 sh
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  Instructions / checklist for filling KYC form  Copy of ITR Acknowledgement In case of salary income - Salary Slip, Copy of Form 16 Copy of demat account holding statement. Any other relevant documents substantiating ownership of Assets. Copy of Annual Accounts Net worth certificate Bank account statement for last 6 months Self declaration with relevant supporting documents. 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 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 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 srcinals for verification. In case the srcinal 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. B. Proof of Identity (POI) List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card / document with applicant's Photo, issued by any of the following: Central/State Government and its Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to  their Members; and Credit cards/Debit cards issued by Banks. C. Proof of Address (POA) List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook - Not more than 3 months old. 4. Self-declaration 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-Operative Bank / Multinational Foreign Banks / Gazetted Officer / Notary Public / Elected representatives to the Legislative Assembly/ Parliament / Documents issued by any Govt. or Statutory Authority. 6. Identity card/document with address, issued by any of the following: Central/State Government and its departments, Statutory / Regulatory Authorities, Public Sector 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 apostilled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and /or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities / multilateral agencies exempt from paying taxes / filing tax returns in India. 4. SIP of Mutual Funds up to Rs 50,000/- p.a. 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the srcinal PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial / Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 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.  S. No. Name of the Document Brief Significance of the Document Page No MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES Account Opening Form Tariff Sheet Rights and Obligations Risk Disclosure Document (RDD) Guidance note Policies and Procedures Undertaking A. KYC form - Document captures the basic information about  the constituent and an instruction/checklist.Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s).Document stating the Rights & Obligations of stock broker /trading member and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading).Document detailing risks associated with dealing in the securities market.Document describing significant policies and procedures of Stock Broker. VOLUNTARY AND OPTIONAL DOCUMENTS AS PROVIDED BY THE STOCK BROKER Contains voluntary undertakings by the client with respect to Zerodha's internal operations during the course of the relationship with Zerodha. 34 – 67Annexure AAnnexure BAnnexure CAnnexure D8 – 91011B. Document captures the additional information about the Constituent relevant to trading account and an instruction /check list.12345678910Name of the Trading Member Name of the Clearing Member Cash Segment Zerodha IL&FS Securities Services LimitedNSE, BSE : ZerodhaNSE: F&O: IL&FS Securities Services Limited SEBI Registration No. INF231133630 CDS: IL&FS Securities Services Limited SEBI Registration No. INE231308334 BSE: F&O: IL&FS Securities Services Limited SEBI Registration No. INF011133834 CDS: IL&FS Securities Services Limited SEBI Registration No. INFO11390623 Derivatives Running Account Authorization and Mobile Declaration Client Defaulter Declaration and Client AcknowledgmentLetter of Authorization for maintaining a Running Account with Zerodhaand Client consent letter for receiving SMS from ZerodhaClient declaration stating that he is not a defaulter and Client acknowledgment that he has read all the rules & regulations.Document detailing do’s and dont’s for trading on exchange for education of investors In case not satisfied with the response, please contact the concerned exchange at: 1. NSE: 2. BSE: Correspondence Address :  Same as above Compliance Officer:  Venu Madhav, Phone No. & Email ID: 080-40402020, compliance@zerodha.com CEO:  Nithin Kamath, Phone No. & Email ID: 080-40402020, ceo@zerodha.comFor any grievance please contact Zerodha at the above address or email complaints@zerodha.com & Phone no. 91-8040402020.  Zerodha’s Registered Office: 153/154, 4th Cross, Dollars Colony, 4th Phase, JP Nagar, Opp. Clarence Public School, Bangalore - 560078. Ph : 080-40402020 2 Sign wherever you see SEBI Registration Number: Zerodha: Member of NSE & BSE – INZ000031633CDSL: Depository services through Zerodha Securities Pvt. Ltd. – IN-DP-100-2015Nomination Details Collects details of any nomination made for the account Annexure 1 A ignse@nse.co.in or contact at 022-26598100is@bseindia.com or contact at 022-22728097  1. Name (Same as ID Proof)1a. Maiden Name (If any) 2. Father's/Spouse's Name2a. Mother's Name Know Your Client (KYC) Application Form - for Individuals Please fill this form in English and BLOCK Letters(Please tick the box on the left margin of the appropriate row where CHANGE/CORRECTION is required and provide the details in the corresponding window) 4a. Citizenship Indian Other ___________________(ISO 3166 Country Code )4b. Residential Status Resident Individual Non Resident Indian Person of Indian Origin Foreign National Tick if applicable Residence for tax purposes in jurisdiction(s) outside India ISO 3166 Country Code of Jurisdiction of residence Place of birth_____________________________________Tax Identification Number or Equivalent ISO3166 Country Code of Birth 5a. PAN 5b. Unique Identification Number (UID) / AADHAR, if any6. Proof of Identity Submitted Pan Card Other (Please Specify) ____________________________________ F1 Photograph Please affix your recent passport size photograph and sign across it A. Identity details B. Address details 2. Residence/Correspondence Address1. Contact DetailsTelephone (Office)Telephone (Residence)Email ID For office use only (To be filled by the financial institution)Application Type*Account Type*New Normal Update Simplified (for low risk customers) KYC Number Small 3a. Gender Male Female Transgender 3b. Marital StatusSingle Married Other DDMMYYYY   3c. DOB Address Type:Residential Business Unspecified Mobile No 3 Sign wherever you see 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 false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.Date : DDMMYYYY  I hereby consent to receiving information from Central KYC Registry through SMS/email on the above registered number/email address.Originals Verified and Self-Attested Document Copies Received Date Signature of the Authorized Signatory Name of the Person who has done the IPV: ___________________________________________________Designation: ____________________________________ Employee ID: __________________________Name of the Organization: ZERODHA Signature of the Person who has done the IPVSeal/Stamp of the Intermediary FOR OFFICE USE ONLY Date of the IPV: DDMMYYYY  In Person Verification (IPV) Details: Pin CodeCountry/ISO CodeCity/TownState/U.T CodeAddressDistrictSpecify the Proof of Address Submitted for Residence / Correspondence Address Client Signature F2  
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